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CRD 158023
BUFFALO GROVE, IL
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 |
|---|---|---|---|---|---|---|
| G•••••• D•••• L•••• | n/a | BUFFALO GROVE, IL | 15 | 20 | 1 | no |
| R•••• J•• C•••• | Chartered Financial Consultant | West Hartford, CT | BUFFALO GROVE, IL | 13 | 46 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| L••••• G••••••• D•••• | CHIEF EXECUTIVE OFFICER | C | yes | 05/2011 | Apr 24, 2015 | Mar 30, 2024 |
| L••••• S•••••• R•••••• | Owner | C | yes | 05/2011 | Apr 24, 2015 | Mar 30, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| S•• F•••••••• | n/a | n/a | n/a | N | yes | n/a |
| S•• T•• A•••••••• L•• | n/a | n/a | n/a | Y | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| WEST HARTFORD | Ct | United States | 2 | no |
| Lewes | De | United States | 2 | no |
| Hamilton | Nj | United States | 2 | no |
| Norman | Ok | United States | 1 | no |
| Fredricksburg | Va | 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 |
|---|---|---|---|---|---|---|---|---|
| 1 | 1 | 0 | 7.1% | 0 | 0 | 0 | 7 | 5 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $416M | $219M | 90.3% | $169M | 35.1% | 33 | 31 | 3 | 3 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| T••••• F•••••••• G••••• I••• | 2 | Aug 5, 2024 | Jul 31, 2024 | LEWES, DE | Team lift out | RIA to RIA | 15.4% |
| no |
| S••••• R•••••• L•••• | n/a | BUFFALO GROVE, IL | 13 | 35 | n/a | no |
| D•••• J•••• C•••• | n/a | BUFFALO GROVE, IL | West Hartford, CT | 13 | 16 | n/a | no |
| S••••• J•••• T••••• | n/a | BUFFALO GROVE, IL | 11 | 42 | n/a | no |
| D•••• S•••••• | n/a | Rhinelandar, WI | 11 | 32 | n/a | no |
| M••••• L••••••• | n/a | BUFFALO GROVE, IL | 4 | 25 | 3 | no |
| R••••• J••• E•••••••• | n/a | Buffalo Grove, IL | 4 | 21 | 5 | no |
| M••••• W•••••• K•••••••• | n/a | Buffalo Grove, IL | 3 | 10 | n/a | no |
| R••••• D••••• M•••• | n/a | NORMAN, OK | 2 | 35 | 2 | no |
| D•••••• D••••• D•••••• | n/a | Buffalo Grove, IL | 1 | 11 | 2 | no |
| R•••• P•••••• S••••••••• | n/a | Buffalo Grove, IL | 1 | 12 | 1 | no |
| L•••••• J•••• | n/a | Buffalo Grove, IL | 0 | 10 | n/a | no |
| K•••• G•••• | n/a | BUFFALO GROVE, IL | 0 | 12 | 1 | no |
| CHIEF OPERATING OFFICER / CHIEF COMPLIANCE OFFICER |
| B |
| yes |
| 07/2014 |
| Apr 24, 2015 |
| Mar 30, 2024 |
| no |
| Rhinelander | Wi | United States | 1 | no |
| $416M |
| $414M |
| 33 |
| 13 |
| 3 |
| n/a |
| n/a |
| 2024 | Mar 25, 2025 | $219M | $217M | 31 | 15 | 3 | n/a | n/a |
| 2023 | Mar 30, 2024 | $214M | $214M | 19 | 16 | 6 | n/a | n/a |
| 2022 | Mar 14, 2023 | $169M | $169M | 12 | 12 | 8 | n/a | n/a |
| 2021 | Mar 31, 2022 | $164M | $163M | 12 | 12 | 10 | n/a | n/a |
| 2020 | Mar 26, 2021 | $143M | $143M | 16 | 16 | 11 | n/a | n/a |
| 2019 | Mar 31, 2020 | $90.7M | $90.7M | 19 | 19 | 10 | n/a | n/a |
| 2018 | Mar 27, 2019 | $74.4M | $74.4M | 22 | 22 | 22 | n/a | n/a |
| 2017 | Mar 14, 2018 | $84.3M | $84.3M | 31 | 31 | 22 | n/a | n/a |
| 2016 | Mar 22, 2017 | $78.6M | $78.6M | 35 | 35 | n/a | n/a | n/a |
| 2015 | Mar 29, 2016 | $54.4M | $54.4M | 28 | 28 | n/a | n/a | n/a |