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A••• A••••••• P•••••••, LLC, CRD 133535
NEW YORK, NY
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
Dated 2026-08-21 (filing); first seen by DFX 2026-09-15.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| D•••• A••••• S•••• | Certified Financial Planner | NEW YORK, NY | 21 | 32 | 2 | no |
| P••• W•••••• D•••• | n/a | MONUMENT, CO | NEW YORK, NY | 21 | 34 |
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| S•••••••• P•••••• C•••••• F••• I• L•• | n/a | $221M | Aug 14, 2026 | 80 | Aug 14, 2026 | reported | n/a |
| A••••••• V••••••• L••• | n/a | $22.2M |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| A••• W•••••• L•• | MEMBER AND COMPLIANCE | E | yes | 06/2026 | Aug 14, 2026 | Aug 14, 2026 |
| A•••••• G•••••• H••• | Chairman | Na | yes | 06/2024 | Aug 14, 2026 | Aug 14, 2026 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| B•••••• J• F••••• | n/a | n/a | n/a | N | no | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Littleton | Co | United States | 23 | no |
| COLORADO SPRINGS | Co | United States | 5 | no |
| Denver | Co | United States | 4 | no |
| GRAND JUNCTION | Co | United States | 1 | no |
| GRAND JUNCTION | Co | United States |
| 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 |
|---|---|---|---|---|---|---|---|---|
| 42 | 0 | 42 | 0.0% | 6 | 0 | 0 | 100 | 3 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $27B | $2.8B | 845.6% | $1.2B | 183.9% | 361 | 38 | 38 | 9 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| U••• C•••••• W••••• A•••••••• L•• | 2 | Aug 21, 2026 | Aug 20, 2026 | HOUSTON, TX | Team lift out | Ibd to ibd | 100.0% |
| W•••• F•••• A••••••• | 11 | May 20, 2026 | May 7, 2026 |
Dated 2026-06-23 (filing); first seen by DFX 2026-09-15.
| no |
| P••••• J••• P••••••••• | n/a | HOUSTON, TX | NEW YORK, NY | Houston , TX | 20 | 20 | 3 | yes |
| P•••••• D••••• J•••••• | Certified Financial Planner|Chartered Financial Consultant | Fort Collins, CO | NEW YORK, NY | 19 | 22 | 1 | no |
| C•••••••• T••• P••••••• | n/a | NEW YORK, NY | 17 | 20 | 2 | no |
| J•••••• W•••••• A••• | n/a | AVON, CO | NEW YORK, NY | 15 | 25 | 1 | no |
| B•••• L•• P•••••• | n/a | HOUSTON, TX | NEW YORK, NY | Austin, TX | 13 | 13 | 1 | yes |
| J••• M••••• M••••••••• | Certified Financial Planner | MT. PLEASANT, SC | NEW YORK, NY | Mt. Pleasant, SC | 12 | 44 | 2 | no |
| A••••• G• F••••• | Certified Financial Planner | Greenwood Village, CO | NEW YORK, NY | 10 | 20 | 4 | no |
| J•••••• J••••• L•••• | Chartered Financial Analyst | Greenwood Village, CO | NEW YORK, NY | 9 | 16 | 1 | no |
| T•••• H•••••• H••• | Certified Financial Planner | NEW YORK, NY | Greenwood Village, CO | 9 | 31 | 2 | no |
| J•••• P•••••• F•••••••• | n/a | NEW YORK, NY | GARDEN CITY, NY | New York, NY | 8 | 11 | 1 | no |
