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CRD 106944
LOUISVILLE, CO
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 |
|---|---|---|---|---|---|---|
| N••• F••••••• B•••••• | n/a | LOUISVILLE, CO | 26 | 27 | n/a | no |
| J••• N••• M••••••• | Chartered Financial Analyst | LOUISVILLE, CO | 25 | 39 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| M••••••• F••••••••• L•• | Member | C | yes | 01/2023 | Mar 12, 2026 | Mar 12, 2026 |
| M•••••••• J•••• N••• | CCO MEMBER | Na | yes | 03/2000 | Mar 12, 2026 | Mar 12, 2026 |
| 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 | 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 | $1.0B | $910M | 11.1% | $703M | 12.9% | 16 | 16 | 0 | 0 |
| no |
| T••• J••• H•••• | Chartered Financial Analyst | LOUISVILLE, CO | 16 | 19 | n/a | no |
| T•••• L• R•••••••• | n/a | LOUISVILLE, CO | 14 | 27 | 1 | no |
| P•••• V••••• H•••••• | n/a | LOUISVILLE, CO | Broomfield, CO | 14 | 42 | n/a | no |
| B•••• C•••••• Y••••••• | Certified Financial Planner | LOUISVILLE, CO | 10 | 18 | 2 | no |
| J•••• F••••• P•••••• | Chartered Financial Analyst | LOUISVILLE, CO | 10 | 33 | 2 | no |
| J••• H•••••••• R•••••• | Chartered Financial Analyst | Needham, MA | LOUISVILLE, CO | 6 | 12 | n/a | no |
| B•••••• A••••• A•••• | Certified Financial Planner | LOUISVILLE, CO | 5 | 11 | 2 | no |
| S••••• N•••••• B••••••• | n/a | LOUISVILLE, CO | 3 | 10 | n/a | no |
| T•••••• M•••••••• B••• | Chartered Financial Analyst | SIMI VALLEY, CA | LOUISVILLE, CO | 3 | 20 | 1 | no |
| G•••• B••••• | Certified Financial Planner | LOUISVILLE, CO | 2 | 15 | 1 | no |
| J•••• R••••• F••••• | n/a | LOUISVILLE, CO | 2 | 10 | 1 | no |
| C•••••• S•••• | n/a | LOUISVILLE, CO | 1 | 14 | 4 | no |
| MANAGING MEMBER |
| E |
| yes |
| 04/2009 |
| Mar 27, 2012 |
| Mar 27, 2024 |
| M•••••••• J•••• N••• | MANAGING MEMBER | E | yes | 01/2023 | Mar 27, 2012 | Mar 27, 2024 |
| T••• H••• F•••••••• C••••••••• L•• | MANAGING MEMBER | D | yes | 04/2009 | Mar 27, 2012 | Mar 27, 2024 |
| Mar 12, 2026 |
| $1.0B |
| $1.0B |
| 16 |
| 14 |
| 0 |
| n/a |
| n/a |
| 2024 | Apr 7, 2025 | $910M | $902M | 16 | 11 | 0 | n/a | n/a |
| 2023 | Mar 27, 2024 | $825M | $817M | 16 | 14 | 0 | n/a | n/a |
| 2022 | Mar 23, 2023 | $703M | $677M | 15 | 11 | 0 | n/a | n/a |
| 2021 | Mar 28, 2022 | $752M | $722M | 13 | 10 | 0 | n/a | n/a |
| 2020 | Mar 29, 2021 | $729M | $701M | 11 | 9 | 0 | n/a | n/a |
| 2019 | Mar 27, 2020 | $620M | $596M | 10 | 8 | 0 | n/a | n/a |
| 2018 | Mar 20, 2019 | $528M | $506M | 10 | 8 | 0 | n/a | n/a |
| 2017 | Mar 16, 2018 | $533M | $510M | 10 | 8 | 0 | n/a | n/a |
| 2016 | Mar 28, 2017 | $483M | $454M | 10 | 8 | n/a | n/a | n/a |
| 2015 | Mar 30, 2016 | $440M | $414M | 10 | 8 | n/a | n/a | n/a |
| 2014 | Mar 27, 2015 | $381M | $356M | 7 | 6 | n/a | n/a | n/a |
| 2013 | Mar 27, 2014 | $326M | $302M | 7 | 6 | n/a | n/a | n/a |
| 2012 | Apr 1, 2013 | $280M | $258M | 6 | 6 | n/a | n/a | n/a |
| 2011 | Mar 27, 2012 | $202M | $182M | n/a | n/a | n/a | n/a | n/a |