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CRD 107552
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 |
|---|---|---|---|---|---|---|
| SOUTHWEST BUSINESS CORPORATION | JOINT OWNER | C | yes | 01/2001 | Jan 3, 2012 | Apr 4, 2017 |
| WESTMORELAND FLYNN, ANN, MICHELLE | PRESIDENT AND JOINT OWNER AND CHIEF COMPLIANCE OFFICER | D | yes | 04/1995 | Jan 3, 2012 | Apr 4, 2017 |
| FLYNN, JOHN, JOSEPH | JOINT OWNER | D | no | 04/1995 | Jan 3, 2012 | Apr 4, 2017 |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2016 | Apr 4, 2017 | $300M | $0 | 1 | 1 | n/a | n/a | n/a |
| 2015 | Mar 25, 2016 | $310M | $310M | 1 | 1 | n/a | n/a | n/a |
| 2014 | Apr 9, 2015 | $721M | $0 | 1 | 1 | n/a | n/a | n/a |
| 2013 | Mar 31, 2014 | $949M | $0 | 2 | 1 | n/a | n/a | n/a |
| 2012 | Mar 28, 2013 | $1.1B | $0 | 3 | 1 | n/a | n/a | n/a |
| 2011 | Apr 12, 2012 | $1.0B | $0 | n/a | n/a | 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 |
|---|---|---|---|---|---|---|---|---|---|
| 2016 | $300M | $310M | -3.2% | $949M | -31.9% | 1 | 1 | n/a | n/a |