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CRD 118643
ABINGDON, VA
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 |
|---|---|---|---|---|---|---|
| J••••••• W••• L•••• | Certified Financial Planner | ABINGDON, VA | 22 | 40 | n/a | no |
| J••••••• R••••• W•••••••• | n/a | ABINGDON, VA | 20 | 22 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| A••••• G•••• N••• | CHIEF INVESTMENT OFFICER | Na | yes | 12/2022 | Mar 14, 2026 | Mar 14, 2026 |
| C•••••• W••••• H•••••••• L•• | MANAGING MEMBER | E | yes | 11/2006 | Mar 14, 2026 | Mar 14, 2026 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| C•••••• A•••• M••••••••• L•• | n/a | Asset manager | $639M | N | yes | n/a |
| T•••• R••••• P••••••• L•• | n/a | n/a | n/a | N | yes | n/a |
| T••••••• W••••• • P••••••• L•• |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Worcester | Ma | United States | 4 | no |
| Woodbury | Mn | United States | 2 | yes |
| Rockville | Md | United States | 1 | no |
| Charlottesville | Va | United States | 1 | no |
| Roanoke | Va | United States |
| 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 | 2 | -1 | 18.2% | 0 | 0 | 0 | 2 | 6 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $1.1B | $946M | 13.1% | $694M | 15.5% | 20 | 15 | 6 | 6 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| C•••••••• I••••••••• R••••••• A•••••••• I••• | 2 | Jan 2, 2024 | Jan 2, 2024 | ABINGDON, VA | Team lift out | RIA to ibd | 16.7% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| P••••••• W••••• P••••••• L•• | 2 | May 20, 2022 | Nov 29, 2022 | BLOOMINGTON, MN | Team lift out | RIA to RIA | 18.2% |
| C••••••••• L•• | 3 | Dec 31, 2021 | Jan 11, 2022 |
| no |
| J••••• W••• L•••• | n/a | ABINGDON, VA | 10 | 11 | n/a | no |
| T•••• D••••• C••••••• | Certified Financial Planner | ABINGDON, VA | Roanoke, VA | 9 | 10 | n/a | no |
| D••••• T••••• T••••••• | n/a | ABINGDON, VA | 5 | 26 | 1 | no |
| E••••• J••••• Z••••• | n/a | Worcester, MA | ABINGDON, VA | 4 | 43 | 2 | no |
| A••• A•••••• W••••••••• | n/a | ABINGDON, VA | Worcester, MA | 4 | 22 | 5 | no |
| M•••••• M••••••• K••••• | Certified Financial Planner | Oakdale, MN | ABINGDON, VA | 3 | 19 | 2 | yes |
| G••• N••• A•••• | n/a | Fairfax, VA | Abingdon, VA | Rockville, MD | ABINGDON, VA | 3 | 14 | 1 | no |
| R•••••• M••••••• B•••••• | Certified Financial Planner | ABINGDON, VA | Rockville, MD | 1 | 13 | 3 | no |
| B•••• C••• A••••••• | Certified Financial Planner | ABINGDON, VA | 0 | 11 | 3 | no |
| CHIEF COMPLIANCE OFFICER |
| Na |
| yes |
| 04/2015 |
| Mar 14, 2026 |
| Mar 14, 2026 |
| L••••• J•••••••• W••• | President | D | yes | 01/2020 | Feb 6, 2012 | Nov 25, 2024 |
| W••••••••• J•••••••• R••••• | CHIEF FINANCIAL OFFICER | F | yes | 01/2020 | Apr 17, 2015 | Nov 25, 2024 |
| n/a |
| n/a |
| n/a |
| N |
| yes |
| n/a |
| no |
| n/a | n/a | n/a | 1 | no |
| Mar 14, 2026 |
| $1.1B |
| $1.1B |
| 20 |
| 10 |
| 6 |
| n/a |
| n/a |
| 2024 | Apr 11, 2025 | $946M | $946M | 15 | 10 | 6 | n/a | n/a |
| 2023 | Mar 26, 2024 | $807M | $807M | 18 | 12 | 6 | n/a | n/a |
| 2022 | Mar 31, 2023 | $694M | $693M | 17 | 13 | 7 | n/a | n/a |
| 2021 | Mar 31, 2022 | $770M | $770M | 16 | 11 | 6 | n/a | n/a |
| 2020 | Mar 24, 2021 | $424M | $422M | 11 | 6 | 3 | n/a | n/a |
| 2019 | Mar 25, 2020 | $342M | $342M | 11 | 6 | 2 | n/a | n/a |
| 2018 | Mar 28, 2019 | $290M | $279M | 10 | 7 | 2 | n/a | n/a |
| 2017 | Feb 23, 2018 | $280M | $280M | 10 | 7 | 2 | n/a | n/a |
| 2016 | Mar 22, 2017 | $181M | $181M | 5 | 5 | n/a | n/a | n/a |
| 2015 | Mar 16, 2016 | $155M | $155M | 4 | 4 | n/a | n/a | n/a |
| 2014 | Feb 24, 2015 | $158M | $134M | 13 | 4 | n/a | n/a | n/a |
| 2011 | Feb 6, 2012 | $54.5M | $37.7M | n/a | n/a | n/a | n/a | n/a |
| WORCESTER, MA |
| Firm absorbed |
| RIA to RIA |
| 100.0% |