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CRD 329366
DES MOINES, IA
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 |
|---|---|---|---|---|---|---|
| Constance Nathelma Craig-Mason | n/a | YORK, PA | DES MOINES, IA | 2 | 10 | 3 | no |
| SHERWOOD ALLISON BARBOUR | n/a | RALEIGH, NC | DES MOINES, IA | 2 | 26 | 6 | no |
| JOHN EUGENE PEREZ | Certified Financial Planner | HOUSTON, TX | DES MOINES, IA | 2 | 26 | 12 | no |
| MATTHEW DAVID ANDERSON | n/a | DES MOINES, IA | 2 | 31 | 5 | no |
| BRUCE D MACOMBER | n/a | FREEPORT, ME | DES MOINES, IA | 2 | 17 | 1 | no |
| Dennis James Snoozy | n/a | MESA, AZ | DES MOINES, IA | 2 | 33 | 3 | no |
| REGINA CORNELIO | n/a | JOHNSON CITY, TN | DES MOINES, IA | 1 | 12 | n/a | no |
| Matthew John Fitzgerald | n/a | DES MOINES, IA | ST. CHARLES, IL | 1 | 21 | 1 | no |
| CHARLES ERIC GRETH | n/a | TACOMA, WA | DES MOINES, IA | 1 | 41 | 6 | no |
| Matthew Austin Glass | n/a | DES MOINES, IA | GREENVILLE, SC | 1 | 16 | 1 | no |
| David Allen Shilling | n/a | DES MOINES, IA | WESTMINISTER, CA | 1 | 11 | 1 | no |
| THOMAS CLARK | n/a | DES MOINES, IA | CHARLOTTE, NC | 1 | 18 | n/a | no |
| AARON C BARNES | n/a | DES MOINES, IA | BASTROP, TX | 1 | 11 | n/a | no |
| DANIEL MARK SACCAL | n/a | DES MOINES, IA | PALM BEACH GARDENS, FL | 1 | 25 | 6 | no |
| Mark Frederick Collier | n/a | DES MOINES, IA | LAKE MARY, FL | 1 | 10 | 2 | no |
| STEPHEN MCGOFF | n/a | DES MOINES, IA | ST. LOUIS, MO | 1 | 18 | 6 | no |
| Michael L Groomes | n/a | DES MOINES, IA | DAYTON, OH | 1 | 39 | 1 | no |
| Anthony J Mascherino | n/a | KING OF PRUSSIA, PA | DES MOINES, IA | 1 | 10 | 1 | no |
| DONALD G TUTTLE | n/a | DES MOINES, IA | EAGLE, ID | 1 | 16 | n/a | no |
| ERIC LEONARD SJOLUND | n/a | VILLAS, NJ | DES MOINES, IA | 1 | 43 | 4 | no |
| Adrian N Raney | n/a | DES MOINES, IA | LITTLE ROCK, AR | 0 | 10 | 3 | no |
| MICHAEL JOHN COOLEY | Chartered Financial Consultant | SALINE, MI | DES MOINES, IA | 0 | 16 | 3 | no |
| Daniel Alan Natoli | n/a | NAPLES , FL | DES MOINES, IA | 0 | 10 | 2 | no |
| ANDRE OBRIAN HARRIELAL | n/a | DES MOINES, IA | CHERRY HILL, NJ | 0 | 26 | 6 | no |
| HARRY REDMOND GREENE | n/a | WARRENVILLE, IL | DES MOINES, IA | 0 | 35 | 4 | no |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| JOHNSON, CHARLES, E | MANAGING MEMBER / CCO | C | yes | 01/2024 | Dec 1, 2023 | Oct 22, 2024 |
| Snoozy, Dennis, James | MANAGING MEMBER | B | yes | 01/2024 | Dec 1, 2023 | Oct 22, 2024 |
| WHITNEY, MITCHELL, NOLAN | MANAGING MEMBER | C | yes | 01/2024 | Dec 1, 2023 | Oct 22, 2024 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| ST. CHARLES | IL | United States | 1 | no |
| Freeport | Me | United States | 1 | no |
| Raleigh | Nc | United States | 1 | no |
| York | Pa | United States | 1 | no |
| JOHNSON CITY | Tn | United States | 1 | no |
| Tacoma | Wa | United States | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 16, 2026 | $104M | $104M | 28 | 26 | 27 | n/a | n/a |
| 2024 | Mar 19, 2025 | $49.4M | $49.4M | 17 | 16 | 15 | 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 |
|---|---|---|---|---|---|---|---|---|
| 9 | 2 | 7 | 6.1% | 2 | 1 | 0 | 25 | 2 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $104M | $49.4M | 109.7% | n/a | n/a | 28 | 17 | 27 | 15 |