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CRD 323930
SCOTTSDALE, AZ
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| BRIAN LOUIS BOLL | n/a | SCOTTSDALE, AZ | 2 | 29 | 5 | no |
| BRENT JAMES EMCH | n/a | SCOTTSDALE, AZ | 2 | 12 | 4 | no |
| MICHAEL BRENT FROST | n/a | SCOTTSDALE, AZ | 2 | 19 | 7 | no |
| TYLER ROBERT KARL | Chartered Financial Analyst | SCOTTSDALE, AZ | 0 | 11 | 4 | no |
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| HFO-COSMIC SPV, LLC | Private Equity Fund | $13.0M | May 30, 2024 | 36 | Mar 25, 2024 | reported | 021-1977819 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| FROST, MICHAEL, BRENT | GENERAL PARTNER | C | yes | 10/2022 | Oct 18, 2022 | May 30, 2024 |
| MAXEY, DAVID, ELGIN | GENERAL PARTNER AND CHIEF COMPLIANCE OFFICER | B | yes | 10/2022 | Oct 18, 2022 | May 30, 2024 |
| Nelson, Ralph, Erwin | GENERAL PARTNER | C | yes | 10/2022 | Oct 18, 2022 | May 30, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| FROST & ASSOCIATES, LLC | n/a | n/a | n/a | N | yes | n/a |
| HERITAGE INSURANCE ADVISORS, LLC | n/a | n/a | n/a | N | yes | n/a |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 10, 2026 | $423M | $423M | 13 | 3 | 0 | 1 | n/a |
| 2024 | Mar 25, 2025 | $408M | $408M | 15 | 5 | 0 | 1 | n/a |
| 2023 | Mar 25, 2024 | $365M | $365M | 15 | 5 | 0 | 1 | $13.0M |
| 2022 | Mar 31, 2023 | $0 | $0 | 5 | 5 | 0 | 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 |
|---|---|---|---|---|---|---|---|---|
| 1 | 0 | 1 | 0.0% | 0 | 0 | 0 | 2 | 2 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $423M | $408M | 3.7% | $0 | n/a | 13 | 15 | 0 | 0 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| HERITAGE WEALTH MANAGEMENT, LLC | 4 | Mar 5, 2024 | Jun 12, 2024 | PHOENIX, AZ | Firm absorbed | Other | 66.7% |