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CRD 152607
L••••••, KS
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| B••••••• F••••• H•••••• C••••••• L•• | Manager | E | yes | 04/2008 | Mar 29, 2012 | Jul 13, 2016 |
| B•••••••• M•••••• C••••••••• | CHIEF EXECUTIVE OFFICER | Na | yes | 01/2010 | Mar 29, 2012 | Jul 13, 2016 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| M•••••• W••••• A•••••••• L•• | n/a | Bd affiliated wealth | $125B | N | yes | n/a |
| P••••• S••••• C•••••• M••••••••• L•• | n/a | Asset manager | $26B | Y | yes | n/a |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2015 | Mar 29, 2016 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2015 | $35.8M | $250M | -85.7% | $219M | -45.3% | 48 | 43 | n/a | n/a |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| T••••••••• I••••••••• P•••••••• L•• | 9 | Nov 17, 2016 | Nov 18, 2016 | L••••••, KS | Firm absorbed | Other | 90.0% |
| M•••••• W••••• A••••••• | 2 | Nov 15, 2016 | Nov 30, 2016 |
| ELECTED MANAGER |
| F |
| yes |
| 07/2007 |
| Mar 29, 2012 |
| Jul 13, 2016 |
| D•••••• A•••• J•••••• | CHIEF COMPLIANCE OFFICER | Na | yes | 01/2014 | Mar 27, 2014 | Jul 13, 2016 |
| H•••••• G•••• P••• | PRESIDENT/CHIEF INVESTMENT OFFICER | Na | yes | 01/2010 | Mar 29, 2012 | Jul 13, 2016 |
| M•••••• H•••••••• L•• | MANAGING MEMBER | E | yes | 01/2010 | Mar 29, 2012 | Jul 13, 2016 |
| V••••••• C•••••• R•••• | CHIEF STRATEGY OFFICER | Na | yes | 08/2011 | Mar 29, 2012 | Jul 13, 2016 |
| T••••••• C•••••• A•••••••• L••••• | n/a | Asset manager | $8.9B | N | yes | n/a |
| T••••••• C••••• S••••••••• L•• | n/a | Former SEC adviser | $3.1B | Y | yes | n/a |
| M•••••• W••••• A••••••• • L••••••• L•• | n/a | Former SEC adviser | $2.8B | N | yes | n/a |
| R••••••••• C•••••• M••••••••• L•• | n/a | Former SEC adviser | $2.8B | N | yes | n/a |
| M•••••• W••••• A••••••••• L•• | n/a | Former SEC adviser | $2.4B | N | yes | n/a |
| M•••••• R••••••••• A•••••••• L•• | n/a | Former SEC adviser | $1.7B | N | yes | n/a |
| M•••••• R••• E••••• M••••••••• L•• | n/a | Asset manager | $1.7B | Y | yes | n/a |
| V•••••• I••••••••• A•••••••• L•• | n/a | Former SEC adviser | $1.4B | N | yes | n/a |
| M•••••• W••••• A••••••••• L•• | n/a | Former SEC adviser | $1.1B | N | yes | n/a |
| A••••• I••••••••• P•••••••• L•• | n/a | Former SEC adviser | $1.1B | Y | yes | n/a |
| M•••••• W••••• A••••••••• L•• | n/a | Former SEC adviser | $1.1B | N | yes | n/a |
| N••••• I••••••••• L•• | n/a | Other adviser | $984M | Y | yes | n/a |
| M•••••• W••••• A••••••••• L•• | n/a | Former SEC adviser | $724M | N | yes | n/a |
| T••••••• I•••• S••••••••• L•• | n/a | Former SEC adviser | $719M | Y | yes | n/a |
| M•••••• W••••• A••••••••• L••••• L•• | n/a | Former SEC adviser | $615M | N | yes | n/a |
| C••••••••• I••••••••• P•••••••• L•• | n/a | Mixed wealth | $524M | Y | yes | n/a |
| M•••••• W••••• A••••••••• L•• | n/a | Former SEC adviser | $416M | N | yes | n/a |
| M•••••• W••••• A••••••••• L•• | n/a | Former SEC adviser | $285M | N | yes | n/a |
| S••••••••• H••••• L•• | n/a | Former SEC adviser | $282M | Y | yes | n/a |
| G•••••• A•••••••• L•• | n/a | Former SEC adviser | $206M | Y | yes | n/a |
| A•••••• E•••••• L•• | n/a | Former SEC adviser | $177M | Y | yes | n/a |
| 4•• I••••••••• G••••• L•• | n/a | Former SEC adviser | $157M | Y | yes | n/a |
| F•••••• C•••••• P•••••••• L•• | n/a | Asset manager | $148M | Y | yes | n/a |
| T••••••••• L•• | n/a | Former SEC adviser | $33.1M | Y | yes | n/a |
| R••••••••• I••••••••• A••••••• L•• | n/a | Former SEC adviser | $20.5M | Y | yes | n/a |
| F••••••••• F••••••••• L•• | n/a | Former SEC adviser | $60,000 | Y | yes | n/a |
| M•••••• C••••••••• L•• | n/a | n/a | n/a | N | yes | n/a |
| M•••••• I••••••••• C••••••••• L•• | n/a | Former SEC adviser | n/a | N | yes | n/a |
| M•••••• I•••••••• R••••••••• L•• | n/a | n/a | n/a | N | yes | n/a |
| M•••••• T•••• C••••••• L•• | n/a | n/a | n/a | N | yes | n/a |
| M•••••• S••••••••• L•• | n/a | n/a | n/a | N | yes | n/a |
| R• I••••••••• L•• | n/a | Former SEC adviser | n/a | Y | yes | n/a |
| $35.8M |
| $35.8M |
| 48 |
| 4 |
| n/a |
| 1 |
| $4.5M |
| 2014 | Mar 27, 2015 | $250M | $136M | 43 | 4 | n/a | 1 | $26.0M |
| 2013 | Mar 27, 2014 | $237M | $115M | 23 | 4 | n/a | 1 | $29.0M |
| 2012 | Apr 1, 2013 | $219M | $95.0M | 21 | 4 | n/a | 1 | $26.1M |
| 2011 | Mar 29, 2012 | $9.6B | $9.6B | n/a | n/a | n/a | 1 | $13.6M |
| L••••••, KS |
| CHA•••L_CHANGE |
| Other |
| 16.7% |
| M•••••• | 2 | Dec 31, 2015 | Dec 17, 2015 | L••••••, KS | Team lift out | Other | 11.8% |