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CRD 324258
LOUISVILLE, KY
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••• M••••• | n/a | LOUISVILLE, KY | 3 | 16 | 1 | no |
| C••••••••• R••••• M••••• | Certified Financial Planner | LOUISVILLE, KY | 3 | 16 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| M•••••• B••••• E••••• | MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER | C | yes | 01/2023 | Jan 12, 2023 | Mar 26, 2024 |
| M•••••• B••••• S••• | Member | C | yes | 01/2023 | Jan 12, 2023 | Mar 26, 2024 |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 30, 2026 |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 0 | 0 | 0 | 0.0% | 0 | 0 | 0 | 0 | 0 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $484M | $451M | 7.4% | $306M | 16.5% | 8 | 8 | 0 | 0 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| F•••• K••••••• S••••••••• C••• | 5 | Jan 13, 2023 | Jan 26, 2023 | LOUISVILLE, KY | Team lift out | RIA to new firm | 23.8% |
| no |
| B•••• E••••• M••••• | n/a | LOUISVILLE, KY | 3 | 46 | 3 | no |
| T••••• C••••••• F•••••• | Certified Financial Planner | LOUISVILLE, KY | 3 | 10 | 1 | no |
| S••••• L••• B•••••••• | n/a | LOUISVILLE, KY | 3 | 40 | 2 | no |
| Z•••••• A••••• G•••••••• | n/a | LOUISVILLE, KY | 1 | 11 | n/a | no |
| Member |
| C |
| yes |
| 01/2023 |
| Jan 12, 2023 |
| Mar 26, 2024 |
| $484M |
| $484M |
| 8 |
| 5 |
| 0 |
| n/a |
| n/a |
| 2024 | Mar 28, 2025 | $451M | $451M | 8 | 5 | 0 | n/a | n/a |
| 2023 | Mar 26, 2024 | $428M | $428M | 9 | 5 | 0 | n/a | n/a |
| 2022 | Mar 7, 2023 | $306M | $306M | 9 | 5 | 0 | n/a | n/a |