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CRD 665
MINNEAPOLIS, MN
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 |
|---|---|---|---|---|---|---|
| M••• E•••• C••••••• | n/a | Chicago, IL | 10 | 43 | 2 | yes |
| D•••• M•••••• J••••• | n/a | MINNEAPOLIS, MN | 10 | 31 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| A••••••• C••• R•••••• | CHAIRMAN, CEO; BOARD MEMBER | Na | yes | 01/2018 | Jun 24, 2016 | Oct 9, 2024 |
| C••••• K•••••••• P••••••• | CFO; BOARD MEMBER | Na | yes | 01/2024 | Mar 18, 2024 | Oct 9, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| P•••• S•••••• A••••••• L•• | n/a | Former SEC adviser | $365M | N | yes | n/a |
| P•••• S•••••• F•••••• M••••••••• L•• | n/a | Former SEC adviser | $290M | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| NEW YORK | NY | United States | 10 | yes |
| Chicago | IL | United States | 5 | yes |
| Memphis | Tn | United States | 2 | yes |
| Greenwich | Ct | United States | 1 | yes |
| WEST PALM BEACH | FL | United States |
| 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 |
|---|---|---|---|---|---|---|---|---|
| 3 | 0 | 3 | 0.0% | 2 | 0 | 0 | 6 | 0 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $1.3B | $2.0B | -35.3% | $1.4B | -3.0% | 1,402 | 1,370 | 9 | 8 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| A••••••• A••••••• S••••••• | 2 | Sep 9, 2019 | Sep 9, 2019 | LINCOLN, NE | Team lift out | Other | 1.7% |
| P•••• J•••••• I••••••••• M••••••••• L•• | 6 | Aug 5, 2016 | Aug 5, 2016 |
| yes |
| J•• A•••• H•••••• | n/a | MINNEAPOLIS, MN | 10 | 31 | 1 | yes |
| G•••••• E••••• H•••• | n/a | PORTLAND, OR | Wilsonville, OR | 10 | 29 | 2 | yes |
| M•••••• J•••• T••••••• | n/a | LEAWOOD, KS | MINNEAPOLIS, MN | 10 | 22 | 2 | yes |
| P••• M•••••• K••••• | n/a | AUSTIN, TX | MINNEAPOLIS, MN | 10 | 22 | 3 | yes |
| P••• A• A••••••••• | n/a | MINNEAPOLIS, MN | 10 | 14 | 1 | yes |
| J•••••• P••• M••• | n/a | MINNEAPOLIS, MN | 8 | 28 | n/a | yes |
| J•••• R••••• M••• | n/a | Milwaukee, WI | MINNEAPOLIS, MN | 8 | 18 | 1 | yes |
| K••• F•••••• J•••• | n/a | AUSTIN, TX | MINNEAPOLIS, MN | 7 | 19 | 4 | yes |
| R•••••• D•••• H••••• | Chartered Financial Analyst | MEMPHIS, TN | Villa Hills, KY | Cincinnati, OH | 7 | 26 | 2 | yes |
| W•••••• M••••• A••• | n/a | Chicago, IL | Lincoln, NE | 7 | 17 | 2 | yes |
| E•••• N••••• F••• | n/a | Wayzata, MN | MINNEAPOLIS, MN | 6 | 12 | 1 | no |
| S•••••• H••••• F•••••• | n/a | NEW YORK, NY | 6 | 10 | 1 | yes |
| J••••••• R•••••• S•••••• | n/a | Melville, NY | NEW YORK, NY | 4 | 17 | 2 | yes |
