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CRD 135950
ALBANY, NY
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| DENISULK, CHRISTOPHER, MICHAEL | SENIOR VICE PRESIDENT | B | yes | 01/2022 | Jul 5, 2019 | Nov 5, 2024 |
| GALLOWAY, RENEE, WHITTET | CHIEF FINANCIAL OFFICER | Na | yes | 01/2022 | Jul 5, 2019 | Nov 5, 2024 |
| LEONARD, SEAN, MICHAEL | CHIEF INVESTMENT OFFICER | A | yes | 01/2022 | Jan 28, 2021 | Nov 5, 2024 |
| NOLAN, DANIEL, PAUL | CEO AND PRESIDENT | B | yes | 01/2022 | Jul 5, 2019 | Nov 5, 2024 |
| REESE, SUSAN, M | SENIOR VICE PRESIDENT | A | yes | 01/2022 | Jul 5, 2019 | Nov 5, 2024 |
| RUTNIK, DANIEL, JOSEPH | Chairman | B | yes | 01/2022 | Mar 15, 2012 | Nov 5, 2024 |
| STONE, SHELLY, LYNNE | SENIOR VICE PRESIDENT | Na | yes | 01/2023 | Mar 28, 2023 | Nov 5, 2024 |
| VET, JR., JOSEPH, NEWTON | SENIOR VICE PRESIDENT, COO AND CCO | B | yes | 01/2022 | Jul 5, 2019 | Nov 5, 2024 |
| CURRAN, DANIEL, JOSEPH | VICE PRESIDENT | Na | no | 01/2022 | Mar 28, 2022 | Nov 5, 2024 |
| HARRIS, JEFFREY, GEORGE | SENIOR VICE PRESIDENT | Na | no | 01/2023 | Mar 28, 2023 | Nov 5, 2024 |
| HENNES, ROBERT, TAFT | SENIOR VICE PRESIDENT | Na | no | 12/2023 | Jul 5, 2019 | Nov 5, 2024 |
| LAMOUTTE, KEITH, MARTIN | SENIOR VICE PRESIDENT | Na | no | 08/2023 | Mar 14, 2024 | Nov 5, 2024 |
| LASCH, ALICIA, DUGAN | VICE PRESIDENT | Na | no | 10/2022 | Mar 14, 2024 | Nov 5, 2024 |
| LOPEZ, KARIN, JEANNE | SENIOR VICE PRESIDENT | Na | no | 01/2023 | Mar 28, 2023 | Nov 5, 2024 |
| MALLON, LAUREN, SMITH | VICE PRESIDENT | Na | no | 01/2024 | Mar 14, 2024 | Nov 5, 2024 |
| MCMAHON, LYSA, KRAMER | SENIOR VICE PRESIDENT | Na | no | 12/2023 | Mar 28, 2022 | Nov 5, 2024 |
| MITCHELL, JOSEPH, DONALD | SENIOR VICE PRESIDENT | Na | no | 01/2022 | Jan 28, 2021 | Nov 5, 2024 |
| MITCHELL, MICHAEL, JOSEPH | VICE PRESIDENT | Na | no | 01/2022 | Mar 28, 2022 | Nov 5, 2024 |
| OLSEN, DEREK, G. | SENIOR VICE PRESIDENT | Na | no | 01/2022 | Mar 28, 2022 | Nov 5, 2024 |
| ROCAS, ROBERTA, JEAN | VICE PRESIDENT | Na | no | 01/2023 | Mar 28, 2023 | Nov 5, 2024 |
| SABA, KIM, CARLA | VICE PRESIDENT | Na | no | 12/2023 | Mar 28, 2022 | Nov 5, 2024 |
| SUMMERSON, ROZANNE, MARY | VICE PRESIDENT | Na | no | 12/2023 | Mar 28, 2022 | Nov 5, 2024 |
| VOLLMER, MARISSA, ELAINE | VICE PRESIDENT | Na | no | 01/2023 | Mar 28, 2023 | Nov 5, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| CHRISTOPHER M. DENISULK | n/a | n/a | n/a | Y | yes | n/a |
| DANIEL J. CURRAN | n/a | n/a | n/a | Y | yes | n/a |
| DANIEL J. RUTNIK | n/a | n/a | n/a | Y | yes | n/a |
| DANIEL P. NOLAN | n/a | n/a | n/a | Y | yes | n/a |
| DANIEL PIAZZA | n/a | n/a | n/a | Y | yes | n/a |
| JESSICA ZARECKI | n/a | n/a | n/a | Y | yes | n/a |
| JOSEPH MITCHELL | n/a | n/a | n/a | Y | yes | n/a |
| JOSEPH N. VET | n/a | n/a | n/a | Y | yes | n/a |
| KATE LOUGHNEY | n/a | n/a | n/a | Y | yes | n/a |
| KYLIE MILLER | n/a | n/a | n/a | Y | yes | n/a |
| MICHAEL MITCHELL | n/a | n/a | n/a | Y | yes | n/a |
| PAUL SCOTT DUESTERDICK | n/a | n/a | n/a | Y | yes | n/a |
| RENEE W. GALLOWAY | n/a | n/a | n/a | Y | yes | n/a |
| SEAN STOKNA | n/a | n/a | n/a | Y | yes | n/a |
| SHELLY STONE | n/a | n/a | n/a | Y | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| SARATOGA SPRINGS | NY | United States | 8 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2024 | Apr 30, 2025 | $4.6B | $4.6B | 69 | 36 | 1 | n/a | n/a |
| 2023 | Mar 14, 2024 | $3.9B | $3.8B | 57 | 35 | 1 | n/a | n/a |
| 2022 | Mar 28, 2023 | $3.4B | $3.3B | 55 | 33 | 1 | n/a | n/a |
| 2021 | Mar 28, 2022 | $2.9B | $2.8B | 46 | 28 | 1 | n/a | n/a |
| 2020 | Mar 22, 2021 | $2.2B | $2.0B | 34 | 19 | 1 | n/a | n/a |
| 2019 | Mar 29, 2020 | $2.0B | $1.9B | 32 | 14 | 1 | n/a | n/a |
| 2018 | Mar 18, 2019 | $371M | $248M | 21 | 6 | 0 | n/a | n/a |
| 2017 | Mar 19, 2018 | $321M | $147M | 23 | 7 | 0 | n/a | n/a |
| 2016 | Mar 20, 2017 | $169M | $61.3M | 18 | 4 | n/a | n/a | n/a |
| 2015 | Mar 11, 2016 | $91.3M | $2.6M | 13 | 4 | n/a | n/a | n/a |
| 2014 | Mar 2, 2015 | $76.8M | $0 | 11 | 4 | n/a | n/a | n/a |
| 2013 | Feb 24, 2014 | $115M | $104M | 7 | 2 | n/a | n/a | n/a |
| 2012 | Feb 26, 2013 | $117M | $10.8M | 6 | 2 | n/a | n/a | n/a |
| 2011 | Mar 15, 2012 | $81.7M | $0 | n/a | n/a | n/a | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 1 | 0 | 1 | n/a | 0 | 0 | 0 | 13 | 0 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2024 | $4.6B | $3.9B | 19.9% | $2.9B | 17.0% | 69 | 57 | 1 | 1 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| ATLAS PRIVATE WEALTH MANAGEMENT, LLC | 2 | Apr 23, 2024 | May 9, 2024 | ALBANY, NY | Team lift out | RIA to RIA | 20.0% |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | 2 | Feb 6, 2020 | Jul 14, 2020 | CLIFTON PARK, NY | Team lift out | Wirehouse to RIA | 0.0% |