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CRD 174129
NEW HAVEN, CT
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 ANDREW HANNA | n/a | Boston, MA | 6 | 31 | 1 | no |
| JAMES WALTER GAUL | Chartered Financial Analyst | Boston, MA | 6 | 26 | 2 | no |
| ERIC RAYMOND EATON | Chartered Financial Analyst | Boston, MA | 6 | 20 | 3 | no |
| EDWARD MICHAEL MULRANE | Chartered Financial Analyst | Boston, MA | 6 | 17 | 1 | no |
| DOUGLAS ANDREW RILEY | Chartered Financial Analyst | Boston, MA | 6 | 36 | 3 | no |
| JOE FLORES | n/a | NEW HAVEN, CT | Pasadena, CA | 5 | 25 | n/a | no |
| Craig Pfeifer | n/a | NEW HAVEN, CT | Madison, NE | 5 | 15 | n/a | no |
| Jeremy Michael Borchers | n/a | NEW HAVEN, CT | West Point, NE | 5 | 10 | n/a | no |
| MICHAEL FRANCIS BURKITT | Chartered Financial Consultant | Morgantown, WV | NEW HAVEN, CT | 5 | 32 | 2 | no |
| DAVID JOHN MOELLER | n/a | NEW HAVEN, CT | Folsom, CA | 5 | 15 | n/a | no |
| Kevin Wayne Pierce | n/a | Edmond, OK | NEW HAVEN, CT | 5 | 19 | n/a | no |
| Lance Dufour | n/a | NEW HAVEN, CT | Locust Grove, OK | 5 | 13 | n/a | no |
| JOHN D. WELKER | n/a | NEW HAVEN, CT | Edmond, OK | 5 | 20 | n/a | no |
| Robert Stevens | n/a | Shawnee, OK | NEW HAVEN, CT | 5 | 11 | n/a | no |
| Michael Maggio | n/a | NEW HAVEN, CT | Edmond, OK | 5 | 12 | n/a | no |
| THOMAS PATRICK DUFFY | n/a | NEW HAVEN, CT | Orlando, FL | 5 | 24 | n/a | yes |
| Roy Metter | n/a | NEW HAVEN, CT | Gretna, NE | 5 | 14 | n/a | no |
| Carlos Martin Gutierrez | n/a | NEW HAVEN, CT | San Leandro, CA | 5 | 16 | n/a | no |
| Mark Yubeta | n/a | San Clemente, CA | NEW HAVEN, CT | 5 | 21 | n/a | no |
| James Bell | Certified Financial Planner | NEW HAVEN, CT | Irving, TX | 5 | 12 | n/a | no |
| Brian Graham | Chartered Financial Consultant | NEW HAVEN, CT | Kensington, MD | 5 | 38 | n/a | no |
| Max Yardley | n/a | Edmond, OK | NEW HAVEN, CT | 5 | 9 | n/a | no |
| John Vincent Schibi | n/a | Parsons, KS | NEW HAVEN, CT | 5 | 10 | n/a | no |
| Donald Howard Burks | Certified Financial Planner | NEW HAVEN, CT | Plano, TX | 5 | 12 | n/a | no |
| Manuel Moreira | n/a | NEW HAVEN, CT | Roseville, CA | 5 | 11 | n/a | no |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| KNIGHTS OF COLUMBUS | Member | E | yes | 09/2014 | Jan 5, 2015 | May 17, 2024 |
| KNIGHTS OF COLUMBUS ASSET ADVISORS HOLDCO LLC | Member | E | yes | 10/2014 | Jan 5, 2015 | May 17, 2024 |
| MINOPOLI, ANTHONY, VINCENT | PRESIDENT AND CHIEF INVESTMENT OFFICER | Na | yes | 01/2015 | Jan 5, 2015 | May 17, 2024 |
| Kirwan, Timothy, Francis | CHIEF COMPLIANCE OFFICER | Na | no | 10/2019 | Oct 18, 2019 | May 17, 2024 |
| MARCHAND, GILLES, ALFRED | VICE PRESIDENT, PORTFOLIO MANAGER | Na | no | 01/2015 | Jan 5, 2015 | May 17, 2024 |
| VOTTO, MICHAEL, PATRICK | VICE PRESIDENT AND SPECIAL COUNSEL | Na | no | 01/2015 | Jan 5, 2015 | May 17, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| KNIGHTS OF COLUMBUS | n/a | n/a | n/a | Y | yes | n/a |
| KNIGHTS OF COLUMBUS COMMINGLED FUND MANAGER LLC | n/a | n/a | n/a | Y | yes | n/a |
| KNIGHTS OF COLUMBUS LONG/SHORT EQUITY FUND GP, LLC | n/a | n/a | n/a | Y | yes | n/a |
| KOCAA PRIVATE CREDIT FUND GP LLC | n/a | n/a | n/a | Y | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Boston | Ma | United States | 20 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 30, 2026 | $31B | $31B | 249 | 233 | 1 | 9 | n/a |
| 2024 | Mar 27, 2025 | $28B | $28B | 226 | 208 | 1 | 9 | n/a |
| 2023 | Mar 29, 2024 | $27B | $27B | 225 | 206 | 1 | 9 | $390M |
| 2022 | Mar 31, 2023 | $26B | $26B | 189 | 170 | 1 | 10 | $422M |
| 2021 | Mar 31, 2022 | $29B | $29B | 150 | 19 | 1 | 10 | $377M |
| 2020 | Mar 31, 2021 | $29B | $29B | 41 | 21 | 1 | 10 | $342M |
| 2019 | Mar 30, 2020 | $26B | $26B | 40 | 20 | 1 | 11 | $368M |
| 2018 | Mar 29, 2019 | $24B | $24B | 23 | 15 | 0 | 11 | $371M |
| 2017 | Mar 30, 2018 | $24B | $24B | 23 | 15 | 0 | 9 | $218M |
| 2016 | Mar 31, 2017 | $23B | $23B | 20 | 20 | n/a | 9 | $186M |
| 2015 | Mar 30, 2016 | $21B | $21B | 17 | 15 | 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 |
|---|---|---|---|---|---|---|---|---|
| 4 | 10 | -6 | 4.4% | 2 | 1 | 0 | 9 | 35 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $31B | $28B | 8.8% | $26B | 5.8% | 249 | 226 | 1 | 1 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| ESI FINANCIAL ADVISORS | 2 | Jan 6, 2026 | Feb 27, 2026 | NEW HAVEN, CT | Team lift out | Other | 0.9% |
| ESI FINANCIAL ADVISORS | 2 | Jun 20, 2025 | Jul 24, 2025 | NEW HAVEN, CT | Team lift out | Other | 1.1% |
| ESI FINANCIAL ADVISORS | 3 | Jul 18, 2024 | Aug 21, 2024 | RICHMOND, VA | Team lift out | Other | 1.6% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| BOSTON ADVISORS, LLC | 5 | Oct 30, 2019 | Nov 7, 2019 | BOSTON, MA | Firm absorbed | Other | 100.0% |