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CRD 157998
GLEN CARBON, 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 |
|---|---|---|---|---|---|---|
| M••• V•••••• A•••••• | Certified Financial Planner | GLEN CARBON, IL | 8 | 12 | 1 | yes |
| J••••• M•••••• A•••••• | Certified Financial Planner | GLEN CARBON, IL | 8 | 13 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| A••••••• J•••••• M•••••• | SHAREHOLDER, CHIEF COMPLIANCE OFFICER, PARTNER | D | yes | 01/2018 | Mar 19, 2018 | Jul 26, 2024 |
| A••••••• M•••• V•••••• | SHAREHOLDER, PARTNER | D | yes | 01/2018 | Jul 13, 2018 | Jul 26, 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 |
| 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 | $792M | $567M | 39.5% | $345M | 31.9% | 9 | 10 | 1 | 1 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| V•••••••• W••••• A•••••••• L•• | 2 | Mar 27, 2015 | Aug 26, 2014 | GLEN CARBON, IL | Team lift out | Other | 66.7% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| V•••••••• W••••• A•••••••• L•• | 3 | Nov 21, 2017 | Sep 7, 2018 | ST LOUIS, MO | Team lift out | Other | 11.1% |
| no |
| S•••• D•••••• C••••• | n/a | FORT MYERS, FL | GLEN CARBON, IL | 8 | 31 | 4 | no |
| M•••••• R••••• W•••••• | Certified Financial Planner | GLEN CARBON, IL | 7 | 12 | 3 | yes |
| J•••••• R••• W••••• | n/a | GLEN CARBON, IL | 4 | 10 | 1 | no |
| T•••• H•••• | n/a | GLEN CARBON, IL | 1 | 10 | n/a | no |
| $792M |
| $792M |
| 9 |
| 6 |
| 1 |
| n/a |
| n/a |
| 2024 | Feb 14, 2025 | $567M | $567M | 10 | 6 | 1 | n/a | n/a |
| 2023 | Feb 22, 2024 | $470M | $470M | 9 | 5 | 1 | n/a | n/a |
| 2022 | Feb 7, 2023 | $345M | $345M | 9 | 5 | 1 | n/a | n/a |
| 2021 | Feb 25, 2022 | $338M | $338M | 8 | 6 | 1 | n/a | n/a |
| 2020 | Feb 2, 2021 | $255M | $255M | 5 | 5 | 1 | n/a | n/a |
| 2019 | Feb 7, 2020 | $198M | $198M | 4 | 4 | 0 | n/a | n/a |
| 2018 | Jan 23, 2019 | $197M | $156M | 3 | 3 | 0 | n/a | n/a |
| 2014 | Mar 30, 2015 | $0 | $0 | 1 | 1 | n/a | n/a | n/a |