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CRD 111336
MONTEREY, CA
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 |
|---|---|---|---|---|---|---|
| K•••• R••• M•••••• | Certified Financial Planner | MONTEREY, CA | 17 | 29 | 1 | no |
| J•••• K••••••• R••••••• | n/a | FRISCO, NC | MONTEREY, CA | 8 | 11 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| B••••••••• A••••••• M••••• | ADVISOR/CAO | B | yes | 01/2011 | Apr 3, 2018 | Nov 12, 2024 |
| L••••• M••••••• A•••• | ADVISOR/CIO | C | yes | 07/2004 | Mar 29, 2012 | Nov 12, 2024 |
| 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 | 1 | 0 | 8.3% | 1 | 0 | 0 | 3 | 2 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $812M | $635M | 27.8% | $488M | 18.5% | 18 | 16 | 1 | 0 |
| no |
| A•••••••• B•••• B•••• | Certified Financial Planner | MONTEREY, CA | 8 | 14 | 1 | no |
| K•••••••• A••••••••• W••••••• | Certified Financial Planner | MONTEREY, CA | 6 | 10 | n/a | no |
| M•••••• A•••• L•••• | Chartered Financial Analyst | MONTEREY, CA | 2 | 33 | n/a | no |
| E•••••••• R• G••••• | n/a | MONTEREY, CA | Greenville, SC | 2 | 10 | 1 | no |
| K•• C••••• O• | n/a | MONTEREY, CA | 2 | 12 | n/a | no |
| J•••••• L••••• C••••• | n/a | MONTEREY, CA | 2 | 11 | n/a | no |
| J•••• O•••• R••• | Certified Financial Planner | MONTEREY, CA | 1 | 13 | 2 | no |
| R••••• E••••• H••• | n/a | MONTEREY, CA | 0 | 11 | n/a | no |
| J•••• R••• G••••• | n/a | MONTEREY, CA | 0 | 10 | 3 | no |
| A••• P•••••• K•••• | n/a | MONTEREY, CA | Salinas, CA | 0 | 10 | n/a | no |
| RETIRED ADVISOR |
| C |
| yes |
| 06/2020 |
| Mar 29, 2012 |
| Nov 12, 2024 |
| M••••••• K••••• R••• | ADVISOR/CCO/COO | B | yes | 01/2009 | Mar 29, 2012 | Nov 12, 2024 |
| Apr 15, 2026 |
| $812M |
| $801M |
| 18 |
| 10 |
| 1 |
| n/a |
| n/a |
| 2024 | Mar 19, 2025 | $635M | $615M | 16 | 12 | 0 | n/a | n/a |
| 2023 | Mar 14, 2024 | $574M | $558M | 15 | 7 | 0 | n/a | n/a |
| 2022 | Mar 23, 2023 | $488M | $470M | 15 | 7 | 0 | n/a | n/a |
| 2021 | Mar 29, 2022 | $511M | $498M | 12 | 8 | 0 | n/a | n/a |
| 2020 | Mar 18, 2021 | $434M | $420M | 12 | 9 | 0 | n/a | n/a |
| 2019 | Mar 30, 2020 | $380M | $362M | 14 | 6 | 0 | n/a | n/a |
| 2018 | Mar 28, 2019 | $323M | $301M | 12 | 6 | 0 | n/a | n/a |
| 2017 | Mar 27, 2018 | $302M | $298M | 8 | 6 | 0 | n/a | n/a |
| 2016 | Mar 19, 2017 | $250M | $239M | 8 | 4 | n/a | n/a | n/a |
| 2015 | Mar 21, 2016 | $233M | $229M | 8 | 4 | n/a | n/a | n/a |
| 2014 | Mar 17, 2015 | $198M | $197M | 6 | 4 | n/a | n/a | n/a |
| 2013 | Mar 20, 2014 | $183M | $183M | 5 | 4 | n/a | n/a | n/a |
| 2012 | Mar 28, 2013 | $146M | $146M | 5 | 4 | n/a | n/a | n/a |
| 2011 | Mar 29, 2012 | $124M | $124M | n/a | n/a | n/a | n/a | n/a |