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CRD 126052
SOUTH WINDSOR, CT
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| JOHN ARTHUR O'CONNOR | n/a | SOUTH WINDSOR, CT | 2 | 43 | 5 | no |
| BRIAN EDWARD HAWLEY | Chartered Financial Analyst | Shrewsbury, MA | SOUTH WINDSOR, CT | 2 | 23 | 2 | no |
| KEITH KRISTAN LINDBERG | n/a | Cranford, NJ | SOUTH WINDSOR, CT | 0 | 38 | 2 | no |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| BHATT, KEVIN, BHALCHANDRA | Shareholder | C | yes | 02/2016 | Mar 31, 2020 | Oct 22, 2024 |
| BROWN, JAMES, GERARD | Shareholder | C | yes | 02/2016 | Mar 31, 2020 | Oct 22, 2024 |
| COHEN, JEFFREY, MAX | TRUSTEE, EH SERIES A PREFERRED REVOCABLE TRUST | F | yes | 03/2020 | Mar 31, 2020 | Oct 22, 2024 |
| DAIGNAULT, STEVEN, MARK | CHIEF FINANCIAL OFFICER | Na | yes | 04/2022 | Jun 17, 2022 | Oct 22, 2024 |
| EH SERIES A PREFERRED REVOCABLE TRUST | SHAREHOLDER, SERIES A CONVERTIBLE PREFERRED STOCK | D | yes | 03/2020 | Mar 31, 2020 | Oct 22, 2024 |
| EQIS COMMON HOLDCO, LLC | SHAREHOLDER, COMMON STOCK | D | yes | 07/2018 | Mar 31, 2020 | Oct 22, 2024 |
| EQIS HOLDING, INC. | Shareholder | E | yes | 06/2022 | Mar 30, 2012 | Oct 22, 2024 |
| FREEDOM ADVISORS GROUP INTERMEDIATE HOLDINGS, LLC | LIMITED LIABILITY COMPANY | E | yes | 06/2022 | Sep 1, 2022 | Oct 22, 2024 |
| FREEDOM ADVISORS GROUP LLC | Shareholder | E | yes | 06/2022 | Sep 1, 2022 | Oct 22, 2024 |
| HERRMANN, ROBERT, PHILIP | CHIEF EXECUTIVE OFFICER | Na | yes | 05/2020 | Jun 30, 2020 | Oct 22, 2024 |
| LONG RIDGE EQUITY PARTNERS | VOTER, COMMON STOCK THROUGH LRECH SPECIAL MEMBER, LLC | F | yes | 08/2019 | Mar 31, 2020 | Oct 22, 2024 |
| LONG RIDGE EQUITY PARTNERS I, L.P. | Shareholder | E | yes | 07/2018 | Mar 31, 2020 | Oct 22, 2024 |
| LONG RIDGE EQUITY PARTNERS I, L.P. | SHAREHOLDER, SERIES B CONVERTIBLE PREFERRED STOCK | D | yes | 02/2016 | Mar 31, 2020 | Oct 22, 2024 |
| LONG RIDGE EQUITY PARTNERS, LLC | GENERAL PARTNER | F | yes | 02/2016 | Mar 31, 2020 | Oct 22, 2024 |
| NELSON, WILLIAM, ROBERT | Shareholder | C | yes | 07/2018 | Mar 30, 2012 | Oct 22, 2024 |
| WINTERS, SCOTT, CHRISTOPHER | Shareholder | C | yes | 07/2018 | Mar 30, 2012 | Oct 22, 2024 |
| LUCICH, ANDREW, THOMAS | CHIEF COMPLIANCE OFFICER | Na | no | 08/2022 | Sep 1, 2022 | Oct 22, 2024 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| n/a | n/a | n/a | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Feb 4, 2026 | $569M | $569M | 9 | 6 | 4 | n/a | n/a |
| 2024 | Mar 31, 2025 | $2.1B | $2.0B | 40 | 11 | 6 | n/a | n/a |
| 2023 | Mar 28, 2024 | $2.0B | $2.0B | 43 | 10 | 6 | n/a | n/a |
| 2022 | Mar 31, 2023 | $1.4B | $1.4B | 42 | 7 | 1 | n/a | n/a |
| 2021 | Mar 31, 2022 | $1.9B | $1.9B | 53 | 7 | 1 | n/a | n/a |
| 2020 | Mar 31, 2021 | $1.7B | $1.7B | 53 | 6 | 0 | n/a | n/a |
| 2019 | Mar 31, 2020 | $1.8B | $1.8B | 63 | 10 | 0 | n/a | n/a |
| 2018 | Mar 29, 2019 | $1.8B | $1.8B | 71 | 10 | 0 | n/a | n/a |
| 2017 | Mar 29, 2018 | $2.2B | $2.2B | 70 | 25 | 1 | n/a | n/a |
| 2016 | Mar 13, 2017 | $2.0B | $2.0B | 85 | 5 | n/a | n/a | n/a |
| 2015 | Mar 30, 2016 | $1.7B | $1.7B | 75 | 20 | n/a | n/a | n/a |
| 2014 | Mar 31, 2015 | $888M | $888M | 38 | 2 | n/a | n/a | n/a |
| 2013 | Mar 31, 2014 | $540M | $540M | 38 | 2 | n/a | n/a | n/a |
| 2012 | Apr 1, 2013 | $375M | $375M | 38 | 2 | n/a | n/a | n/a |
| 2011 | Mar 30, 2012 | $259M | $259M | n/a | n/a | n/a | 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 |
|---|---|---|---|---|---|---|---|---|
| 0 | 4 | -4 | 133.3% | 0 | 2 | 0 | 1 | 13 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $569M | $2.1B | -73.5% | $1.4B | -26.5% | 9 | 40 | 4 | 6 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| GEOWEALTH MANAGEMENT LLC | 2 | Jul 31, 2025 | Oct 28, 2025 | SOUTH WINDSOR, CT | Team lift out | RIA to RIA | 14.3% |
| CARROLL FINANCIAL ASSOCIATES INC | 2 | Dec 31, 2018 | May 23, 2019 | SOUTH WINDSOR, CT | Team lift out | RIA to RIA | 11.8% |
| PRESLEY WEALTH MANAGEMENT, LLC | 2 | Nov 29, 2016 | Nov 29, 2016 | DENHAM SPRINGS, LA | Team lift out | Other | 11.8% |
| EPSTEIN AND WHITE FINANCIAL LLC | 3 | Sep 14, 2016 | Mar 15, 2016 | SAN DIEGO, CA | Team lift out | Other | 15.0% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| 3D/L CAPITAL MANAGEMENT, LLC | 2 | Dec 21, 2023 | Jan 30, 2024 | HARTFORD, CT | Channel change | RIA to RIA | 28.6% |
| 3D/L CAPITAL MANAGEMENT, LLC | 2 | Dec 21, 2023 | Feb 15, 2024 | NORTHBOROUGH, MA | Channel change | RIA to RIA | 28.6% |