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CRD 165839
CHANDLER, AZ
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| MICHAEL JOHN GAUTHIER | Certified Financial Planner | CHANDLER, AZ | 13 | 25 | 1 | no |
| MARTHA CORTEZ | n/a | CHANDLER, AZ | 12 | 14 | 1 | no |
| CHARLES M MANBERG | Certified Financial Planner | CHANDLER, AZ | Peoria, AZ | 12 | 17 | 1 | no |
| LAURIE KAY SIMONS | Certified Financial Planner | Chandler, AZ | 6 | 26 | 4 | no |
| KERI ANN ALCOS | n/a | Peoria, AZ | CHANDLER, AZ | 3 | 21 | 10 | no |
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| SIG OPPORTUNITIES FUND, LP | Real Estate Fund | $22.3M | Dec 3, 2024 | 72 | Mar 17, 2021 | reported | 021-370755 |
| STRATEGIC INCOME FUND, LP | Hedge Fund | $18.2M | Dec 3, 2024 | 85 | Nov 23, 2016 | reported | 021-259744 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| GAUTHIER HOLDINGS LLC | MANAGER & MANAGING MEMBER | E | yes | 03/2013 | Feb 7, 2013 | Dec 3, 2024 |
| GAUTHIER, KRISTI, LEE | Owner | D | yes | 03/2013 | Nov 23, 2016 | Dec 3, 2024 |
| GAUTHIER, MICHAEL, JOHN | Owner | D | yes | 03/2013 | Feb 7, 2013 | Dec 3, 2024 |
| GAUTHIER, MICHAEL, JOHN | CEO & CHIEF COMPLIANCE OFFICER | Na | yes | 03/2013 | Feb 7, 2013 | Dec 3, 2024 |
| THE GAUTHIER FAMILY TRUST | MANAGING MEMBER | E | yes | 02/2008 | Feb 7, 2013 | Dec 3, 2024 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Peoria | Az | United States | 2 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 16, 2026 | $362M | $355M | 5 | 4 | 1 | 2 | n/a |
| 2024 | Mar 24, 2025 | $355M | $340M | 9 | 5 | 1 | 2 | n/a |
| 2023 | Mar 26, 2024 | $316M | $303M | 6 | 5 | 1 | 2 | $40.5M |
| 2022 | Mar 31, 2023 | $281M | $270M | 6 | 5 | 1 | 2 | $37.2M |
| 2021 | Mar 4, 2022 | $281M | $268M | 5 | 5 | 2 | 2 | $28.2M |
| 2020 | Mar 17, 2021 | $205M | $205M | 5 | 4 | 2 | 2 | $10.1M |
| 2019 | Mar 20, 2020 | $125M | $125M | 7 | 4 | 1 | 1 | $4.6M |
| 2018 | Mar 27, 2019 | $139M | $139M | 5 | 5 | 1 | 1 | $4.6M |
| 2017 | Mar 29, 2018 | $120M | $120M | 5 | 5 | 1 | 1 | $4.6M |
| 2016 | Feb 27, 2017 | $103M | $103M | 8 | 4 | 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 |
|---|---|---|---|---|---|---|---|---|
| 0 | 1 | -1 | 20.0% | 0 | 0 | 0 | 0 | 1 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $362M | $355M | 2.1% | $281M | 8.9% | 5 | 9 | 1 | 1 |