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CRD 284173
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 |
|---|---|---|---|---|---|---|
| E•• J•••• L••••• | n/a | NEW YORK, NY | 1 | 12 | 2 | no |
| M••••• M••• N•••••• | n/a | NEW YORK, NY | 1 | 11 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| B••••••• A••••••• L•••• | CHIEF LEGAL OFFICER | Na | yes | 10/2017 | Jul 10, 2018 | May 9, 2024 |
| F••••••• J••••••• | SVP OPERATIONS | Na | yes | 08/2017 | Jul 10, 2018 | May 9, 2024 |
| 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 |
|---|---|---|---|---|---|---|---|---|
| 1 | 1 | 0 | 12.5% | 1 | 0 | 0 | 4 | 1 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $1.0B | $427M | 140.2% | $179M | 79.0% | 30 | 23 | 0 | 0 |
| no |
| C••••••••• G••••• E••••• | n/a | NEW YORK, NY | 1 | 11 | 2 | no |
| S•••••• P•••••• M•••• | n/a | Foxboro, MA | NEW YORK, NY | 1 | 32 | 4 | no |
| A••• R••• B••• | n/a | Washington, DC | NEW YORK, NY | 1 | 14 | 4 | no |
| K••• R•••• | n/a | Savoy, IL | 1 | 24 | 2 | no |
| R•••••• W•••••• N••••• | n/a | NEW YORK, NY | Milford, NH | 1 | 12 | 2 | no |
| L••• M• H••••• | n/a | DENVER, CO | NEW YORK, NY | 0 | 19 | 2 | no |
| SVP, BUSINESS OPERATIONS |
| Na |
| yes |
| 01/2021 |
| Mar 18, 2022 |
| May 9, 2024 |
| M••••••• R••••• | Cto | Na | yes | 10/2021 | Mar 18, 2022 | May 9, 2024 |
| S•••••• A••••• D•••••• | Ceo | Na | yes | 04/2016 | Jun 10, 2016 | May 9, 2024 |
| S•••••• A••••• D•••••• | CEO AND OWNER | C | yes | 02/2016 | Jun 10, 2016 | May 9, 2024 |
| S••••• D••••• P••• | Cfo | Na | yes | 12/2019 | Feb 12, 2018 | May 9, 2024 |
| T••••• R•••••• | PRESIDENT, RETIREMENT SERVICES | Na | yes | 12/2020 | Mar 18, 2022 | May 9, 2024 |
| V••••••• H••••••• I••• | Member | E | yes | 04/2016 | Jul 10, 2018 | May 9, 2024 |
| A•••••••• R•••• P•••••• | SVP PRODUCT | Na | no | 01/2020 | Mar 20, 2020 | May 9, 2024 |
| D•••••••• D••••• D• | CHIEF STRATEGY OFFICER | Na | no | 09/2023 | Mar 26, 2024 | May 9, 2024 |
| K••• P•••• | SVP, HEAD OF PEOPLE | Na | no | 11/2020 | Mar 28, 2023 | May 9, 2024 |
| $1.0B |
| $0 |
| 30 |
| 30 |
| 0 |
| n/a |
| n/a |
| 2024 | Mar 31, 2025 | $427M | $0 | 23 | 23 | 0 | n/a | n/a |
| 2023 | Mar 26, 2024 | $280M | $3.9M | 386 | 15 | 0 | n/a | n/a |
| 2022 | Mar 28, 2023 | $179M | $0 | 300 | 13 | 0 | n/a | n/a |
| 2021 | Mar 18, 2022 | $179M | $0 | 243 | 9 | 0 | n/a | n/a |
| 2020 | Mar 17, 2021 | $142M | $0 | 87 | 5 | 0 | n/a | n/a |
| 2019 | Mar 20, 2020 | $111M | $0 | 62 | 4 | 0 | n/a | n/a |
| 2018 | Mar 27, 2019 | $26.2M | $0 | 38 | 5 | 1 | n/a | n/a |
| 2017 | Mar 28, 2018 | $14.0M | $14.0M | 30 | 3 | 1 | n/a | n/a |
| 2016 | Mar 27, 2017 | $398,000 | $0 | 13 | 3 | n/a | n/a | n/a |