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CRD 111721
RAMSEY, NJ
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 |
|---|---|---|---|---|---|---|
| J•••••• A•••• S••••• | n/a | Heber, UT | 9 | 14 | 1 | no |
| M••• A•••••• C•••••• | n/a | RAMSEY, NJ | 5 | 31 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| B••••••• L•••• A• | Member | C | yes | 07/2018 | Aug 6, 2018 | Mar 25, 2024 |
| C••••••• M•••• A•••••• | MANAGING MEMBER | D | yes | 09/1997 | Feb 24, 2012 | Mar 25, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| B•••••• W•••••• E•• | n/a | n/a | n/a | N | no | n/a |
| C•• C••• L•• | n/a | n/a | n/a | N | yes | n/a |
| C•••••• R••• M••••••••• | n/a |
| 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 |
|---|---|---|---|---|---|---|---|---|
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 2 | 0 | 2 | 0.0% | 0 | 0 | 0 | 2 | 0 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $253M | $202M | 25.0% | $184M | 11.2% | 9 | 9 | 3 | 3 |
| no |
| L••• A• B•••••• | n/a | RAMSEY, NJ | 5 | 31 | n/a | no |
| B•••• S•••••• | n/a | RAMSEY, NJ | 5 | 32 | n/a | no |
| D••••• P••• R••••••• | Chartered Financial Consultant | RAMSEY, NJ | 0 | 18 | 1 | no |
| C•••••••• A•••••••• P•••• | n/a | RAMSEY, NJ | 0 | 12 | 1 | no |
| CHIEF COMPLIANCE OFFICER |
| Na |
| yes |
| 03/2022 |
| Mar 28, 2022 |
| Mar 25, 2024 |
| C••••••• D••• | Member | A | no | 09/1997 | Feb 24, 2012 | Mar 25, 2024 |
| C••••••• L••• | Member | A | no | 03/2000 | Feb 24, 2012 | Mar 25, 2024 |
| C••••••• N••••••• | Member | A | no | 09/1997 | Feb 24, 2012 | Mar 25, 2024 |
| n/a |
| N |
| yes |
| n/a |
| Mar 24, 2026 |
| $253M |
| $242M |
| 9 |
| 5 |
| 3 |
| n/a |
| n/a |
| 2024 | Mar 23, 2025 | $202M | $192M | 9 | 5 | 3 | n/a | n/a |
| 2023 | Mar 21, 2024 | $197M | $184M | 10 | 9 | 1 | n/a | n/a |
| 2022 | Mar 30, 2023 | $184M | $175M | 15 | 10 | 1 | n/a | n/a |
| 2021 | Mar 28, 2022 | $220M | $214M | 15 | 11 | 1 | n/a | n/a |
| 2020 | Mar 16, 2021 | $200M | $194M | 11 | 5 | 2 | n/a | n/a |
| 2019 | Feb 27, 2020 | $263M | $246M | 12 | 6 | 2 | n/a | n/a |
| 2018 | Feb 19, 2019 | $267M | $251M | 11 | 6 | 2 | n/a | n/a |
| 2017 | Mar 12, 2018 | $377M | $350M | 15 | 6 | 2 | n/a | n/a |
| 2016 | Feb 14, 2017 | $329M | $306M | 14 | 6 | n/a | n/a | n/a |
| 2015 | Mar 9, 2016 | $336M | $313M | 11 | 6 | n/a | n/a | n/a |
| 2014 | Feb 27, 2015 | $384M | $358M | 11 | 6 | n/a | n/a | n/a |
| 2013 | Mar 8, 2014 | $397M | $388M | 11 | 6 | n/a | n/a | n/a |
| 2012 | Mar 15, 2013 | $295M | $273M | 10 | 5 | n/a | n/a | n/a |
| 2011 | Feb 24, 2012 | $273M | $253M | n/a | n/a | n/a | n/a | n/a |