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CRD 155682
GREENBORO, NC
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| J••• M••••••• S•••• | Chartered Financial Analyst | GREENBORO, NC | 14 | 30 | 1 | no |
| D••••• F••••• S•••• | Certified Financial Planner|Chartered Financial Analyst | GREENBORO, NC | 10 | 11 |
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| P••••••• P••••••• F•••• L•• | Other Private Fund | $109M | Jul 1, 2024 | 38 | Mar 28, 2017 | reported | 021-249082 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| G••••••• S••••• B••••• | EXECUTIVE VICE PRESIDENT/ CHIEF CLIENT OFFICER/ TREASURER | Na | yes | 12/2023 | Mar 30, 2021 | Jul 1, 2024 |
| H•••••• J•••• | CCO, CEO AND PRESIDENT | Na | yes | 06/2024 | Jun 28, 2024 | Jul 1, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| P••••••• T•••• C•••••• | n/a | n/a | n/a | N | yes | n/a |
| R••••••••• P••••••••• | n/a | n/a | n/a | N | yes | n/a |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 0 | 0 | 0 | 0.0% | 0 | 0 | 0 | 1 | 0 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $496M | $408M | 21.6% | $350M | 12.3% | 24 | 26 | 0 | 0 |
| no |
| O•••••• J••• I•••••• | n/a | GREENBORO, NC | 1 | 14 | 4 | no |
| Owner |
| E |
| yes |
| 09/2011 |
| Mar 28, 2017 |
| Jul 1, 2024 |
| S••••• J•••• M••••••• | CHIEF INVESTMENT STRATEGIST | Na | yes | 09/2011 | Mar 28, 2017 | Jul 1, 2024 |
| S••••• D•••••• F••••• | CHIEF INVESTMENT OFFICER | Na | yes | 01/2022 | Mar 21, 2023 | Jul 1, 2024 |
| P••••••• F••••••••• L•• | Owner | E | no | 09/2011 | Mar 28, 2017 | Jul 1, 2024 |
| $496M |
| $496M |
| 24 |
| 3 |
| 0 |
| 1 |
| n/a |
| 2024 | Mar 14, 2025 | $408M | $408M | 26 | 3 | 0 | 1 | n/a |
| 2023 | Mar 18, 2024 | $371M | $371M | 23 | 4 | 0 | 1 | $109M |
| 2022 | Mar 21, 2023 | $350M | $350M | 25 | 4 | 0 | 1 | $128M |
| 2021 | Mar 24, 2022 | $348M | $348M | 28 | 4 | 0 | 1 | $164M |
| 2020 | Mar 30, 2021 | $260M | $260M | 4 | 4 | 0 | 1 | $137M |
| 2019 | Mar 23, 2020 | $187M | $187M | 4 | 4 | 0 | 1 | $103M |
| 2018 | Mar 21, 2019 | $148M | $148M | 4 | 4 | 0 | 1 | $94.0M |
| 2017 | Mar 22, 2018 | $138M | $138M | 4 | 4 | 0 | 1 | $98.9M |