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CRD 123793
GREENWOOD, IN
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••••• L••• M•••••• | n/a | GREENWOOD, IN | 10 | 13 | 1 | no |
| L••• K••••• D•••••• | n/a | GREENWOOD, IN | Firestone, CO | 8 | 14 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| D••••••• L•••• K••••• | CHIEF COMPLIANCE OFFICER | B | yes | 01/2017 | Dec 14, 2017 | Nov 18, 2024 |
| M••••••• M••••••• J••••• | Ceo | D | yes | 05/1982 | Jan 19, 2016 | Nov 18, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| F•••••••• P••••••• I••••••••• I•• | n/a | n/a | n/a | Y | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Indianapolis | In | United States | 3 | 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 | $611M | $460M | 32.6% | $431M | 12.3% | 12 | 5 | 1 | 1 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| I••••• F•••••••• C••••••••• | 2 | Dec 18, 2015 | Oct 6, 2017 | GREENWOOD, IN | Team lift out | Other | 0.3% |
| no |
| B•••• W• S••••••• | Certified Financial Planner | GREENWOOD, IN | 5 | 10 | n/a | no |
| M•••••• A•••••••• B••••• | n/a | GREENWOOD, IN | 2 | 13 | n/a | no |
| G•••• T• N••••• | n/a | GREENWOOD, IN | 1 | 12 | n/a | no |
| S••• T•••••• R•••••• | n/a | GREENWOOD, IN | 0 | 10 | n/a | no |
| Coo |
| B |
| no |
| 01/2017 |
| Dec 14, 2017 |
| Nov 18, 2024 |
| S•••••••• B••••• W• | Member | B | no | 01/2020 | Nov 18, 2024 | Nov 18, 2024 |
| $611M |
| $601M |
| 12 |
| 5 |
| 1 |
| n/a |
| n/a |
| 2024 | Mar 21, 2025 | $460M | $460M | 5 | 4 | 1 | n/a | n/a |
| 2023 | Mar 18, 2024 | $550M | $543M | 5 | 4 | 1 | n/a | n/a |
| 2022 | Mar 17, 2023 | $431M | $426M | 6 | 5 | 1 | n/a | n/a |
| 2021 | Mar 15, 2022 | $620M | $609M | 6 | 5 | 1 | n/a | n/a |
| 2020 | Mar 23, 2021 | $500M | $489M | 6 | 5 | 1 | n/a | n/a |
| 2019 | Feb 27, 2020 | $430M | $416M | 10 | 5 | 1 | n/a | n/a |
| 2018 | Mar 5, 2019 | $366M | $357M | 5 | 4 | 2 | n/a | n/a |
| 2017 | Mar 20, 2018 | $412M | $8.6M | 4 | 3 | 2 | n/a | n/a |
| 2016 | Mar 26, 2017 | $308M | $304M | 9 | 4 | n/a | n/a | n/a |