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CRD 316352
WINSTON-SALEM, NC
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 |
|---|---|---|---|---|---|---|
| RANDELL ALFREDINE CAIN | Chartered Financial Analyst | WINSTON-SALEM, NC | 4 | 24 | 1 | no |
| JAZMIN DANIELLE GAY | n/a | WINSTON-SALEM, NC | Charlotte, NC | 3 | 18 | n/a | no |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| Barnes, Shannon, Denise | CHIEF ADMINISTRATIVE OFFICER, CCO, & MEMBER | A | yes | 06/2021 | Apr 12, 2022 | Nov 21, 2024 |
| Cain, Hamilton, Joshua | MEMBER, OPERATIONS ANALYST | Na | yes | 08/2024 | Nov 21, 2024 | Nov 21, 2024 |
| CAIN, RANDELL, ALFREDINE | CEO & CHIEF INVESTMENT OFFICER | D | yes | 06/2021 | Apr 12, 2022 | Nov 21, 2024 |
| GAY, JAZMIN, DANIELLE | MEMBER & PORTFOLIO MANAGER | Na | yes | 06/2022 | Jul 18, 2022 | Nov 21, 2024 |
| JESSICA P SAROWITZ DECLARATION OF TRUST | Owner | D | yes | 02/2006 | Apr 12, 2022 | Nov 21, 2024 |
| PERRY, EGBERT, LAWSON JUBERT | Manager | E | yes | 07/2021 | Apr 12, 2022 | Nov 21, 2024 |
| SAROWITZ, JESSICA, P | Trustee | F | yes | 02/2006 | Apr 12, 2022 | Nov 21, 2024 |
| SAROWITZ, STEVEN, IRA | Trustee | F | yes | 02/2006 | Apr 12, 2022 | Nov 21, 2024 |
| STEVEN I SAROWITZ DECLARATION OF TRUST | Owner | D | yes | 02/2006 | Apr 12, 2022 | Nov 21, 2024 |
| 4S BAY KERUSSO OPPORTUNITY LLC | Member | B | no | 06/2021 | Apr 12, 2022 | Nov 21, 2024 |
| INTEGRAL KERUSSO PARTNERS, LLC | Member | A | no | 06/2021 | Apr 12, 2022 | Nov 21, 2024 |
| TDS INVESTMENTS, LLC | Member | A | no | 06/2021 | Apr 12, 2022 | Nov 21, 2024 |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 4, 2026 | $222M | $222M | 3 | 2 | 0 | n/a | n/a |
| 2024 | Apr 14, 2025 | $161M | $161M | 4 | 2 | 0 | 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 | 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 | $222M | $161M | 38.0% | n/a | n/a | 3 | 4 | 0 | 0 |