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A••• W••••• M•••••••••, INC., CRD 288450
SARATOGA, CA
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 |
|---|---|---|---|---|---|---|
| J••••• S•••• L••••••• | n/a | SARATOGA, CA | Huntsville, AL | 9 | 32 | 2 | no |
| R•••••• P••• C•••••• | n/a | Dunwoody, GA | SARATOGA, CA | 9 | 29 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| A••• W••••• L•• | Owner | E | yes | 03/2019 | Mar 26, 2019 | Mar 29, 2024 |
| P•••••••• L•••••••• F•••••••• | CHIEF COMPLIANCE OFFICER | Na | yes | 04/2019 | Apr 15, 2019 | Mar 29, 2024 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| LITTLE ROCK | Ar | United States | 2 | no |
| Huntsville | Al | United States | 1 | no |
| Atlanta | Ga | United States | 1 | no |
| n/a | n/a | n/a | 1 | 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 |
|---|---|---|---|---|---|---|---|---|
| 2 | 0 | 2 | 0.0% | 0 | 0 | 0 | 2 | 0 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $130M | $123M | 5.9% | $173M | -9.1% | 9 | 10 | 4 | 4 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| C•••••• W••••• M••••••••• | 2 | Dec 31, 2017 | Sep 22, 2017 | SAN JOSE, CA | Team lift out | Other | 25.0% |
| no |
| C•••••• F•••••• M•••••• | n/a | SARATOGA, CA | 6 | 30 | 4 | no |
| C••••• K•••••••• C••• | n/a | Little Rock, AR | SARATOGA, CA | 6 | 22 | 2 | no |
| E•••••••• N•• L••• | n/a | SARATOGA, CA | 0 | 20 | 5 | no |
| L••••••• F•••••••• P••••••• | n/a | SARATOGA, CA | 0 | 13 | 2 | no |
| $130M |
| $122M |
| 9 |
| 6 |
| 4 |
| n/a |
| n/a |
| 2024 | Apr 15, 2025 | $123M | $116M | 10 | 8 | 4 | n/a | n/a |
| 2023 | Mar 29, 2024 | $194M | $99.1M | 10 | 8 | 5 | n/a | n/a |
| 2022 | Mar 31, 2023 | $173M | $90.3M | 10 | 8 | 5 | n/a | n/a |
| 2021 | Mar 29, 2022 | $196M | $108M | 10 | 10 | 5 | n/a | n/a |
| 2020 | Mar 30, 2021 | $173M | $103M | 10 | 10 | 5 | n/a | n/a |
| 2019 | Mar 12, 2020 | $162M | $161M | 10 | 10 | 5 | n/a | n/a |
| 2018 | Mar 26, 2019 | $131M | $88.9M | 10 | 10 | 6 | n/a | n/a |
| 2017 | Mar 29, 2018 | $148M | $99.9M | 10 | 10 | 6 | n/a | n/a |