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CRD 284213
WOODCLIFF LAKE, NJ
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 |
|---|---|---|---|---|---|---|
| C•••• R• M••••• | n/a | Woodcliff Lake, NJ | WOODCLIFF LAKE, NJ | 9 | 22 | 4 | no |
| M•••••• R••••• S•••••• | n/a | WOODCLIFF LAKE, NJ | 9 | 32 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| M•••••• C••••• R• | CCO, PRINCIPAL, DIRECTOR OF FINANCIAL PLANNING | C | yes | 06/2016 | Dec 8, 2016 | Nov 19, 2024 |
| M•••••• K••••• J• | PRINCIPAL, PORTFOLIO MANAGER | B | yes | 01/2021 | Mar 29, 2021 | Nov 19, 2024 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| WHITE PLAINS | NY | United States | 4 | no |
| Westport | Ct | United States | 2 | 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 |
|---|---|---|---|---|---|---|---|---|
| 3 | 0 | 3 | 0.0% | 0 | 0 | 0 | 3 | 0 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $648M | $537M | 20.6% | $399M | 17.6% | 7 | 7 | 2 | 2 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| C•••• D•••• A•••• M••••••••• L•• | 2 | Jun 1, 2017 | Jan 1, 2026 | WHITE PLAINS, NY | Team lift out | Other | 100.0% |
| no |
| C••••• R•••••• B••••• | Certified Financial Planner|Chartered Financial Consultant | WOODCLIFF LAKE, NJ | 9 | 41 | 4 | no |
| B•••••• T••• V•••• | n/a | White Plains, NY | WOODCLIFF LAKE, NJ | 4 | 10 | n/a | no |
| S•••• J••• H••••• | Certified Financial Planner | WOODCLIFF LAKE, NJ | Mount Pleasant, SC | 0 | 19 | 2 | no |
| K•••• J• M••••• | n/a | WOODCLIFF LAKE, NJ | 0 | 12 | 1 | no |
| M•••••• C•••••• D•••••• | n/a | WOODCLIFF LAKE, NJ | 0 | 10 | 1 | no |
| A•••• K••••••••• | n/a | WOODCLIFF LAKE, NJ | 0 | 16 | n/a | no |
| PRINCIPAL, CHIEF INVESTMENT OFFICER |
| C |
| yes |
| 06/2016 |
| Dec 8, 2016 |
| Nov 19, 2024 |
| W••••• N•••••••• W•••••• | PRINCIPAL, DIRECTOR OF RESEARCH | B | yes | 10/2024 | Nov 19, 2024 | Nov 19, 2024 |
| $648M |
| $619M |
| 7 |
| 7 |
| 2 |
| n/a |
| n/a |
| 2024 | Apr 14, 2025 | $537M | $508M | 7 | 7 | 2 | n/a | n/a |
| 2023 | Mar 26, 2024 | $475M | $450M | 7 | 7 | 2 | n/a | n/a |
| 2022 | Mar 27, 2023 | $399M | $357M | 7 | 7 | 2 | n/a | n/a |
| 2021 | Mar 17, 2022 | $440M | $391M | 6 | 6 | 2 | n/a | n/a |
| 2020 | Mar 29, 2021 | $354M | $330M | 6 | 6 | 2 | n/a | n/a |
| 2019 | Mar 28, 2020 | $313M | $300M | 7 | 7 | 3 | n/a | n/a |
| 2018 | Mar 14, 2019 | $260M | $252M | 5 | 5 | 1 | n/a | n/a |
| 2017 | Mar 26, 2018 | $243M | $230M | 5 | 5 | 1 | n/a | n/a |