DFX Intelligence
Reading the graph
Reading the graph
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
CRD 108958
OWINGS MILLS, MD
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| D••••• M•••••• M•••••••• | n/a | BALTIMORE, MD | 25 | 32 | n/a | yes |
| C•••••••• E•••••••• W••• | n/a | Owings Mills, MD | 25 | 33 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| A••••••• C••••••••• P••• | Director | Na | yes | 04/2025 | Aug 26, 2026 | Aug 26, 2026 |
| G••••• C••••• M•••••• | Director | Na | yes | 01/2022 | Aug 26, 2026 | Aug 26, 2026 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| T• R••• P•••• A••••••••• I••• | n/a | Asset manager | $2196B | N | yes | n/a |
| T• R••• P•••• I••••••••• L•• | n/a | Asset manager | $277B | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| COLORADO SPRINGS | Co | United States | 17 | yes |
| OWINGS MILLS | Md | United States | 3 | no |
| 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 |
|---|---|---|---|---|---|---|---|---|
| 40 | 33 | 7 | 6.7% | 24 | 6 | 0 | 87 | 91 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $5.9B | $3.9B | 52.8% | $706M | 102.9% | 92 | 86 | 1 | 2 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| E•••••• A••••••• G••••• L•• | 2 | Feb 4, 2026 | Feb 24, 2026 | COLORADO SPRINGS, CO | Team lift out | Ibd to ibd | 0.5% |
| M••••• S•••••• | 2 | Nov 3, 2025 | Nov 13, 2025 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| E•••••• A••••••• G••••• L•• | 3 | Aug 24, 2022 | Oct 4, 2022 | PUEBLO WEST, CO | Team lift out | Ibd to RIA | 0.6% |
| E•••••• A••••••• G••••• L•• | 3 | May 18, 2022 | Jul 1, 2022 |
| yes |
| M••••• D••••• A••••••••• | Certified Financial Planner | Owings Mills, MD | 25 | 34 | n/a | yes |
| D••••• M•••• C••••••• | n/a | Owings Mills, MD | 24 | 32 | n/a | yes |
| T••••• J••• K•••• | n/a | Odessa, FL | 23 | 23 | n/a | yes |
| C•••••• E• J•••••• | Certified Financial Planner | Colorado Springs, CO | 20 | 22 | n/a | yes |
| R••••• K••••• L••••• | n/a | COLORADO SPRINGS, CO | 19 | 20 | n/a | yes |
| P•••• A•••••• D•••••• | n/a | BALTIMORE, MD | 19 | 29 | n/a | yes |
| R••••• J••••• M••••••• | n/a | Colorado Spring, CO | 17 | 20 | n/a | yes |
| C••••••••• D•••• B••••• | n/a | Owings Mills, MD | 17 | 20 | n/a | yes |
| P•••• V• N••••• | Certified Financial Planner | Dunedin, FL | 17 | 18 | n/a | yes |
| K•••• J••••• C••••••• | n/a | COLORADO SPRINGS, CO | 16 | 18 | n/a | yes |
| Q•••••• J• V••••••• | n/a | Colorado Springs, CO | 16 | 18 | n/a | yes |
| A•••••• W••••• S••••••• | n/a | Hudson, FL | 16 | 25 | n/a | yes |
| S•••• A•••• S•••••••• | Certified Financial Planner | Owings Mills, MD | 15 | 19 | 1 | yes |
| J•••• M••• D• J••• | Certified Financial Planner | COLORADO SPRINGS, CO | 15 | 16 | n/a | yes |
| S•••• J•••• H•••• | Certified Financial Planner | Colorado Springs, CO | 15 | 17 | n/a | yes |
| C••• M•••••• B••••• | Certified Financial Planner | Owings Mills, MD | 15 | 19 | 1 | yes |
| J••••• R••• F•••• | Certified Financial Planner | Owings Mills, MD | 15 | 18 | n/a | yes |
