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CRD 282747
MANDEVILLE, LA
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•••• J••• K••••• | Certified Financial Planner | MANDEVILLE, LA | 10 | 30 | n/a | yes |
| R••• C••••••••• K••••• | Certified Financial Planner | MANDEVILLE, LA | 10 | 20 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| F••••••••• C•••••• J• | CHIEF COMPLIANCE OFFICER & CHIEF OPERATING OFFICER | Na | yes | 05/2024 | Jul 31, 2024 | Jul 31, 2024 |
| K•••••• R•••• C••••••••• | PRESIDENT & CHIEF EXECUTIVE OFFICER | E | yes | 05/2024 | Mar 11, 2022 | Jul 31, 2024 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| NEW ORLEANS | La | United States | 3 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Apr 13, 2026 |
| 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 |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $160M | $142M | 13.0% | $94.6M | 19.2% | 7 | 7 | 1 | 1 |
| yes |
| C••••••••• C••• R•••••••• | n/a | MANDEVILLE, LA | 4 | 13 | n/a | yes |
| C••••••• G••• V•••••••• | Certified Financial Planner | MANDEVILLE, LA | 3 | 11 | 1 | yes |
| $160M |
| $153M |
| 7 |
| 4 |
| 1 |
| n/a |
| n/a |
| 2024 | Feb 6, 2025 | $142M | $135M | 7 | 4 | 1 | n/a | n/a |
| 2023 | Mar 6, 2024 | $117M | $112M | 7 | 4 | 1 | n/a | n/a |
| 2022 | Feb 10, 2023 | $94.6M | $90.4M | 6 | 4 | 1 | n/a | n/a |