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CRD 150138
PORTSMOUTH, NH
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 |
|---|---|---|---|---|---|---|
| K•••• R••••• M•••••••• | Certified Financial Planner | PORTSMOUTH, NH | 17 | 35 | 1 | no |
| B•••• P•••••• C•••••• | Chartered Financial Analyst | GREENLAND, NH | PORTSMOUTH, NH | 17 | 34 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| C••••••• B••••• P•••••• | PRINCIPAL AND CO-CHIEF INVESTMENT OFFICER | D | yes | 05/2009 | Nov 22, 2011 | Jul 30, 2024 |
| F•••••••• J•••• P• | CO-CHIEF INVESTMENT OFFICER | Na | yes | 01/2022 | Mar 16, 2022 | Jul 30, 2024 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| n/a | n/a | n/a | 1 | no |
| 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 |
|---|---|---|---|---|---|---|---|---|
| 2 | 0 | 2 | 0.0% | 0 | 0 | 0 | 3 | 1 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $813M | $774M | 5.1% | $556M | 13.5% | 9 | 8 | 2 | 1 |
| no |
| K•••••• L••• H••••• | n/a | PORTSMOUTH, NH | 17 | 30 | 2 | no |
| J••• P• F••••••• | Chartered Financial Analyst | RYE, NH | PORTSMOUTH, NH | 9 | 13 | n/a | no |
| R•••••• E• B•••• | Certified Financial Planner | PORTSMOUTH, NH | 1 | 11 | 2 | no |
| M•••••• R•••••• L•••••• | Certified Financial Planner | PORTSMOUTH, NH | 0 | 12 | 3 | no |
| S••••• C• N••••••• | Certified Financial Planner | PORTSMOUTH, NH | STRATHAM, NH | 0 | 26 | 1 | no |
| CHIEF COMPLIANCE OFFICER AND PORTFOLIO MANAGER |
| Na |
| yes |
| 05/2009 |
| Nov 22, 2011 |
| Jul 30, 2024 |
| M••••••••• K••••• R••••• | PRINCIPAL, CHIEF FINANCIAL OFFICER, AND WEALTH ADVISOR | D | yes | 05/2009 | Nov 22, 2011 | Jul 30, 2024 |
| Feb 18, 2026 |
| $813M |
| $813M |
| 9 |
| 7 |
| 2 |
| n/a |
| n/a |
| 2024 | Feb 21, 2025 | $774M | $774M | 8 | 5 | 1 | n/a | n/a |
| 2023 | Feb 7, 2024 | $695M | $695M | 7 | 5 | 1 | n/a | n/a |
| 2022 | Mar 28, 2023 | $556M | $556M | 7 | 5 | 0 | n/a | n/a |
| 2021 | Mar 16, 2022 | $617M | $617M | 7 | 5 | 0 | n/a | n/a |
| 2020 | Mar 24, 2021 | $560M | $560M | 7 | 5 | 0 | n/a | n/a |
| 2019 | Mar 16, 2020 | $442M | $442M | 8 | 5 | 0 | n/a | n/a |
| 2018 | Mar 11, 2019 | $415M | $415M | 7 | 4 | 0 | n/a | n/a |
| 2017 | Mar 19, 2018 | $313M | $313M | 7 | 4 | 0 | n/a | n/a |
| 2016 | Mar 23, 2017 | $272M | $272M | 5 | 3 | n/a | n/a | n/a |
| 2015 | Mar 2, 2016 | $218M | $218M | 5 | 3 | n/a | n/a | n/a |
| 2014 | Mar 27, 2015 | $221M | $221M | 5 | 3 | n/a | n/a | n/a |
| 2013 | Mar 18, 2014 | $184M | $184M | 5 | 3 | n/a | n/a | n/a |
| 2012 | Mar 20, 2013 | $157M | $157M | 4 | 4 | n/a | n/a | n/a |
| 2011 | Feb 29, 2012 | $129M | $128M | n/a | n/a | n/a | n/a | n/a |