Reading the graph
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
CRD 304405
WASHINGTON, DC
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
Dated 2026-09-02 (filing); first seen by DFX 2026-09-23.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| D•••• L•••• L•••••••• | n/a | WASHINGTON, DC | 6 | 11 | 1 | no |
| F•••••••• J••• B••• | n/a | WASHINGTON, DC | Lawrence, KS | 6 | 13 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| 1••• C•••••• G•••• H•••••••• L•• | Shareholder | F | yes | 10/2018 | Mar 3, 2023 | Dec 5, 2024 |
| 1••• C•••••• G••••• I•• | MANAGING MEMBER | E | yes | 10/2018 | Mar 3, 2023 | Dec 5, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| Z•••••• C•••••• M••••••••• L•• | n/a | Former SEC adviser | $6.6B | N | yes | n/a |
| E•••••• A•••••••• L•• | n/a | Institutional manager | $3.3B | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Chicago | IL | United States | 9 | no |
| ST L•••• | Mo | United States | 9 | no |
| Milwaukee | Wi | United States | 6 | no |
| LOS ANGELES | CA | United States | 4 | no |
| Lawrence | Ks | 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 |
|---|---|---|---|---|---|---|---|---|
| 5 | 4 | 1 | 23.5% | 0 | 4 | 0 | 6 | 5 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $18B | $17B | 5.0% | $1.9B | 111.8% | 83 | 70 | 8 | 10 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| F• L• P••••• I••••••••• M••••••••• C•• | 2 | Sep 2, 2026 | Sep 1, 2026 | WASHINGTON, DC | Team lift out | Other | 10.0% |
| C••• C•••••• M••••••••• L••• | 2 | Jul 16, 2020 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| O••••••• C•••••• A•••••••• L•• | 2 | Jul 7, 2026 | Oct 16, 2025 | LOS ANGELES, CA | Team lift out | Other | 66.7% |
| A••••• A•••• M••••••••• U•• I••• | 2 | Apr 25, 2025 | Mar 16, 2026 |
| no |
| J••••• D•••• H••••••• | n/a | Norwood, MA | WASHINGTON, DC | 6 | 24 | 1 | no |
| R•••••• S•••• L••••• | n/a | WASHINGTON, DC | Chicago, IL | 4 | 11 | n/a | no |
| C•••• C••• H•• | Chartered Financial Analyst | WASHINGTON, DC | Los Angeles, CA | 3 | 15 | 1 | no |
| G••• A••• H•••••• | Chartered Financial Analyst | WASHINGTON, DC | ST. L••••, MO | 2 | 38 | 3 | no |
| K•••• P••••• W••••• | Chartered Financial Analyst | WASHINGTON, DC | ST. L••••, MO | 2 | 21 | 3 | no |
| D••••• R•••••• S••••• | Chartered Financial Analyst | ST. L••••, MO | WASHINGTON, DC | 2 | 21 | 4 | no |
| M••••• Z••••• | n/a | WASHINGTON, DC | Los Angeles, CA | 1 | 19 | 1 | no |
| B•••• P••••• J••••• | Chartered Financial Analyst | Los Angeles, CA | WASHINGTON, DC | 0 | 21 | 5 | no |
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| A•••••••• R••••• M••••• | n/a | WASHINGTON, DC | 0 | 10 | 1 | no |
| M•••••• J• B•••• | Certified Financial Planner | WASHINGTON, DC | 0 | 11 | 2 | yes |
