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CRD 289345
CINCINNATI, OH
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 |
|---|---|---|---|---|---|---|
| M•••••• J••••• K••••••••• | Certified Financial Planner | CINCINNATI, OH | 9 | 25 | 3 | no |
| B••••• S•••••• | n/a | CINCINNATI, OH | 1 | 13 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| K••••••••• M••••••• J••••• | PRESIDENT, CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER | E | yes | 07/2017 | Sep 1, 2017 | Dec 12, 2024 |
| 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 |
|---|---|---|---|---|---|---|---|---|
| 1 | 1 | 0 | 33.3% | 0 | 0 | 0 | 2 | 2 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $377M | $307M | 22.7% | $209M | 21.8% | 5 | 4 | 0 | 0 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| M••••• S•••••• | 2 | Sep 6, 2017 | Nov 17, 2017 | CINCINNATI, OH | Team lift out | Wirehouse to new firm | 0.0% |
| no |
| T•••••• J• D•••• | n/a | CINCINNATI, OH | 0 | 14 | 3 | no |
| $377M |
| $376M |
| 5 |
| 4 |
| 0 |
| n/a |
| n/a |
| 2024 | Feb 24, 2025 | $307M | $306M | 4 | 3 | 0 | n/a | n/a |
| 2023 | Mar 14, 2024 | $245M | $244M | 4 | 3 | 0 | n/a | n/a |
| 2022 | Mar 16, 2023 | $209M | $206M | 5 | 4 | 0 | n/a | n/a |
| 2021 | Jan 27, 2022 | $223M | $216M | 3 | 3 | 0 | n/a | n/a |
| 2020 | Mar 3, 2021 | $195M | $188M | 3 | 3 | 0 | n/a | n/a |
| 2019 | Mar 24, 2020 | $168M | $161M | 3 | 2 | 0 | n/a | n/a |
| 2018 | Mar 17, 2019 | $129M | $126M | 4 | 2 | 0 | n/a | n/a |
| 2017 | Mar 18, 2018 | $135M | $131M | 3 | 1 | 0 | n/a | n/a |