| E••• R••••• S••••••• | n/a | MADISON, NJ | NEW YORK, NY | NAPLES, FL | Naples, FL | 7 | 32 | 2 | no |
| E•••• N••••••••• | n/a | Sarasota, FL | NEW YORK, NY | SARASOTA, FL | MADISON, NJ | 7 | 17 | 1 | yes |
| G•••••••• A•• J••••••• | Chartered Financial Consultant | NEW YORK, NY | Denver, CO | 6 | 25 | 5 | no |
| A•••••••• M•••••• P••••••••• | Certified Financial Planner | Denver, CO | NEW YORK, NY | 6 | 25 | 1 | no |
| B•••• D•••••• C•••• | Personal Financial Specialist | Denver, CO | NEW YORK, NY | 6 | 20 | 1 | no |
| D••••• A••••• N•••• | Personal Financial Specialist | NEW YORK, NY | Denver, CO | 6 | 31 | 1 | no |
| M•••• M•••••• | n/a | NEW YORK, NY | Madison, NJ | MADISON, NJ | 5 | 13 | 2 | yes |
| R••••• A•••••• B•••••• | n/a | Madison, NJ | MADISON, NJ | NEW YORK, NY | 5 | 34 | 3 | yes |
| H•• T•• L• | n/a | NEW YORK, NY | MADISON, NJ | Madison, NJ | 5 | 28 | 3 | yes |
| P••••• J••••• C••• | n/a | NEW YORK, NY | Wayne, PA | 5 | 18 | 1 | no |
| B••••••• S•••••• V••••••• | n/a | MADISON, NJ | NEW YORK, NY | Bloomfield Hills, MI | 4 | 26 | 2 | yes |
| M•••••• E• F•••••• | Chartered Financial Analyst | New York, NY | NEW YORK, NY | GARDEN CITY, NY | 3 | 13 | 1 | no |
| C•••••••• C••••• B••••• | Certified Financial Planner | HOUSTON, TX | Houston, TX | NEW YORK, NY | 3 | 30 | 4 | yes |
| 50 |
| Aug 14, 2026 |
| reported |
| 021-511962 |
| F••••••••• G•• V• I•••••••• | n/a | $1.1M | Aug 14, 2026 | 27 | Aug 14, 2026 | reported | n/a |
| F••••••••• G•• V• I•••••••• | n/a | $464,616 | Aug 14, 2026 | 27 | Aug 14, 2026 | reported | n/a |
| F••••••••• P•••••• •• F••• | n/a | $259,842 | Aug 14, 2026 | 31 | Aug 14, 2026 | reported | n/a |
| CHIEF COMPLIANCE OFFICER |
| Na |
| yes |
| 02/2026 |
| Aug 14, 2026 |
| Aug 14, 2026 |
| F••••••••• J••••• P•••••• | MANAGING PARTNER | Na | yes | 06/2026 | Aug 14, 2026 | Aug 14, 2026 |
| G••••• D••••• J• | CHIEF FINANCIAL OFFICER | Na | yes | 06/2024 | Aug 14, 2026 | Aug 14, 2026 |
| K•••• D••••• M•••••• | MANAGING PARTNER | Na | yes | 06/2026 | Aug 14, 2026 | Aug 14, 2026 |
| M••••••••• P••••••• M•••••• | MANAGING PARTNER | Na | yes | 06/2026 | Aug 14, 2026 | Aug 14, 2026 |
| R••••••• M••••••• P• | MANAGING PARTNER | Na | yes | 03/2012 | Aug 14, 2026 | Aug 14, 2026 |
| S•••••• R•••• P•••••• | DIRECTOR OF OPERATIONS | Na | yes | 06/2026 | Aug 14, 2026 | Aug 14, 2026 |
| A••• B••••••• T•••• | Member | E | yes | 03/2023 | Jun 25, 2024 | Dec 5, 2024 |
| A••• I••••••••• P•••••••• L•• | Member | E | yes | 06/2023 | Jun 25, 2024 | Dec 5, 2024 |
| A••• M••••• L•• | Member | E | yes | 06/2023 | Jun 25, 2024 | Dec 5, 2024 |
| A••• W••••• M••••••••• L•• | Member | E | yes | 04/2024 | Jun 25, 2024 | Dec 5, 2024 |
| C••••••• I••••••••• H••••••• M••• L•• | Member | C | yes | 04/2024 | Jun 25, 2024 | Dec 5, 2024 |
