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C••••••••• A•••••••, LLC, CRD 107964
SARASOTA, FL
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 |
|---|---|---|---|---|---|---|
| J••• R••••• M••••••• | Chartered Financial Analyst | SARASOTA, FL | 25 | 41 | 1 | no |
| M•••••• C•••• M•••••• | n/a | SARASOTA, FL | 12 | 32 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| J••••••• D••••• M•••• | MANAGING DIRECTOR OF OPERATIONS & IT | Na | yes | 01/2026 | Feb 2, 2026 | Feb 2, 2026 |
| M•••••••• J•••• R••••• | CHIEF INVESTMENT OFFICER | Na | yes | 01/2025 | Feb 2, 2026 | Feb 2, 2026 |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 3 | 1 | 2 | 6.3% | 1 | 0 | 0 | 5 | 2 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $3.2B | $3.3B | -3.9% | $3.4B | -1.6% | 36 | 44 | 0 | 0 |
| no |
| S•••• M•••••• B•••••• | n/a | SARASOTA, FL | 12 | 13 | n/a | no |
| D•••• M•••• J•••••• | n/a | SARASOTA, FL | 11 | 18 | n/a | no |
| D••••• T••• H••••••••• | n/a | SARASOTA, FL | 11 | 13 | n/a | no |
| M•••••• G•• B••••••• | Chartered Financial Analyst | SARASOTA, FL | 9 | 36 | 3 | no |
| M•••••• D••••• M•••••• | n/a | SARASOTA, FL | West Lafayette, IN | 6 | 17 | n/a | no |
| M••• J•••• M•••• | n/a | SARASOTA, FL | 6 | 19 | 1 | no |
| B••••••• C••••• P•••• | n/a | SARASOTA, FL | 2 | 26 | n/a | no |
| M•••••• K•••••• S•••••• | n/a | SARASOTA, FL | 2 | 26 | n/a | no |
| A••••• M•••••• H••••••••• | n/a | SARASOTA, FL | 1 | 12 | n/a | no |
| P••••••• M••• H•••• | Chartered Financial Analyst | SARASOTA, FL | 1 | 39 | n/a | no |
| I•• G•••• B•••• | n/a | SARASOTA, FL | St. Augustine, FL | 1 | 32 | 2 | no |
| R••••• K••••••••• | Certified Financial Planner | SARASOTA, FL | 1 | 13 | 1 | no |
| K•••• K•••••••• | n/a | Westlake Village, CA | SARASOTA, FL | 1 | 34 | 4 | no |
| L••• M• C•••••• | n/a | Basking Ridge, NJ | 0 | 13 | 1 | no |
| CHIEF OPERATING OFFICER WEALTH MANAGEMENT |
| Na |
| yes |
| 01/2026 |
| Feb 2, 2026 |
| Feb 2, 2026 |
| P••••• B•••••••• C••••• | PRESIDENT OF ASSET MANAGEMENT | Na | yes | 01/2026 | Feb 2, 2026 | Feb 2, 2026 |
| S•••••• P••••••• A•• | TREASURER, CHIEF FINANCIAL OFFICER | Na | yes | 04/2018 | Feb 2, 2026 | Feb 2, 2026 |
| E••••••••• M••••••• N• M••••• N••• | SR. VICE PRESIDENT, SHAREHOLDER | Na | yes | 03/2005 | Mar 21, 2012 | Mar 22, 2024 |
| E••••••••• R•••••• A•••• | VICE CHAIRMAN, DIRECTOR, SHAREHOLDER | A | yes | 01/2011 | Mar 21, 2012 | Mar 22, 2024 |
| K••••• D••••• R•••••• | CIO, DIRECTOR & SHAREHOLDER | A | yes | 04/2018 | Mar 21, 2012 | Mar 22, 2024 |
| L••••• D••••• G••••• | EXECUTIVE VICE PRESIDENT, DIRECTOR, SHAREHOLDER | B | yes | 04/2018 | Mar 21, 2012 | Mar 22, 2024 |
| L•••• T••••••• J•••• | CHIEF COMPLIANCE OFFICER | Na | yes | 03/2018 | Mar 29, 2018 | Mar 22, 2024 |
| M••••••• M••••••• C•••• | PRESIDENT, DIRECTOR, SHAREHOLDER | Na | yes | 04/2018 | Feb 28, 2014 | Mar 22, 2024 |
| M••••••• M••••••• D••••• | SR. VICE PRESIDENT, SHAREHOLDER | Na | yes | 04/2018 | Mar 11, 2013 | Mar 22, 2024 |
| C••••••• G•••••• | CHIEF COMPLIANCE OFFICER | Na | no | 04/2025 | Feb 2, 2026 | Feb 2, 2026 |
| D•••••• L•••••••• E••••• | DIRECTOR, SHAREHOLDER | A | no | 04/2018 | May 31, 2018 | Mar 22, 2024 |
| H••••• P•••••••• M••• | SR VICE PRESIDENT, SHAREHOLDER | Na | no | 04/2018 | May 31, 2018 | Mar 22, 2024 |
| M•••••• J•••••• I•••• | DIRECTOR, SHAREHOLDER | B | no | 04/2018 | May 31, 2018 | Mar 22, 2024 |
| S•••••• D••••• E•••••• | CHAIRMAN, SHAREHOLDER | B | no | 04/2018 | May 31, 2018 | Mar 22, 2024 |
| Feb 2, 2026 |
| $3.2B |
| $3.2B |
| 36 |
| 18 |
| 0 |
| n/a |
| n/a |
| 2024 | Apr 11, 2025 | $3.3B | $3.3B | 44 | 18 | 0 | n/a | n/a |
| 2023 | Mar 22, 2024 | $3.4B | $3.4B | 44 | 16 | 0 | n/a | n/a |
| 2022 | Mar 29, 2023 | $3.4B | $3.4B | 45 | 19 | 1 | n/a | n/a |
| 2021 | Mar 11, 2022 | $4.1B | $4.1B | 45 | 20 | 1 | n/a | n/a |
| 2020 | Mar 23, 2021 | $4.0B | $3.9B | 41 | 19 | 1 | n/a | n/a |
| 2019 | Mar 19, 2020 | $3.6B | $3.6B | 35 | 19 | 1 | n/a | n/a |
| 2018 | Mar 29, 2019 | $3.1B | $3.1B | 35 | 15 | 1 | n/a | n/a |
| 2017 | Mar 29, 2018 | $3.0B | $3.0B | 35 | 18 | 1 | n/a | n/a |
| 2016 | Jan 27, 2017 | $2.7B | $2.7B | 35 | 17 | n/a | n/a | n/a |
| 2015 | Feb 3, 2016 | $2.4B | $2.4B | 35 | 11 | n/a | n/a | n/a |
| 2014 | Feb 13, 2015 | $2.3B | $2.3B | 27 | 12 | n/a | n/a | n/a |
| 2013 | Feb 28, 2014 | $2.1B | $2.1B | 25 | 8 | n/a | n/a | n/a |
| 2012 | Mar 11, 2013 | $2.2B | $2.2B | 18 | 8 | n/a | n/a | n/a |
| 2011 | Mar 21, 2012 | $1.9B | $1.9B | n/a | n/a | n/a | n/a | n/a |