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CRD 322163
ALTOONA, PA
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 |
|---|---|---|---|---|---|---|
| A•• L••• D••••••• | n/a | ALTOONA, PA | 3 | 27 | 2 | no |
| S•••• M•••• A••••••• | n/a | ALTOONA, PA | 3 | 22 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| S••••••• J••••••• N••••••• | CHIEF COMPLIANCE OFFICER/CO-MANAGING MEMBER | D | yes | 07/2022 | Jul 22, 2022 | Oct 30, 2024 |
| S••••••• K••••••• K••••• | CO-MANAGING MEMBER | D | yes | 07/2022 | Jul 22, 2022 | Oct 30, 2024 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| n/a | n/a | n/a | 2 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 12, 2026 |
| 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 | 1 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $556M | $472M | 17.6% | $340M | 17.8% | 10 | 9 | 2 | 2 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| R•••••• J•••• F•••••••• S••••••• A•••••••• I•• | 6 | Oct 10, 2022 | Oct 1, 2022 | ALTOONA, PA | Team lift out | Ibd to new firm | 0.1% |
| no |
| J•••••• N••••••• S•••••• | Certified Financial Planner | Myrtle Beach, SC | ALTOONA, PA | Hollidaysburg, PA | 3 | 12 | 1 | no |
| K•••••• K••••• S•••••• | Certified Financial Planner | Hollidaysburg, PA | ALTOONA, PA | Myrtle Beach, SC | 3 | 12 | 1 | no |
| K••• W• M••••••••• | Certified Financial Planner | ALTOONA, PA | 3 | 10 | 1 | no |
| J••••• R•••••• B••• | Certified Financial Planner | ALTOONA, PA | 3 | 10 | n/a | no |
| J•••••• D••••• B•••• | Certified Financial Planner | ALTOONA, PA | 2 | 12 | n/a | no |
| R••••• S••••••• K•••••• | n/a | ALTOONA, PA | 0 | 14 | n/a | no |
| $556M |
| $556M |
| 10 |
| 6 |
| 2 |
| n/a |
| n/a |
| 2024 | Mar 20, 2025 | $472M | $472M | 9 | 5 | 2 | n/a | n/a |
| 2023 | Mar 22, 2024 | $411M | $411M | 9 | 5 | 0 | n/a | n/a |
| 2022 | Feb 14, 2023 | $340M | $340M | 9 | 5 | 1 | n/a | n/a |