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CRD 289759
JERICHO, 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 |
|---|---|---|---|---|---|---|
| J•••• J•••• G••••••• | Certified Financial Planner | Jericho, NY | 7 | 22 | 4 | yes |
| K•••••••• M••• D••••••••• | Certified Financial Planner | JERICHO, NY | 7 | 27 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| C•••••• C••••••••• H• | CHIEF OPERATING OFFICER OFFICER | A | yes | 01/2021 | Feb 14, 2026 | Feb 14, 2026 |
| G•••••••• J••••• J•••• | MANAGING MEMBER AND PRINCIPAL | C | yes | 01/2019 | Feb 14, 2026 | Feb 14, 2026 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| O••• I•••••••• A••••• L•• | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Greenwich | Ct | United States | 1 | yes |
| WHITE PLAINS | NY | United States | 1 | yes |
| 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 | 1 | 1 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $1.2B | $1.0B | 20.3% | $633M | 25.1% | 20 | 17 | 0 | 3 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| M••••• S•••••• | 3 | Jan 22, 2019 | Jan 22, 2019 | GREAT NECK, NY | Team lift out | Wirehouse to new firm | 0.0% |
| yes |
| L•• A• K••• | n/a | JERICHO, NY | 7 | 28 | 3 | yes |
| J••••• N••• F••••• | Certified Financial Planner | JERICHO, NY | 7 | 22 | 1 | yes |
| M•••••• P••• K••••• | Certified Financial Planner | Alexandria, VA | JERICHO, NY | 5 | 24 | n/a | yes |
| G••• C•••••• | n/a | JERICHO, NY | 4 | 30 | 3 | yes |
| C•••••••• N••••••• | n/a | JERICHO, NY | 4 | 15 | 1 | no |
| C•••••• B•••••• | Certified Financial Planner | Waverly Township, PA | JERICHO, NY | 2 | 15 | 5 | no |
| J•••• H• B••••••••• | n/a | JERICHO, NY | 1 | 10 | n/a | no |
| D••••• L•••• G•••••• | n/a | JERICHO, NY | 1 | 13 | n/a | yes |
| MANAGING MEMBER AND PRINCIPAL |
| C |
| yes |
| 01/2019 |
| Feb 14, 2026 |
| Feb 14, 2026 |
| F•••••• J•••••• N••• | MANAGING MEMBER AND PRINCIPAL | A | yes | 01/2019 | Jan 18, 2019 | Mar 28, 2024 |
| $1.2B |
| $654M |
| 20 |
| 9 |
| 0 |
| n/a |
| n/a |
| 2024 | Mar 21, 2025 | $1.0B | $548M | 17 | 7 | 3 | n/a | n/a |
| 2023 | Mar 26, 2024 | $826M | $560M | 16 | 8 | 2 | n/a | n/a |
| 2022 | Mar 15, 2023 | $633M | $457M | 15 | 6 | 4 | n/a | n/a |
| 2021 | Mar 15, 2022 | $674M | $528M | 13 | 6 | 4 | n/a | n/a |
| 2020 | Mar 23, 2021 | $472M | $414M | 9 | 4 | 1 | n/a | n/a |
| 2019 | Mar 17, 2020 | $402M | $319M | 8 | 4 | 0 | n/a | n/a |
| 2018 | Mar 26, 2019 | $357M | $357M | 8 | 4 | 0 | n/a | n/a |