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CRD 283845
WICHITA, KS
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.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| KIRK, THOMAS, HENRY | Member | C | yes | 09/2016 | Sep 9, 2016 | Jul 1, 2021 |
| DECHANT, MARGARET, ANN | Member | B | no | 09/2016 | Sep 9, 2016 | Jul 1, 2021 |
| GREEN, BRYAN, SCOTT | Member | B | no | 09/2016 | Sep 9, 2016 | Jul 1, 2021 |
| HAMPTON, SARAH, JEAN | Member | A | no | 09/2016 | Sep 9, 2016 | Jul 1, 2021 |
| MIES, ANDREW, JOHN | Member | B | no | 09/2016 | Sep 9, 2016 | Jul 1, 2021 |
| SCARAMUCCI, ADREA, ANN | CHIEF COMPLIANCE OFFICER | Na | no | 06/2021 | Jun 29, 2021 | Jul 1, 2021 |
| SMITH, PAMELA, ANN | Member | A | no | 09/2016 | Sep 9, 2016 | Jul 1, 2021 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Chicago | IL | United States | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2020 | Mar 26, 2021 | $1.9B | $1.2B | 23 | 19 | 0 | n/a | n/a |
| 2019 | Mar 19, 2020 | $1.8B | $1.4B | 21 | 14 | 0 | n/a | n/a |
| 2018 | Mar 11, 2019 | $1.5B | $1.1B | 20 | 10 | 0 | n/a | n/a |
| 2017 | Mar 19, 2018 | $1.4B | $1.3B | 16 | 11 | 0 | n/a | n/a |
| 2016 | Mar 7, 2017 | $1.9B | $886M | 12 | 12 | n/a | n/a | n/a |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2020 | $1.9B | $1.8B | 3.1% | $1.4B | 9.1% | 23 | 21 | 1 | 0 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| HIGHTOWER 6M HOLDING, LLC | 18 | Feb 25, 2022 | Jan 4, 2022 | WICHITA, KS | Firm absorbed | RIA to new firm | 100.0% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| MORGAN STANLEY | 10 | Sep 19, 2016 | Sep 9, 2016 | WICHITA, KS | Team lift out | Wirehouse to new firm | 0.1% |