DFX Intelligence
Data Factory
Reading the graph
Reading the graph
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
CRD 131631
MIAMI, FL
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.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| C•••••• G••••••• H••••••• L•• | Owner | E | yes | 07/2009 | Mar 31, 2015 | Jul 24, 2018 |
| H••••• G••••••• P•••• | MANAGING MEMBER | Na | yes | 03/2016 | May 16, 2016 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| WINTER PARK | FL | United States | 4 | yes |
| NEW YORK | NY | United States | 3 | no |
| CORAL SPRINGS | FL | United States | 2 | yes |
| FT. LAUDERDALE | FL | United States | 2 | yes |
| Pensacola | FL |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2017 | $465M | $593M | -21.6% | $723M | -13.7% | 30 | 41 | 12 | n/a |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| A••••• P•••••• A•••••••• L•• | 3 | Dec 31, 2018 | Apr 12, 2019 | FORT LAUDERDALE, FL | Firm absorbed | RIA to RIA | 75.0% |
| A••••• P•••••• A•••••••• L•• | 2 | Nov 6, 2018 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| R•••• L•• | 2 | Jun 28, 2017 | Aug 4, 2017 | CORAL GABLES, FL | Team lift out | Other | 33.3% |
| L•••• J•••••• P•••• | Owner | C | yes | 01/2015 | Mar 31, 2015 | Jul 24, 2018 |
| L•••• J•••••• P•••• | MANAGING MEMBER/CHIEF COMPLIANCE OFFICER | C | yes | 03/2016 | Mar 31, 2015 | Jul 24, 2018 |
| N••••••• S••• C•••••• H•••••••• L•• | Owner | D | yes | 01/2015 | Mar 31, 2015 | Jul 24, 2018 |
| N••••••• S••• C•••••• M••••••••• L•• | Owner | D | yes | 01/2015 | Mar 31, 2015 | Jul 24, 2018 |
| 2 |
| yes |
| BOYNTON BEACH | FL | United States | 1 | yes |
| Naples | FL | United States | 1 | yes |
| Brewster | Ma | United States | 1 | yes |
| Hickory | Nc | United States | 1 | yes |
| Pittsburgh | Pa | United States | 1 | yes |
| Norfolk | Va | United States | 1 | yes |
| Richmond | Va | United States | 1 | yes |
| Mar 26, 2018 |
| $465M |
| $465M |
| 30 |
| 23 |
| 12 |
| n/a |
| n/a |
| 2016 | Mar 31, 2017 | $593M | $113M | 41 | 33 | n/a | n/a | n/a |
| 2015 | Mar 31, 2016 | $480M | $103M | 41 | 39 | n/a | n/a | n/a |
| 2014 | Mar 31, 2015 | $723M | $453M | 85 | 55 | n/a | n/a | n/a |
| 2013 | Mar 31, 2014 | $795M | $451M | 85 | 65 | n/a | n/a | n/a |
| 2012 | Mar 28, 2013 | $574M | $391M | 85 | 65 | n/a | n/a | n/a |
| 2011 | Mar 29, 2012 | $412M | $372M | n/a | n/a | n/a | n/a | n/a |
| Nov 14, 2018 |
| MIAMI, FL |
| Team lift out |
| RIA to new firm |
| 28.6% |
| K••••• A•••••••• I••• | 3 | Jul 13, 2018 | May 6, 2020 | NAPLES, FL | Team lift out | RIA to ibd | 25.0% |
| Q•••••• A•••• M••••••••• I••• | 2 | Feb 12, 2018 | Feb 13, 2018 | MIAMI, FL | Team lift out | Other | 11.8% |
| I••••••• A••••••• S•••••••• L•• | 2 | Feb 12, 2018 | Mar 27, 2018 | MIAMI, FL | Team lift out | Other | 11.8% |
| L•• F•••••••• L•• | 2 | Dec 8, 2015 | Dec 11, 2015 | HUNTERSVILLE, NC | Team lift out | Other | 5.7% |
| I••••••••• F•••••••• S••••••••• L•• | 2 | Nov 19, 2015 | Nov 19, 2015 | CONCORD, NC | Team lift out | Other | 5.4% |
| T•••• A•••••••• L•• | 2 | Nov 17, 2015 | Nov 17, 2015 | RALEIGH, NC | Team lift out | Other | 5.1% |
| C••••• I••••••••• A••••••• L•• | 3 | Mar 17, 2015 | Mar 21, 2024 | LONGWOOD, FL | Team lift out | Other | 6.0% |