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CRD 138400
NEW YORK, NY
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 |
|---|---|---|---|---|---|---|
| HILARY GUY BERGMAN | n/a | TAMPA, FL | 5 | 35 | 2 | yes |
| THOMAS JAMES CARSTENS | Chartered Financial Consultant | St. Augustine, FL | TAMPA, FL | Austin, TX | 4 | 35 | 2 | yes |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| BERGMAN, HILARY, GUY | CHIEF COMPLIANCE OFFICER | Na | yes | 06/2007 | May 1, 2012 | Dec 11, 2012 |
| PELION FINANCIAL GROUP, INC. | Owner | E | yes | 05/2005 | May 1, 2012 | Dec 11, 2012 |
| SHAPIRO, ROBERT, IRA | President | Na | yes | 06/2008 | May 1, 2012 | Dec 11, 2012 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| FIRST LIBERTIES SECURITIES, INC. | n/a | n/a | n/a | N | yes | n/a |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2011 | May 1, 2012 | $7.7M | $0 | n/a | n/a | n/a | n/a | n/a |
| 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 |
|---|---|---|---|---|---|---|---|---|---|
| 2011 | $7.7M | n/a | n/a | n/a | n/a | 2 | n/a | n/a | n/a |