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CRD 291459
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 |
|---|---|---|---|---|---|---|
| K•••••• E• N•••••• | Certified Financial Planner | NEW YORK, NY | Fenwick Island, DE | 6 | 9 | 1 | no |
| S••• M••••••• H•••••• | Chartered Financial Consultant | NEW YORK, NY | 5 | 21 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| H••••••• S•••• M••••••• | MANAGING PARTNER | E | yes | 04/2017 | Jan 27, 2018 | Jun 5, 2024 |
| N••••••• K••••••• E• | CHIEF INVESTMENT OFFICER | Na | yes | 01/2020 | Mar 20, 2020 | Jun 5, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| B••••••••• I•••••••• 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 | yes |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 |
| 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 | 1 | 0 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $424M | $322M | 31.5% | $187M | 31.4% | 10 | 9 | 2 | 2 |
| yes |
| D•••• L•••• N•••• | Certified Financial Planner | NEW YORK, NY | 5 | 21 | 1 | no |
| L••••••• E••••• G•••••••• | Chartered Financial Consultant | NEW YORK, NY | 5 | 29 | n/a | yes |
| S•••• M•••••• U•••• | n/a | NEW YORK, NY | 4 | 18 | n/a | no |
| K•••• G•••• D••••• | n/a | NEW YORK, NY | 4 | 13 | 2 | no |
| J•••• L••• P•••••• | n/a | NEW YORK, NY | 1 | 11 | 3 | yes |
| CHIEF COMPLIANCE OFFICER |
| Na |
| yes |
| 01/2018 |
| Jan 27, 2018 |
| Jun 5, 2024 |
| $424M |
| $406M |
| 10 |
| 7 |
| 2 |
| n/a |
| n/a |
| 2024 | Apr 29, 2025 | $322M | $313M | 9 | 6 | 2 | n/a | n/a |
| 2023 | Mar 27, 2024 | $249M | $241M | 8 | 6 | 2 | n/a | n/a |
| 2022 | Mar 1, 2023 | $187M | $180M | 8 | 6 | 1 | n/a | n/a |
| 2021 | Jan 27, 2022 | $176M | $170M | 7 | 6 | 2 | n/a | n/a |
| 2020 | Mar 23, 2021 | $128M | $126M | 7 | 5 | 1 | n/a | n/a |
| 2019 | Mar 20, 2020 | $75.4M | $74.3M | 7 | 4 | 1 | n/a | n/a |
| 2018 | Mar 15, 2019 | $52.7M | $52.7M | 6 | 4 | 0 | n/a | n/a |