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S•••••••, LLC, CRD 306872
LOS ANGELES, CA
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.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| C• F•••••••• C•••• | Owner | E | yes | 11/2021 | Dec 12, 2019 | Feb 28, 2023 |
| C• P•••••• W•••••• L•• | Owner | E | yes | 12/2019 | Feb 28, 2023 | Feb 28, 2023 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| C• P•••••• W•••••• L•• | n/a | Independent wealth | $165B | Y | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Phoenix | Az | United States | 4 | no |
| CEDAR RAPIDS | Ia | United States | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2021 | Mar 29, 2022 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2021 | $541M | $451M | 19.9% | n/a | n/a | 12 | 14 | 2 | 1 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| C•••••• | 2 | Mar 31, 2023 | Apr 18, 2024 | LOS ANGELES, CA | Team lift out | RIA to ibd | 100.0% |
| D••• I••••••••• L•• | 2 | Dec 12, 2022 | Dec 5, 2022 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| S••••••• W••••• M••••••••• | 4 | Feb 7, 2020 | Feb 7, 2020 | PHOENIX, AZ | Firm absorbed | RIA to RIA | 50.0% |
| S••••••• W••••• M••••••••• | 4 | Feb 7, 2020 | Jan 16, 2020 |
| Owner |
| E |
| yes |
| 11/2021 |
| Mar 29, 2022 |
| Feb 28, 2023 |
| C••• H•••••••• L•• | Owner | E | yes | 11/2021 | Feb 28, 2023 | Feb 28, 2023 |
| K•••••• J•••••• A• | DIRECTOR OF FINANCIAL PLANNING | Na | yes | 01/2020 | Jan 24, 2020 | Feb 28, 2023 |
| N•••••••• L••••• T•••••• | CHIEF COMPLIANCE OFFICER | Na | yes | 02/2023 | Feb 28, 2023 | Feb 28, 2023 |
| $541M |
| $499M |
| 12 |
| 3 |
| 2 |
| n/a |
| n/a |
| 2020 | Feb 11, 2021 | $451M | $418M | 14 | 14 | 1 | n/a | n/a |
| LOS ANGELES, CA |
| Team lift out |
| RIA to RIA |
| 25.0% |
| NEWPORT BEACH, CA |
| Firm absorbed |
| RIA to RIA |
| 50.0% |