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CRD 131962
WAKEFIELD, MA
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 |
|---|---|---|---|---|---|---|
| K••• L• H•••••••• | n/a | WEST NEWBURY, MA | WAKEFIELD, MA | 23 | 39 | n/a | yes |
| P••• V• R••• | Certified Financial Planner | WAKEFIELD, MA | 20 | 37 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| R•••• P•••• V• | Cco | E | yes | 01/1998 | Oct 4, 2017 | Nov 20, 2024 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| n/a | n/a | n/a | 1 | yes |
| 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 |
|---|---|---|---|---|---|---|---|---|
| 0 | 0 | 0 | 0.0% | 0 | 0 | 0 | 0 | 0 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $749M | $608M | 23.2% | $289M | 37.4% | 7 | 7 | 0 | 1 |
| yes |
| D••••• A••• J•••• | n/a | WAKEFIELD, MA | 11 | 32 | n/a | yes |
| S•••• L•••• F•••••••• | n/a | WAKEFIELD, MA | 9 | 38 | 3 | yes |
| R•••••• P••• J•••• | n/a | WAKEFIELD, MA | 9 | 33 | n/a | no |
| S•••••• M•••••• S•••••• | n/a | WAKEFIELD, MA | Plymouth, MA | 8 | 30 | n/a | yes |
| S•••• N• B•• | n/a | WAKEFIELD, MA | 8 | 26 | n/a | yes |
| B•••••• N•• R••• | n/a | WAKEFIELD, MA | West Chatham, MA | 7 | 17 | n/a | yes |
| M•••••• B••••••• | n/a | WAKEFIELD, MA | 0 | 16 | n/a | no |
| $749M |
| $732M |
| 7 |
| 4 |
| 0 |
| n/a |
| n/a |
| 2024 | Mar 31, 2025 | $608M | $594M | 7 | 4 | 1 | n/a | n/a |
| 2023 | Mar 28, 2024 | $421M | $406M | 7 | 4 | 1 | n/a | n/a |
| 2022 | Mar 31, 2023 | $289M | $275M | 7 | 4 | 1 | n/a | n/a |
| 2021 | Mar 31, 2022 | $291M | $278M | 7 | 4 | 1 | n/a | n/a |
| 2020 | Mar 31, 2021 | $253M | $240M | 9 | 4 | 1 | n/a | n/a |
| 2019 | Mar 31, 2020 | $202M | $191M | 13 | 6 | 1 | n/a | n/a |
| 2018 | Mar 31, 2019 | $161M | $151M | 8 | 5 | 2 | n/a | n/a |
| 2017 | May 4, 2018 | $138M | $133M | 8 | 6 | 1 | n/a | n/a |