| E•••••••• B••••• | n/a | Boston, MA | 0 | 18 | 2 | yes |
| K••••• C•••••• C•••••• | n/a | Boston, MA | 0 | 11 | 2 | yes |
| Member |
| E |
| yes |
| 10/2018 |
| Mar 3, 2023 |
| Dec 5, 2024 |
| B••••••• C••••••• A••••• | MEMBER/MANAGER | F | yes | 06/2016 | Mar 3, 2023 | Dec 5, 2024 |
| C••••• A•••• V••••• | DIRECTOR OF TRADING AND OPERATIONS | Na | yes | 06/2019 | Apr 23, 2024 | Dec 5, 2024 |
| D••••• T•••••• | CHIEF FINANCIAL OFFICER | Na | yes | 07/2024 | Dec 5, 2024 | Dec 5, 2024 |
| F•• M••••••• G•••• P••••• L•• | Member | E | yes | 10/2018 | Dec 5, 2024 | Dec 5, 2024 |
| F•• M••••••• G••••• L•• | Owner | E | yes | 01/2023 | Mar 29, 2024 | Dec 5, 2024 |
| F•• M••••••• G••••• L•• | Owner | C | yes | 10/2024 | Mar 29, 2024 | Dec 5, 2024 |
| H•••••• J•••• T••••• | MEMBER/MANAGER | D | yes | 01/2018 | Mar 3, 2023 | Dec 5, 2024 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| J••••••• K••• | GENERAL COUNSEL AND CHIEF OPERATING OFFICER | Na | yes | 02/2023 | Apr 23, 2024 | Dec 5, 2024 |
| L••••••••• D••••• L•••• | President | Na | yes | 05/2019 | May 28, 2019 | Dec 5, 2024 |
| M••••••• C••••••••• J•••• | Member | F | yes | 07/2016 | Mar 3, 2023 | Dec 5, 2024 |
| M•••••• A•••••• H••• | CHIEF COMPLIANCE OFFICER | Na | yes | 11/2024 | Dec 5, 2024 | Dec 5, 2024 |
| M•••••• A••••••••• R••••• | CHIEF EXECUTIVE OFFICER | Na | yes | 05/2019 | May 28, 2019 | Dec 5, 2024 |
| W•••••• M••••••• A••••• R••• | Member | F | yes | 07/2016 | Mar 3, 2023 | Dec 5, 2024 |
| Z•• | Owner | C | yes | 03/2024 | Apr 23, 2024 | Dec 5, 2024 |
| M•• V•••• I••••••••• P•••••••• L•• | n/a | Other adviser | $1.1B | N | yes | n/a |
| C••••••••• R••••••• P•••••••• L•• | n/a | Asset manager | $822M | N | yes | n/a |
| O••••••• C•••••• A•••••••• L•• | n/a | Former SEC adviser | $5.7M | N | yes | n/a |
| F•• D••••••••• L•• | n/a | n/a | n/a | N | yes | n/a |
| no |
| Boston | Ma | United States | 1 | no |
| n/a | n/a | n/a | 1 | no |
| $18B |
| $18B |
| 83 |
| 46 |
| 9 |
| n/a |
| n/a |
| 2024 | Apr 3, 2025 | $17B | $15B | 70 | 38 | 10 | n/a | n/a |
| 2023 | Mar 29, 2024 | $5.9B | $5.9B | 15 | 8 | 5 | n/a | n/a |
| 2022 | Mar 3, 2023 | $1.9B | $1.8B | 18 | 16 | 4 | n/a | n/a |
| 2021 | Mar 31, 2022 | $1.4B | $1.4B | 21 | 15 | 5 | n/a | n/a |
| 2020 | Mar 8, 2021 | $1.5B | $1.4B | 20 | 12 | 5 | n/a | n/a |
| 2019 | Mar 17, 2020 | $10.5M | $10.5M | 8 | 5 | 0 | n/a | n/a |
| CINCINNATI, OH |
| Team lift out |
| Other |
| 66.7% |
| BOSTON, MA |
| Team lift out |
| Other |
| 3.6% |
| Z•• | 3 | May 15, 2024 | Apr 2, 2024 | ST L••••, MO | Firm absorbed | Other | 50.0% |
| Z•• | 3 | May 15, 2024 | Apr 2, 2024 | MILWAUKEE, WI | Firm absorbed | Other | 50.0% |
| V••••••• A••••••• S••••••••• I••• | 2 | Oct 4, 2019 | Jan 1, 2026 | WAKEFIELD, MA | Team lift out | Other | 100.0% |