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CRD 311934
FORT WAYNE, 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 |
|---|---|---|---|---|---|---|
| C•••• K• C•••••• | n/a | ANN ARBOR, MI | 5 | 24 | 2 | no |
| J•••• M•••• C•••••• | n/a | FORT WAYNE, IN | 5 | 28 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| C••••••• B•••••••• S•••• | PRESIDENT; MEMBER | C | yes | 08/2015 | Jan 4, 2021 | Nov 27, 2024 |
| C••••••• C••••• K• | VICE PRESIDENT; MEMBER | C | yes | 08/2015 | Jan 4, 2021 | Nov 27, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| S••••• B••••••• A•• P••••••• L•• | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Danvers | Ma | United States | 2 | no |
| ANN ARBOR | Mi | United States | 2 | no |
| Redding | CA | United States | 1 | no |
| Centennial | Co | United States | 1 | no |
| PONTE VEDRA BEACH | FL | United States |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Apr 24, 2026 |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 4 | 1 | 3 | 4.5% | 0 | 0 | 0 | 5 | 6 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $364M | $296M | 22.8% | $182M | 26.1% | 24 | 21 | 12 | 11 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| A• W••••• M••••••••• L•• | 3 | Apr 27, 2021 | Apr 29, 2021 | ANN ARBOR, MI | Team lift out | Ibd to new firm | 0.8% |
| no |
| T••••• G•••• S••••••• | Chartered Financial Consultant | FORT WAYNE, IN | 5 | 25 | 3 | no |
| B••••••• S•••• C•••••• | n/a | FORT WAYNE, IN | 5 | 25 | 2 | no |
| Z•••••• T• S••••••••• | n/a | Evanston, IL | FORT WAYNE, IN | 4 | 15 | 1 | no |
| R•• J•••• L•••••• | n/a | FORT WAYNE, IN | Redbank, NJ | 4 | 9 | n/a | no |
| J•••• E•••• S•••• | n/a | FORT WAYNE, IN | Shenandoah, TX | 4 | 22 | 8 | no |
| G••••• C••••••• A•••••• | n/a | FORT WAYNE, IN | Danvers, MA | 3 | 21 | n/a | no |
| A•••••• P•••• D••••••• | n/a | FORT WAYNE, IN | Sarasota, FL | 3 | 18 | 4 | no |
| J••••••• T•••••• M••••• | n/a | Peachtree City, GA | FORT WAYNE, IN | 2 | 27 | n/a | no |
| M•••••• J•••• H•••• | n/a | Danvers, MA | FORT WAYNE, IN | 2 | 10 | n/a | no |
| P••••• R••• M••••• | n/a | Ann Arbor, MI | FORT WAYNE, IN | 2 | 10 | n/a | no |
| J••• P••••• G•••• | n/a | Rossville, KS | FORT WAYNE, IN | 2 | 26 | n/a | no |
| A••••• J••• C•••• | n/a | Petoskey, MI | FORT WAYNE, IN | 2 | 18 | n/a | no |
| J•••• H•••• P••••• | n/a | Peachtree City, GA | FORT WAYNE, IN | 1 | 28 | n/a | no |
| J•••• A••••••••• F••••• | n/a | FORT WAYNE, IN | Brighton, MI | 1 | 10 | n/a | no |
| D•••••• G••••• W••••••••• | n/a | Danvers, MA | FORT WAYNE, IN | 0 | 11 | 1 | no |
| B•••• A••••• O••••• | n/a | St. Augustine , FL | FORT WAYNE, IN | 0 | 11 | 2 | no |
| E••• M•••••• L••••••••• | n/a | Medina, OH | FORT WAYNE, IN | 0 | 14 | 4 | no |
| D••••• A•••• S••••••• | Certified Financial Planner | FORT WAYNE, IN | Peachtree City, GA | 0 | 11 | n/a | no |
| W•••••• C••• A•••••••• | n/a | FORT WAYNE, IN | Peachtree City, GA | 0 | 19 | 6 | no |
| L•••• C••••••••• R••••• | n/a | Ann Arbor, MI | FORT WAYNE, IN | 0 | 13 | n/a | no |
| VICE PRESIDENT; MEMBER |
| C |
| yes |
| 08/2015 |
| Jan 4, 2021 |
| Nov 27, 2024 |
| C•••• K•••• | CHIEF COMPLIANCE OFFICER | Na | yes | 12/2020 | Jan 4, 2021 | Nov 27, 2024 |
| W•••••• R•••••• L•• | CHIEF OPERATING OFFICER | Na | yes | 12/2020 | Jan 4, 2021 | Nov 27, 2024 |
| no |
| Sarasota | FL | United States | 1 | no |
| Evanston | IL | United States | 1 | no |
| R•••VILLE | Ks | United States | 1 | no |
| ANN AROBOR | Mi | United States | 1 | no |
| RED BANK | Nj | United States | 1 | no |
| Warwick | Ri | United States | 1 | no |
| THE WOODLANDS | TX | United States | 1 | no |
| $364M |
| $359M |
| 24 |
| 21 |
| 12 |
| n/a |
| n/a |
| 2024 | Mar 6, 2025 | $296M | $293M | 21 | 18 | 11 | n/a | n/a |
| 2023 | Mar 5, 2024 | $235M | $231M | 22 | 17 | 12 | n/a | n/a |
| 2022 | Mar 21, 2023 | $182M | $179M | 17 | 11 | 7 | n/a | n/a |
| 2021 | Mar 15, 2022 | $143M | $141M | 13 | 10 | 6 | n/a | n/a |