| C••••••• I••••••••• H•••••••• L•• | Member | E | yes | 06/2024 | Jun 25, 2024 | Dec 5, 2024 |
| H••••••• L•• | Member | C | yes | 06/2024 | Jun 25, 2024 | Dec 5, 2024 |
| R•••••• C•••••• P••••••• F••• I• G••••• L•• | Trustee | F | yes | 01/2023 | Jun 25, 2024 | Dec 5, 2024 |
| R••••••• M••••••• P• | Member | C | yes | 06/2024 | Mar 6, 2012 | Dec 5, 2024 |
| S••••• D••••• A••••• | Member | E | yes | 04/2024 | Nov 21, 2011 | Dec 5, 2024 |
| S••••• J••••• L••••••• | Member | C | yes | 04/2022 | Jul 11, 2024 | Dec 5, 2024 |
| no |
| GRAND JUNCTION | Co | United States | 1 | no |
| Hotchkiss | Co | United States | 1 | no |
| Tampa | FL | United States | 1 | no |
| Burley | Id | United States | 1 | no |
| NEW YORK | NY | United States | 1 | no |
| Sewickley | Pa | United States | 1 | no |
| Apr 30, 2026 |
| $11B |
| $11B |
| 122 |
| 55 |
| 35 |
| 5 |
| n/a |
| 2024 | Jan 31, 2025 | $2.8B | $2.8B | 38 | 38 | 9 | n/a | n/a |
| 2023 | Feb 5, 2024 | $1.4B | $1.4B | 23 | 17 | 4 | n/a | n/a |
| 2022 | Feb 3, 2023 | $1.2B | $1.1B | 22 | 18 | 4 | n/a | n/a |
| 2021 | Feb 14, 2022 | $1.3B | $1.2B | 22 | 17 | 4 | n/a | n/a |
| 2020 | Feb 22, 2021 | $1.0B | $976M | 19 | 16 | 4 | n/a | n/a |
| 2019 | Feb 19, 2020 | $595M | $527M | 15 | 12 | 2 | n/a | n/a |
| 2018 | Mar 27, 2019 | $507M | $397M | 15 | 11 | 3 | n/a | n/a |
| 2017 | Mar 22, 2018 | $652M | $575M | 21 | 15 | 3 | n/a | n/a |
| 2016 | Mar 12, 2017 | $507M | $416M | 21 | 15 | n/a | n/a | n/a |
| 2015 | Mar 8, 2016 | $399M | $320M | 17 | 12 | n/a | n/a | n/a |
| 2014 | Feb 9, 2015 | $336M | $262M | 15 | 10 | n/a | n/a | n/a |
| 2013 | Feb 26, 2014 | $191M | $122M | 7 | 7 | n/a | n/a | n/a |
| 2012 | Mar 8, 2013 | $153M | $113M | 11 | 9 | n/a | n/a | n/a |
| 2011 | Mar 6, 2012 | $109M | $89.3M | n/a | n/a | n/a | n/a | n/a |
| POUGHKEEPSIE, NY |
| Team lift out |
| Wirehouse to RIA |
| 0.3% |
| G•• P•••••• W••••• | 12 | Feb 6, 2026 | Feb 12, 2026 | CLEVELAND, OH | Firm absorbed | RIA to RIA | 66.7% |
| S••••• W••••• S••••••••• | 12 | Dec 26, 2025 | Aug 11, 2025 | CHESTERFIELD, MO | Firm absorbed | RIA to RIA | 92.3% |
| G••••••• A•••• M••••••••• L•• | 2 | Nov 19, 2025 | Nov 10, 2025 | SANTA MONICA, CA | Team lift out | RIA to RIA | 100.0% |
| K•••••••• • A••••••••• L••• | 2 | Oct 24, 2025 | Sep 10, 2025 | CLEVELAND HEIGHTS, OH | Team lift out | RIA to RIA | 100.0% |
| S•••••••• I••••••••• A•••••••• L•• | 2 | Jul 11, 2025 | Jun 18, 2025 | SILVERTHORNE, CO | Team lift out | RIA to RIA | 12.5% |
| S•••••••• I••••••••• A•••••••• L•• | 11 | Jun 30, 2025 | Jul 2, 2025 | BIRMINGHAM, MI | Firm absorbed | RIA to RIA | 64.7% |
| C••••• | 17 | Mar 26, 2025 | May 13, 2026 | LITTLETON, CO | Firm absorbed | RIA to RIA | 85.0% |
| N•••• F•••••••• G••••• I••• | 4 | Apr 21, 2020 | Apr 21, 2020 | DENVER, CO | Firm absorbed | RIA to RIA | 100.0% |