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CRD 126520
WILMINGTON, DE
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 |
|---|---|---|---|---|---|---|
| H••••• M••••• S•••••• J•• | n/a | WILMINGTON, DE | 26 | 26 | n/a | no |
| H••••• M••••• S••••• | Chartered Financial Analyst | WILMINGTON, DE | 18 | 18 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| B••••••••• M••••••• C••• | DIRECTOR OF WEALTH MANAGEMENT AND CHIEF COMPLIANCE OFFICER | C | yes | 02/2019 | Mar 27, 2019 | Mar 21, 2024 |
| S•••••• H•••••• M••••• | VICE PRESIDENT & CHIEF INVESTMENT OFFICER | C | yes | 07/2008 | Mar 23, 2012 | Mar 21, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| W••••••• C•••••• T•• S•••••••• L•• | n/a | n/a | n/a | Y | yes | n/a |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 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 | 0 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $653M | $569M | 14.8% | $356M | 22.4% | 11 | 9 | 0 | 0 |
| no |
| M•••••• C••• B•••••••• | n/a | WILMINGTON, DE | 9 | 28 | 3 | no |
| D••••• S•••• P••••• | n/a | WILMINGTON, DE | 4 | 27 | n/a | no |
| S•••••• J••••• C•••••• | Certified Financial Planner | WILMINGTON, DE | 3 | 17 | n/a | no |
| C•••••• M•••• T•••••• | Certified Financial Planner | WILMINGTON, DE | 1 | 12 | 1 | no |
| S•••••• J••• H•••••• M••••• | CHIEF EXECUTIVE OFFICER | B | yes | 01/2000 | Mar 23, 2012 | Mar 21, 2024 |
| Mar 30, 2026 |
| $653M |
| $653M |
| 11 |
| 6 |
| 0 |
| n/a |
| n/a |
| 2024 | Mar 26, 2025 | $569M | $569M | 9 | 5 | 0 | n/a | n/a |
| 2023 | Mar 21, 2024 | $401M | $401M | 8 | 5 | 0 | n/a | n/a |
| 2022 | Mar 20, 2023 | $356M | $356M | 8 | 5 | 0 | n/a | n/a |
| 2021 | Mar 25, 2022 | $411M | $411M | 8 | 3 | 0 | n/a | n/a |
| 2020 | Mar 31, 2021 | $342M | $342M | 7 | 3 | 0 | n/a | n/a |
| 2019 | Mar 26, 2020 | $279M | $279M | 5 | 3 | 0 | n/a | n/a |
| 2018 | Mar 27, 2019 | $229M | $229M | 5 | 3 | 0 | n/a | n/a |
| 2017 | Mar 26, 2018 | $237M | $237M | 5 | 3 | 0 | n/a | n/a |
| 2016 | Mar 18, 2017 | $201M | $201M | 7 | 3 | n/a | n/a | n/a |
| 2015 | Mar 29, 2016 | $194M | $194M | 4 | 2 | n/a | n/a | n/a |
| 2014 | Mar 19, 2015 | $178M | $178M | 4 | 2 | n/a | n/a | n/a |
| 2013 | Mar 28, 2014 | $162M | $162M | 4 | 2 | n/a | n/a | n/a |
| 2012 | Mar 19, 2013 | $156M | $156M | 2 | 2 | n/a | n/a | n/a |
| 2011 | Mar 23, 2012 | $132M | $132M | n/a | n/a | n/a | n/a | n/a |