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CRD 132436
ROSEMARY BEACH, FL
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| C••••••••• S•••• O•••••• | n/a | Wayne, PA | ROSEMARY BEACH, FL | 2 | 32 | 3 | yes |
| C••••••••• A•••• W••• | n/a | ROSEMARY BEACH, FL | Hull, MA | 1 | 22 |
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| A••••••• F••• I••••••••• P•••••••• L••• | Hedge Fund | $37.1M | Mar 28, 2024 | 25 | Mar 31, 2015 | reported | 021-239493 |
| A••••••• P••••••• F••• L• | Hedge Fund | $14.8M | Mar 23, 2017 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| C••••••• J••••• P•••••• | MANAGING MEMBER, CHIEF INVESTMENT OFFICER | C | yes | 07/2004 | Mar 28, 2012 | Mar 28, 2024 |
| H•••••• B••••• D•••• | MANAGING MEMBER, SALES AND MARKETING | B | yes | 07/2004 | Mar 28, 2012 | Mar 28, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| A•• F••• A••••••••• G•• L•• | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Wilton | Ct | United States | 2 | no |
| Brandenton | FL | United States | 1 | no |
| n/a | n/a | n/a | 1 | no |
| Dover | Nh | United States | 0 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 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 | $2.2B | $1.8B | 25.6% | $1.7B | 10.0% | 16 | 16 | 5 | 5 |
| yes |
| J••••••• L•••• | n/a | ROSEMARY BEACH, FL | MIami Beach, FL | 1 | 17 | 1 | yes |
| B•••• D•••• H••••• | n/a | Dover, NH | ROSEMARY BEACH, FL | Moultonborough, NH | 1 | 35 | 2 | yes |
| 9 |
| Oct 30, 2014 |
| dropped |
| 021-228512 |
| MEMBER, GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER |
| A |
| no |
| 02/2018 |
| Feb 16, 2018 |
| Mar 28, 2024 |
| K•••••••• N•••• H••••• | MEMBER, CHIEF OPERATIONS OFFICER | A | no | 09/2005 | Mar 29, 2021 | Mar 28, 2024 |
| W••••••••• W••••••••• C••••• | Member | B | no | 09/2006 | Mar 26, 2014 | Mar 28, 2024 |
| W•••• C••••••••• A•••• | MEMBER, SALES AND MARKETING | B | no | 07/2004 | Mar 28, 2012 | Mar 28, 2024 |
| Mar 27, 2026 |
| $2.2B |
| $2.1B |
| 16 |
| 7 |
| 5 |
| 1 |
| n/a |
| 2024 | Mar 25, 2025 | $1.8B | $1.7B | 16 | 7 | 5 | 1 | n/a |
| 2023 | Mar 28, 2024 | $1.6B | $1.6B | 15 | 7 | 5 | 1 | $37.1M |
| 2022 | Mar 21, 2023 | $1.7B | $1.7B | 12 | 5 | 3 | n/a | n/a |
| 2021 | Mar 31, 2022 | $1.3B | $1.3B | 13 | 5 | 2 | n/a | n/a |
| 2020 | Mar 29, 2021 | $627M | $627M | 7 | 2 | 0 | n/a | n/a |
| 2019 | Mar 27, 2020 | $350M | $350M | 8 | 2 | 0 | n/a | n/a |
| 2018 | Mar 28, 2019 | $239M | $239M | 9 | 2 | 0 | n/a | n/a |
| 2017 | Feb 16, 2018 | $317M | $317M | 9 | 2 | 0 | n/a | n/a |
| 2016 | Mar 23, 2017 | $632M | $632M | 9 | 2 | n/a | 1 | $14.8M |
| 2015 | Mar 22, 2016 | $979M | $979M | 9 | 2 | n/a | 1 | $10.4M |
| 2014 | Mar 30, 2015 | $1.8B | $1.8B | 9 | 2 | n/a | 1 | $7.1M |
| 2013 | Mar 26, 2014 | $3.4B | $3.4B | 8 | 2 | n/a | n/a | n/a |
| 2012 | Mar 28, 2013 | $4.3B | $4.3B | 8 | 2 | n/a | n/a | n/a |
| 2011 | Mar 28, 2012 | $4.5B | $4.5B | n/a | n/a | n/a | n/a | n/a |