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CRD 319232
COLORADO SPRINGS, CO
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 |
|---|---|---|---|---|---|---|
| E••• C••••••••• J•••••• | Certified Financial Planner|Chartered Financial Consultant|Personal Financial Specialist | COLORADO SPRINGS, CO | 3 | 22 | 4 | no |
| H•••••• J••• T••••••• | n/a | COLORADO SPRINGS, CO | WALPOLE, NH | 3 | 16 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| J••••••• E•••• C••••••••• | Ceo | E | yes | 06/2022 | Jun 17, 2022 | Jun 4, 2024 |
| Z•••••••• M••••• K••• | CHIEF COMPLIANCE OFFICER | Na | yes | 01/2023 | Jun 22, 2022 | Jun 4, 2024 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| n/a | n/a | n/a | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 25, 2026 |
| 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 | 1 | 0 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $48.2M | $38.5M | 25.2% | $0 | n/a | 8 | 8 | 5 | 1 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| I••••••••• A•••••• G•••• | 4 | Dec 31, 2022 | Jun 11, 2024 | HANCOCK, NY | Team lift out | RIA to new firm | 44.4% |
| 2 |
| no |
| C•••• P••• M••••• | n/a | COLORADO SPRINGS, CO | 3 | 31 | 2 | no |
| R•••• A••• N••••••• | n/a | BOISE, ID | COLORADO SPRINGS, CO | 3 | 38 | 8 | no |
| G•••• M•••••• G•••••• | Certified Financial Planner | MAITLAND, FL | COLORADO SPRINGS, CO | 3 | 12 | 3 | no |
| M•••• K••• Z••••••• | Certified Financial Planner | WILLIAMSTOWN, NJ | COLORADO SPRINGS, CO | 2 | 19 | 3 | no |
| $48.2M |
| $48.2M |
| 8 |
| 6 |
| 5 |
| n/a |
| n/a |
| 2024 | Apr 30, 2025 | $38.5M | $38.5M | 8 | 6 | 1 | n/a | n/a |
| 2023 | Mar 31, 2024 | $30.0M | $30.0M | 10 | 6 | 1 | n/a | n/a |
| 2022 | Mar 31, 2023 | $0 | $0 | 6 | 6 | 1 | n/a | n/a |