| J••••• M•••••• P•••••••• | n/a | Colorado Springs, CO | 15 | 18 | n/a | yes |
| B•••••••• M•••• M•••••• | n/a | COLORADO SPRINGS, CO | 15 | 16 | n/a | yes |
| M••• A••• S••••••••• | Certified Financial Planner | Owings Mills, MD | 15 | 22 | n/a | yes |
| B••••••• A••••• P••••••• | Certified Financial Planner | Colorado Springs, CO | 15 | 15 | n/a | yes |
| D••••• J•••• E•••••• | n/a | Owings Mills, MD | 15 | 27 | n/a | yes |
| J••••••• L••• H••••••• | Certified Financial Planner | Tampa, FL | 15 | 18 | n/a | yes |
| CHIEF COMPLIANCE OFFICER |
| Na |
| yes |
| 03/2018 |
| Aug 26, 2026 |
| Aug 26, 2026 |
| T•••••••• T•••• M••••• | Director | Na | yes | 01/2022 | Aug 26, 2026 | Aug 26, 2026 |
| J••••••• C••••••••• M•••• | Director | Na | yes | 01/2022 | Jan 27, 2022 | Oct 24, 2024 |
| K•••••••• P•••••• | PRESIDENT/DIRECTOR | Na | yes | 01/2022 | Jan 27, 2022 | Oct 24, 2024 |
| T• R••• P•••• G••••• I••• | DIRECT OWNER | E | yes | 09/2000 | Mar 29, 2021 | Oct 24, 2024 |
| T••••• P•••• I••••••••• M••••••••• I••• | n/a | Asset manager | $204B | N | yes | n/a |
| O•• H••• A•••••••• L••• | n/a | Asset manager | $101B | N | yes | n/a |
| T••••• P•••• H••• K••• L•••••• | n/a | Asset manager | $42B | N | yes | n/a |
| T• R••• P•••• J••••• I••• | n/a | Asset manager | $24B | N | yes | n/a |
| T• R••• P•••• A•••••••• L•••••• | n/a | Asset manager | $17B | N | yes | n/a |
| T• R••• P•••• ••••••• I••• | n/a | Asset manager | $6.6B | N | yes | n/a |
| O•• P•••••• C••••• A••••••• L•• | n/a | Asset manager | $3.6B | N | yes | n/a |
| T• R••• P•••• S•••••••• P•••••• L•• | n/a | Institutional manager | $2.3B | N | yes | n/a |
| O•• P•••••• C••••• A••••••• I•• L••• | n/a | Asset manager | $805M | N | yes | n/a |
| O•• H••• A••••••• ••••••••• P•• L•• | n/a | n/a | n/a | N | yes | n/a |
| O•• H••• A••••••• ••••••• L•• | n/a | n/a | n/a | N | yes | n/a |
| O•• ••• L•• | n/a | n/a | n/a | N | yes | n/a |
| T• R••• P•••• ••••••••• M••••••••• S••••••• | n/a | n/a | n/a | N | yes | n/a |
| T• R••• P•••• I••••••••• S•••••••• I••• | n/a | n/a | n/a | N | yes | n/a |
| T• R••• P•••• T•••• C•••••• | n/a | n/a | n/a | N | yes | n/a |
| Mar 31, 2026 |
| $5.9B |
| $5.9B |
| 92 |
| 66 |
| 1 |
| n/a |
| n/a |
| 2024 | Mar 31, 2025 | $3.9B | $3.9B | 86 | 61 | 2 | n/a | n/a |
| 2023 | Mar 28, 2024 | $2.6B | $2.6B | 58 | 42 | 2 | n/a | n/a |
| 2022 | Mar 24, 2023 | $706M | $706M | 47 | 33 | 1 | n/a | n/a |
| 2021 | Mar 25, 2022 | $918M | $918M | 48 | 35 | 1 | n/a | n/a |
| 2020 | Mar 29, 2021 | $729M | $729M | 41 | 32 | 1 | n/a | n/a |
| 2019 | Mar 27, 2020 | $615M | $615M | 29 | 29 | 1 | n/a | n/a |
| 2018 | Mar 28, 2019 | $382M | $382M | 44 | 18 | 12 | n/a | n/a |
| 2017 | Mar 28, 2018 | $255M | $255M | 27 | 19 | 12 | n/a | n/a |
| 2016 | Mar 31, 2017 | $3.6M | $3.6M | 4 | 0 | n/a | n/a | n/a |
| 2015 | Mar 30, 2016 | n/a | n/a | 10 | 0 | n/a | n/a | n/a |
| 2014 | Mar 31, 2015 | n/a | n/a | 13 | 0 | n/a | n/a | n/a |
| 2013 | Mar 27, 2014 | n/a | n/a | 15 | 0 | n/a | n/a | n/a |
| 2012 | Mar 27, 2013 | n/a | n/a | 17 | 0 | n/a | n/a | n/a |
