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CRD 108724
RENO, NV
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 |
|---|---|---|---|---|---|---|
| V•••• P•••• S•••••• | Certified Financial Planner | RENO, NV | 33 | 43 | 1 | no |
| R•••••• C•••• S•••••• | Certified Financial Planner | RENO, NV | 15 | 33 | 1 |
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| S••••• N••••• M••••••••• F••• L•• | Hedge Fund | $1.0M | Mar 29, 2016 | 36 | Mar 29, 2012 | dropped | 021-44347 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| D•••••• A•••••• J••• | VICE PRESIDENT | A | yes | 12/2022 | Apr 24, 2023 | Jul 3, 2024 |
| S•••••• F••••• 2••• T•••• | Shareholder | E | yes | 08/2005 | Jan 16, 2017 | Jul 3, 2024 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Midland | Mi | United States | 1 | no |
| n/a | n/a | n/a | 1 | no |
| 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 |
|---|---|---|---|---|---|---|---|---|
| 1 | 0 | 1 | 0.0% | 1 | 0 | 0 | 1 | 0 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $215M | $196M | 9.4% | $178M | 6.4% | 4 | 5 | 1 | 0 |
| no |
| J••••••• L•••• S•••••• | n/a | RENO, NV | 10 | 26 | n/a | no |
| A••••• J••• D••••• | Certified Financial Planner | RENO, NV | 8 | 19 | n/a | no |
| K••••••• S•••••• H••• | Certified Financial Planner | RENO, NV | COSTA MESA, CA | 0 | 15 | 1 | no |
| Trustee |
| D |
| yes |
| 08/2005 |
| Nov 11, 2011 |
| Jul 3, 2024 |
| S••••••• R••••••• C•••• | Ceo | Na | yes | 11/1982 | Nov 11, 2011 | Jul 3, 2024 |
| S••••••• V••••• P•••• | EXECUTIVE VICE PRESIDENT | Na | yes | 05/1984 | Nov 11, 2011 | Jul 3, 2024 |
| S••••••• V••••• P•••• | Trustee | D | yes | 08/2005 | Nov 11, 2011 | Jul 3, 2024 |
| S••••••• J•••••••• L•••• | CHIEF COMPLIANCE OFFICER, CHIEF OPERATIONS OFFICER | B | yes | 08/2016 | Aug 5, 2016 | Jul 3, 2024 |
| Mar 30, 2026 |
| $215M |
| $0 |
| 4 |
| 4 |
| 0 |
| n/a |
| n/a |
| 2024 | Mar 26, 2025 | $196M | $0 | 5 | 5 | 0 | n/a | n/a |
| 2023 | Mar 29, 2024 | $194M | $0 | 6 | 5 | 2 | n/a | n/a |
| 2022 | Mar 29, 2023 | $178M | $0 | 6 | 5 | 1 | n/a | n/a |
| 2021 | Feb 28, 2022 | $166M | $0 | 8 | 7 | 1 | n/a | n/a |
| 2020 | Mar 29, 2021 | $154M | $0 | 8 | 7 | 0 | n/a | n/a |
| 2019 | Mar 29, 2020 | $179M | $0 | 8 | 8 | 0 | n/a | n/a |
| 2018 | Mar 27, 2019 | $216M | $0 | 9 | 7 | 0 | n/a | n/a |
| 2017 | Mar 23, 2018 | $212M | $0 | 9 | 8 | 0 | n/a | n/a |
| 2016 | Mar 27, 2017 | $201M | $0 | 10 | 9 | n/a | n/a | n/a |
| 2015 | Mar 29, 2016 | $206M | $1.0M | 5 | 4 | n/a | 1 | $1.0M |
| 2014 | Mar 30, 2015 | $210M | $209M | 7 | 3 | n/a | 1 | $1.1M |
| 2013 | Mar 29, 2014 | $195M | $8.4M | 7 | 4 | n/a | 1 | $8.4M |
| 2012 | Apr 3, 2013 | $182M | $11.5M | 7 | 4 | n/a | 1 | $11.5M |
| 2011 | Mar 29, 2012 | $143M | $14.0M | n/a | n/a | n/a | 1 | $14.0M |