DFX Intelligence
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Reading the graph
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CRD 297165
MILFORD, CT
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•••••• J••••• A••••• | PARTNER, CHIEF EXECUTIVE OFFICER | Na | yes | 05/2018 | May 22, 2018 | Oct 17, 2024 |
| C••• F•••••••• C••••••••• L••• | Partner | C | yes | 08/2023 | Sep 28, 2023 | Oct 17, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| C•••••• B••••• A•••••••• L•• | n/a | Independent wealth | $5.0B | N | yes | n/a |
| F•••• R••• S••••••••• L•• | n/a | n/a | n/a | N | yes | n/a |
| T••••••••• W••••• I••••••••• L•• |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Charlotte | Nc | United States | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2023 | Mar 27, 2024 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2023 | $1.4B | $1.1B | 23.3% | $1.0B | 11.0% | 15 | 17 | 1 | 1 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| C•••••• B••••• A••••••• | 7 | Jan 28, 2025 | Jan 27, 2025 | MILFORD, CT | Firm absorbed | RIA to RIA | 70.0% |
| C•••••• B••••• A••••••• | 3 | Jan 28, 2025 | Jan 24, 2025 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| B•••••• | 5 | Jun 8, 2018 | Jun 11, 2018 | MILFORD, CT | Firm absorbed | RIA to new firm | 50.0% |
| Partner |
| D |
| yes |
| 08/2023 |
| Sep 28, 2023 |
| Oct 17, 2024 |
| C••••••• D••••••• • R••• F••• X••• L••• | Partner | D | yes | 08/2023 | Sep 28, 2023 | Oct 17, 2024 |
| F•••••••• F•• A••••••••• L•• | SHAREHOLDER, CLASS A COMMON STOCK | E | yes | 08/2023 | Sep 28, 2023 | Oct 17, 2024 |
| F•••••••• F•• I••••••••• H•••••••• L•• | Member | E | yes | 08/2023 | Sep 28, 2023 | Oct 17, 2024 |
| F•••••••• F•• P•••••• I••• | Member | E | yes | 08/2023 | Sep 28, 2023 | Oct 17, 2024 |
| F•••••••• F•• U••••••• H•••••••• L• | SHAREHOLDER, CLASS B COMMON STOCK | E | yes | 08/2023 | Sep 28, 2023 | Oct 17, 2024 |
| F•••••••• F•• U••••••• H•••••••• L• | Shareholder | E | yes | 08/2023 | Sep 28, 2023 | Oct 17, 2024 |
| F•••• F•••••••• P••••••• I••• | Member | E | yes | 07/2018 | Aug 22, 2018 | Oct 17, 2024 |
| F•••• F•••••••• P•••••••• L•• | Member | E | yes | 01/2007 | May 22, 2018 | Oct 17, 2024 |
| F•••• O••••••••• L•• | MANAGING MEMBER | E | yes | 05/2018 | May 22, 2018 | Oct 17, 2024 |
| S••••••• J••••••• M•••• | CHIEF COMPLIANCE OFFICER | Na | yes | 05/2018 | May 22, 2018 | Oct 17, 2024 |
| T••••••••• W••••• H•••••••• L•• | Member | E | yes | 05/2018 | May 7, 2018 | Oct 17, 2024 |
| n/a |
| n/a |
| n/a |
| Y |
| yes |
| n/a |
| $1.4B |
| $1.3B |
| 15 |
| 10 |
| 1 |
| n/a |
| n/a |
| 2022 | Mar 27, 2023 | $1.1B | $1.0B | 17 | 11 | 1 | n/a | n/a |
| 2021 | Mar 29, 2022 | $1.2B | $1.1B | 15 | 8 | 1 | n/a | n/a |
| 2020 | Mar 25, 2021 | $1.0B | $914M | 12 | 7 | 1 | n/a | n/a |
| 2019 | Mar 4, 2020 | $738M | $731M | 13 | 8 | 1 | n/a | n/a |
| 2018 | Mar 18, 2019 | $525M | $521M | 11 | 6 | 0 | n/a | n/a |
| CHARLOTTE, NC |
| Team lift out |
| RIA to RIA |
| 30.0% |