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CRD 151462
DEWITT, NY
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 |
|---|---|---|---|---|---|---|
| DAVID MARK MULLEN | n/a | DEWITT, NY | 15 | 42 | n/a | yes |
| HEIDI LINDA REXFORD | n/a | DUNCANVILLE, PA | DEWITT, NY | 13 | 24 | 2 | yes |
| TIMOTHY JOHN HOAG | n/a | DEWITT, NY | Cheektowaga, NY | 13 | 19 | 2 | yes |
| PETER CARROLL WARD | n/a | DEWITT, NY | CAZENOVIA, NY | 10 | 20 | 3 | yes |
| MICHAEL PATRICK WARD | n/a | CAZENOVIA, NY | DEWITT, NY | 7 | 19 | n/a | yes |
| MICHAEL PAUL PFEUFFER | n/a | PITTSBURGH, PA | DEWITT, NY | 6 | 23 | 2 | yes |
| ANTHONY MICHAEL ROMANTINO | n/a | CARNEGIE, PA | DEWITT, NY | 5 | 42 | 2 | yes |
| THOMAS MURRAY STEFFEY | n/a | PUNXSUTAWNEY, PA | DEWITT, NY | 5 | 34 | 1 | yes |
| STEPHEN MICHAEL POLIZZI | n/a | DEWITT, NY | VICTOR, NY | 5 | 39 | 1 | yes |
| CLYDE GOLDBERG | n/a | DEWITT, NY | 5 | 39 | 5 | yes |
| ALEXANDER SOTIR JOSEPH | n/a | DEWITT, NY | 5 | 17 | n/a | yes |
| MICHAEL DAVID CRONIN | n/a | Dewitt, NY | 5 | 21 | n/a | yes |
| BRIAN CHARLES CAMERON | n/a | NANUET, NY | DEWITT, NY | 5 | 39 | n/a | yes |
| DOUGLAS JAMES CRONIN | n/a | DEWITT, NY | SYRACUSE, NY | 5 | 21 | n/a | yes |
| EDMOND JAMES THEOBALD | n/a | DEWITT, NY | 5 | 26 | n/a | yes |
| GEORGE KURT FINKBEINER | n/a | SYRACUSE, NY | DEWITT, NY | 5 | 41 | n/a | yes |
| DAVID MICHAEL DESIMONE | n/a | CONSTANTIA, NY | DEWITT, NY | 5 | 39 | n/a | yes |
| THOMAS MICHAEL WALSH | n/a | DEWITT, NY | 5 | 37 | n/a | yes |
| STEPHEN PAUL WILKIE | n/a | DEWITT, NY | 5 | 31 | n/a | yes |
| MARK ALLEN KIRSCHE | n/a | DEWITT, NY | LIVERPOOL, NY | 5 | 31 | n/a | yes |
| JANE EILEEN SLACK | n/a | OLD FORGE, NY | DEWITT, NY | 5 | 42 | n/a | yes |
| WILLIAM CHARLES FARRANCE | n/a | DEWITT, NY | CAZENOVIA, NY | 5 | 25 | n/a | yes |
| PETER ANTHONY TALLARICO | n/a | DEWITT, NY | Baldwinsville, NY | 5 | 20 | n/a | yes |
| RUSSELL JAMES GROSJEAN | n/a | DEWITT, NY | CHEEKOWAGA, NY | 5 | 44 | n/a | yes |
| NATALY ANNA ROMBEL | n/a | DEWITT, NY | SYRACUSE, NY | 2 | 21 | n/a | yes |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| JOSEPH, ALEXANDER, SOTIR | CEO; MEMBER | E | yes | 06/2003 | Mar 28, 2012 | Mar 27, 2024 |
| MULLEN, DAVID, MARK | PRESIDENT/CHIEF COMPLIANCE OFFICER; MEMBER | B | yes | 06/2003 | Mar 28, 2012 | Mar 27, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| ALEX S. JOSEPH ASSOCIATES, INC. | n/a | n/a | n/a | N | no | n/a |
| CROWN RISK MANAGEMENT LLC | n/a | n/a | n/a | Y | yes | n/a |
| HAZARD & SIEGEL AGENCY LLC | n/a | n/a | n/a | N | yes | n/a |
| HAZARD & SIEGEL, INC. | n/a | n/a | n/a | N | yes | n/a |
| OMEGA, INC. | n/a | n/a | n/a | N | no | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Syracuse | NY | United States | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 31, 2026 | $450M | $0 | 24 | 23 | 1 | n/a | n/a |
| 2024 | Apr 1, 2025 | $378M | $0 | 24 | 23 | 1 | n/a | n/a |
| 2023 | Mar 27, 2024 | $342M | $0 | 26 | 25 | 1 | n/a | n/a |
| 2022 | Mar 31, 2023 | $287M | $0 | 28 | 25 | 1 | n/a | n/a |
| 2021 | Mar 4, 2022 | $256M | $0 | 15 | 12 | 1 | n/a | n/a |
| 2020 | Mar 26, 2021 | $231M | $0 | 15 | 12 | 1 | n/a | n/a |
| 2019 | Mar 27, 2020 | $190M | $0 | 14 | 11 | 1 | n/a | n/a |
| 2018 | Mar 27, 2019 | $153M | $0 | 14 | 11 | 2 | n/a | n/a |
| 2017 | Mar 23, 2018 | $166M | $0 | 14 | 11 | 2 | n/a | n/a |
| 2016 | Mar 27, 2017 | $139M | $0 | 15 | 12 | n/a | n/a | n/a |
| 2015 | Mar 25, 2016 | $122M | $122M | 15 | 12 | n/a | n/a | n/a |
| 2014 | Mar 31, 2015 | $191M | $0 | 15 | 12 | n/a | n/a | n/a |
| 2013 | Mar 3, 2014 | $180M | $0 | 35 | 35 | n/a | n/a | n/a |
| 2012 | Apr 2, 2013 | $151M | $297,000 | 29 | 29 | n/a | n/a | n/a |
| 2011 | Mar 28, 2012 | $115M | $59.2M | n/a | n/a | n/a | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 2 | 1 | 1 | 3.7% | 1 | 1 | 0 | 2 | 3 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $450M | $378M | 18.8% | $287M | 16.2% | 24 | 24 | 1 | 1 |