| 2011 | Mar 29, 2012 | n/a | n/a | n/a | n/a | n/a | n/a | n/a |
| OWINGS MILLS, MD |
| Team lift out |
| Ibd to wirehouse |
| 0.5% |
| E•••••• A••••••• G••••• L•• | 2 | Aug 8, 2025 | Jun 18, 2026 | OWINGS MILLS, MD | Team lift out | Ibd to ibd | 0.5% |
| E•••••• A••••••• G••••• L•• | 4 | Mar 18, 2025 | Mar 23, 2026 | COLORADO SPRINGS, CO | Team lift out | Ibd to ibd | 1.0% |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | 2 | Dec 10, 2024 | Apr 15, 2026 | OWINGS MILLS, MD | Team lift out | Ibd to wirehouse | 0.5% |
| E•••••• A••••••• G••••• L•• | 2 | May 10, 2024 | Jun 30, 2025 | OWINGS MILLS, MD | Team lift out | Ibd to ibd | 0.5% |
| N••••••••• M••••• I••••••••• S••••••••• | 2 | Jul 12, 2023 | Jul 14, 2026 | PARKER, CO | Team lift out | Other | 0.6% |
| E•••••• A••••••• G••••• L•• | 8 | Mar 17, 2022 | Nov 5, 2024 | COLORADO SPRINGS, CO | Team lift out | Other | 2.9% |
| E•••••• A••••••• G••••• L•• | 8 | Jan 25, 2022 | Dec 19, 2022 | COLORADO SPRINGS, CO | Team lift out | Other | 2.8% |
| E•••••• A••••••• G••••• L•• | 4 | Jan 10, 2022 | Jul 7, 2022 | COLORADO SPRINGS, CO | Team lift out | Other | 1.4% |
| E•••••• A••••••• G••••• L•• | 2 | Nov 10, 2021 | Jan 20, 2026 | COLORADO SPRINGS, CO | Team lift out | Other | 0.7% |
| E•••••• A••••••• G••••• L•• | 2 | Sep 24, 2021 | Oct 11, 2021 | COLORADO SPRINGS, CO | Team lift out | Other | 0.7% |
| F••••••• P••••••• A•• W•••••••• A••••••• | 2 | Jul 19, 2021 | Sep 1, 2021 | OWINGS MILLS, MD | Team lift out | RIA to ibd | 0.7% |
| T••••••••• R••••••••• A•••••••• L•• | 2 | Jul 12, 2019 | Jan 30, 2020 | TAMPA, FL | Team lift out | RIA to ibd | 0.8% |
| R•••••• J•••• F•••••••• S••••••• A•••••••• I•• | 2 | Jul 11, 2019 | Jan 9, 2020 | TAMPA, FL | Team lift out | RIA to ibd | 0.7% |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | 2 | Jul 11, 2019 | Aug 19, 2019 | TAMPA, FL | Team lift out | RIA to wirehouse | 0.7% |
| M••••• S•••••• | 6 | Jul 9, 2019 | Jun 24, 2021 | TAMPA, FL | Team lift out | RIA to wirehouse | 2.2% |
| F••••••• P••••••• A•• W•••••••• A••••••• | 2 | Jul 2, 2019 | Jun 28, 2021 | TAMPA, FL | Team lift out | RIA to ibd | 0.7% |
| P•••• S••••••••• L•• | 2 | Jul 2, 2019 | Dec 20, 2019 | TAMPA, FL | Team lift out | RIA to ibd | 0.7% |
| R•••••• J•••• • A••••••••• I••• | 12 | Jul 2, 2019 | Apr 13, 2021 | TAMPA, FL | Team lift out | RIA to ibd | 4.2% |
| GREENWOOD VILLAGE, CO |
| Team lift out |
| Ibd to RIA |
| 0.6% |
| A••••••• F•••••••• A•••••••• L•• | 2 | Jul 5, 2019 | Nov 12, 2021 | OLNEY, MD | Team lift out | Ibd to RIA | 0.9% |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | 2 | May 21, 2019 | Aug 8, 2019 | HUNT VALLEY, MD | Team lift out | Wirehouse to RIA | 0.0% |
| T• R••• P•••• A••••••••• I••• | 2 | Apr 15, 2019 | Apr 15, 2019 | OWINGS MILLS, MD | Team lift out | Other | 2.4% |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | 2 | Feb 27, 2019 | Apr 11, 2019 | TOWSON, MD | Team lift out | Wirehouse to RIA | 0.0% |
| A••••• A•• P••••••• S••••••• | 2 | Feb 8, 2018 | Apr 5, 2018 | COLUMBIA, MD | Team lift out | Other | 0.2% |