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CRD 305645
TUCSON, AZ
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 |
|---|---|---|---|---|---|---|
| D•••• W•••• S••••••• | Certified Financial Planner|Chartered Financial Consultant | TUCSON, AZ | 6 | 40 | 2 | no |
| S••••• A•• M••••• | n/a | TUCSON, AZ | 6 | 31 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| S•••••••• D••••• W•••• | MANAGER AND CHIEF COMPLIANCE OFFICER | D | yes | 09/2019 | Aug 30, 2019 | Aug 1, 2022 |
| S•••••••• D••••• W•••• | MANAGER AND CHIEF INVESTMENT OFFICER | D | yes | 12/2019 | Aug 30, 2019 | Aug 1, 2022 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| R••••••••• F•••••••• S•••••••• I••• | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| n/a | n/a | n/a | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2021 | Mar 31, 2022 |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 0 | 0 | 0 | 0.0% | 0 | 0 | 0 | 0 | 0 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2021 | $70.6M | $90.5M | -22.0% | n/a | n/a | 3 | 5 | 3 | 0 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| S••••••• W••••• • R••••••••• | 2 | Mar 26, 2020 | Nov 5, 2019 | TUCSON, AZ | Team lift out | Other | 50.0% |
| L•• F•••••••• L•• | 2 | Sep 26, 2019 | Nov 5, 2019 |
| no |
| D•••• W•••• S••••••• | Certified Financial Planner | TUCSON, AZ | 6 | 25 | 2 | no |
| $74.5M |
| $74.5M |
| 4 |
| 3 |
| 3 |
| n/a |
| n/a |
| 2020 | Feb 24, 2021 | $90.5M | $90.5M | 5 | 4 | 0 | n/a | n/a |
| 2019 | Jan 31, 2020 | $106M | $106M | 5 | 4 | 0 | n/a | n/a |
| TUCSON, AZ |
| Team lift out |
| Ibd to new firm |
| 0.0% |