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CRD 145006
GRANDVILLE, MI
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 |
|---|---|---|---|---|---|---|
| A•••••••• M•••••• L•••• | 23.26% OWNER OF R•• H•••••••• I••• (6 OTHER PERSONS OWN 12.79% EACH) | C | yes | 09/2007 | Dec 15, 2011 | Feb 18, 2016 |
| A•••••••• M•••••• L•••• | EXECUTIVE SENIOR VICE PRESIDENT, MEMBER | Na | yes | 09/2007 | Dec 15, 2011 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| R•••• S••••••••• C•••••• | n/a | Former SEC adviser | $500M | Y | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| GRAND RAPIDS | Mi | United States | n/a | no |
| Holland | Mi | United States | n/a | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2015 | $217M | $293M | -26.1% | $189M | 4.7% | 29 | 34 | n/a | n/a |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| S••••••• I••••••••• I••• | 9 | Dec 31, 2016 | Jul 7, 2017 | GRANDVILLE, MI | Firm absorbed | Other | 90.0% |
| R•••••• J•••• F•••••••• S••••••• A•••••••• I•• | 3 | Oct 8, 2015 |
| Feb 18, 2016 |
| H•••••• T••••• A•••• | PARTNER, MEMBER | Na | yes | 09/2007 | Dec 15, 2011 | Feb 18, 2016 |
| M••••••• D••••• G••••• | EXECUTIVE SECRETARY, MEMBER | Na | yes | 09/2007 | Dec 15, 2011 | Feb 18, 2016 |
| N••••••••• R•••• A•• | PARTNER, MEMBER | Na | yes | 09/2012 | Dec 15, 2011 | Feb 18, 2016 |
| O•••••• C••••••••• A•••• | PARTNER, MEMBER | Na | yes | 09/2007 | Dec 15, 2011 | Feb 18, 2016 |
| R•• H•••••••• I••• | OWNER, 100% (8) SHAREHOLDERS) | E | yes | 09/2007 | Dec 15, 2011 | Feb 18, 2016 |
| W••••• J•••• L••••••• | PARTNER, MEMBER | Na | yes | 09/2007 | Dec 15, 2011 | Feb 18, 2016 |
| D••••• T••••••• V•• H•••••• | PRESIDENT/CHIEF OPERATIONS OFFICER | Na | no | 09/2011 | Feb 5, 2014 | Feb 18, 2016 |
| M•••••• M••••• A• | CHIEF COMPLIANCE OFFICER | Na | no | 06/2012 | Oct 24, 2012 | Feb 18, 2016 |
| O••••••• A••••• M• | EXECUTIVE TREASURER, MEMBER | Na | no | 12/2014 | Mar 4, 2015 | Feb 18, 2016 |
| Feb 18, 2016 |
| $217M |
| $6.2M |
| 29 |
| 19 |
| n/a |
| n/a |
| n/a |
| 2014 | Mar 4, 2015 | $293M | $8.2M | 34 | 23 | n/a | n/a | n/a |
| 2013 | Feb 5, 2014 | $246M | $419,588 | 33 | 22 | n/a | n/a | n/a |
| 2012 | Feb 14, 2013 | $189M | $4.9M | 33 | 23 | n/a | n/a | n/a |
| 2011 | Mar 15, 2012 | $145M | $5.0M | n/a | n/a | n/a | n/a | n/a |
| Oct 5, 2015 |
| GRANDVILLE, MI |
| Team lift out |
| Other |
| 23.1% |