| J•••• M• B••••• | n/a | BROOKFIELD, WI | MINNEAPOLIS, MN | 4 | 18 | 1 | yes |
| D••••• L•• G•••• | n/a | DENVER, CO | 2 | 10 | 1 | yes |
| E•••• C••••••• | n/a | Atlanta, GA | NEW YORK, NY | 1 | 14 | 1 | yes |
| C••• K••••• R•••••••• | n/a | Saint P•••, MN | MINNEAPOLIS, MN | 1 | 13 | n/a | yes |
| T••••• T••••• | n/a | Greenwich, CT | Chicago, IL | 1 | 11 | 2 | yes |
| M••••••• L•••• W••••• | n/a | MINNEAPOLIS, MN | 0 | 11 | n/a | yes |
| S••••••• M• R•••••• | n/a | PORTLAND, OR | Tualatin, OR | 0 | 10 | n/a | yes |
| K•••• P•••• | n/a | MINNEAPOLIS, MN | New York, NY | NEW YORK, NY | 0 | 10 | 2 | yes |
| N••• C•••• | n/a | Greenwich, CT | NEW YORK, NY | 0 | 12 | n/a | yes |
| S•••• V••••••••• | n/a | Chicago, IL | MINNEAPOLIS, MN | 0 | 13 | 1 | yes |
| CO-HEAD OF EQUITIES; BOARD MEMBER |
| Na |
| yes |
| 02/2018 |
| Mar 29, 2019 |
| Oct 9, 2024 |
| D••••••••• M•••••• R•• | CO-HEAD INV BKG & CAP MKTS; BOARD MEMBER | Na | yes | 03/2021 | Apr 12, 2021 | Oct 9, 2024 |
| D••••• J••••••• J•• | HEAD OF FINANCIAL SERVICES GROUP | Na | yes | 01/2020 | Jan 13, 2020 | Oct 9, 2024 |
| G•••••• J••• W•••••• J•• | CHIEF LEGAL OFFICER | Na | yes | 01/2013 | Jun 24, 2016 | Oct 9, 2024 |
| G•••••• J••••• J••••• | CO HEAD OF PUBLIC FINANCE; BOARD MEMBER | Na | yes | 12/2023 | Mar 18, 2024 | Oct 9, 2024 |
| L•••••• B•••••• T••• | CHIEF COMPLIANCE OFFICER | Na | yes | 04/2021 | Apr 12, 2021 | Oct 9, 2024 |
| P•••• S•••••• C•••••••• | Parent | E | yes | 12/2003 | Jan 13, 2020 | Oct 9, 2024 |
| S••••••••• D••••• L••• | PRESIDENT; BOARD MEMBER | Na | yes | 01/2018 | Jun 24, 2016 | Oct 9, 2024 |
| P•• C•••••• P••••••• L•• | n/a | Asset manager | $241M | N | yes | n/a |
| P•••• H•••••••• H••••••••• C••••••• L•• | n/a | Asset manager | $218M | N | yes | n/a |
| P•••• S•••••• L••• | n/a | n/a | n/a | N | yes | n/a |
| yes |
| Leawood | Ks | United States | 1 | yes |
| Milwaukee | Wi | United States | 1 | yes |
| $1.3B |
| $0 |
| 1,402 |
| 31 |
| 9 |
| n/a |
| n/a |
| 2024 | Apr 29, 2025 | $2.0B | $0 | 1,370 | 21 | 8 | n/a | n/a |
| 2023 | Mar 18, 2024 | $1.6B | $0 | 1,335 | 24 | 6 | n/a | n/a |
| 2022 | Mar 27, 2023 | $1.4B | $0 | 1,330 | 30 | 7 | n/a | n/a |
| 2021 | Mar 30, 2022 | $3.3B | $0 | 1,253 | 26 | 5 | n/a | n/a |
| 2020 | Mar 31, 2021 | $2.1B | $0 | 1,128 | 24 | 4 | n/a | n/a |
| 2019 | Mar 30, 2020 | $151M | $0 | 1,104 | 27 | 4 | n/a | n/a |
| 2018 | Mar 29, 2019 | $175M | $0 | 760 | 10 | 3 | n/a | n/a |
| 2017 | Mar 20, 2018 | $228M | $0 | 787 | 12 | 3 | n/a | n/a |
| 2016 | Jan 31, 2017 | $394M | $0 | 805 | 11 | n/a | n/a | n/a |
| MINNEAPOLIS, MN |
| Firm absorbed |
| Other |
| 50.0% |