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CRD 144571
ANNAPOLIS, MD
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 |
|---|---|---|---|---|---|---|
| B•••• S••••• K•••••••• | n/a | ANNAPOLIS, MD | 10 | 31 | 1 | no |
| S••• E••••• L•••• | Chartered Financial Analyst | ANNAPOLIS, MD | 5 | 19 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| K••••••••• B••••• S••••• | CHIEF COMPLIANCE OFFICER | Na | yes | 12/2018 | Mar 22, 2017 | Feb 12, 2024 |
| L••••• S•••• E••••• | President | D | yes | 12/2018 | Mar 20, 2015 | Feb 12, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| L•••• • C•••••• | n/a | n/a | n/a | N | no | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Allentown | Pa | United States | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| B•• B••••• C•••••• M••••••••• L•• | 2 | Dec 31, 2019 | Nov 30, 2020 | ANNAPOLIS, MD | Team lift out | Other | 100.0% |
| no |
| J••••••• S• L•••• | n/a | ANNAPOLIS, MD | 4 | 34 | 1 | no |
| J••••• C••••••••• W•••••••• | n/a | ANNAPOLIS, MD | 3 | 16 | 1 | no |
| D•••• H•••••• C••••••••• | n/a | ANNAPOLIS, MD | 3 | 42 | 2 | no |
| A•••••• S••••• C•••• | Chartered Financial Analyst | ANNAPOLIS, MD | 1 | 12 | 2 | no |
| VICE PRESIDENT |
| C |
| yes |
| 02/2018 |
| Feb 12, 2018 |
| Feb 12, 2024 |
| Mar 3, 2026 |
| $449M |
| $449M |
| 6 |
| 6 |
| 0 |
| n/a |
| n/a |
| 2024 | Feb 14, 2025 | $359M | $359M | 5 | 5 | 1 | n/a | n/a |
| 2023 | Feb 12, 2024 | $300M | $300M | 4 | 4 | 1 | n/a | n/a |
| 2022 | Feb 23, 2023 | $244M | $244M | 4 | 4 | 1 | n/a | n/a |
| 2021 | Mar 7, 2022 | $299M | $299M | 4 | 4 | 1 | n/a | n/a |
| 2020 | Feb 16, 2021 | $230M | $230M | 3 | 3 | 0 | n/a | n/a |
| 2019 | Feb 24, 2020 | $214M | $214M | 3 | 3 | 0 | n/a | n/a |
| 2018 | Feb 22, 2019 | $172M | $159M | 3 | 3 | 0 | n/a | n/a |
| 2017 | Feb 12, 2018 | $161M | $147M | 4 | 4 | 0 | n/a | n/a |
| 2016 | Mar 22, 2017 | $148M | $132M | 4 | 3 | n/a | n/a | n/a |
| 2015 | Mar 18, 2016 | $134M | $119M | 4 | 4 | n/a | n/a | n/a |
| 2014 | Mar 20, 2015 | $132M | $119M | 4 | 4 | n/a | n/a | n/a |
| 2013 | Feb 21, 2014 | $107M | $94.5M | 3 | 2 | n/a | n/a | n/a |
| 2012 | Jan 8, 2013 | $92.4M | $80.6M | 2 | 2 | n/a | n/a | n/a |
| 2011 | Mar 27, 2012 | $90.0M | $78.6M | n/a | n/a | n/a | n/a | n/a |