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CRD 106816
DUBLIN, OH
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 |
|---|---|---|---|---|---|---|
| S•••• D•••••• G••••• | n/a | DUBLIN, OH | 9 | 12 | n/a | no |
| M•••••• C•••• K••••• | n/a | LANSING, MI | DUBLIN, OH | 9 | 29 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| A••••• J•••••••• H•••• | SENIOR VICE PRESIDENT | Na | yes | 07/2023 | Mar 28, 2024 | Dec 17, 2024 |
| B•••••••• M••••••• C•••••••• | CHIEF FINANCIAL OFFICER | Na | yes | 11/2024 | Dec 17, 2024 | Dec 17, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| M••••• A•••• M••••••••• I•• | n/a | Asset manager | $3.3B | N | yes | n/a |
| M••••• A••••••• S•••••••• I•• | n/a | Independent wealth | $2.9B | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| LAS VEGAS | Nv | United States | 5 | no |
| Austin | TX | United States | 3 | no |
| LONG BEACH | CA | United States | 1 | no |
| Denver | Co | United States | 1 | no |
| Lansing | Mi | United States |
| 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 |
|---|---|---|---|---|---|---|---|---|
| 6 | 0 | 6 | 0.0% | 0 | 0 | 0 | 12 | 2 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $70B | $59B | 18.4% | $25B | 40.4% | 77 | 51 | 7 | 6 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| M•••••• A•••• M••••••••• L•• | 5 | Apr 10, 2026 | Feb 27, 2026 | FARMINGTON, UT | Firm absorbed | Other | 100.0% |
| F•• F•••••••• M••• S••••• A•••••••• L•• | 4 | Dec 15, 2023 | Dec 21, 2023 |
| no |
| E••••• J••• S••••• | n/a | DUBLIN, OH | 9 | 23 | 3 | no |
| N••• F•••• V•••••• | n/a | LONG BEACH, CA | DUBLIN, OH | 7 | 13 | 1 | yes |
| J•••• W•••• M•••••• | Chartered Financial Analyst | DUBLIN, OH | 5 | 18 | n/a | no |
| B••••••• R•• S••• | n/a | DUBLIN, OH | SALT LAKE CITY, UT | 4 | 18 | 3 | no |
| G•••••• D••• B•••• | Chartered Financial Analyst | LAS VEGAS, NV | DUBLIN, OH | 2 | 17 | 2 | no |
| R•••••• L•• P••••••• | n/a | Las Vegas, NV | DUBLIN, OH | 2 | 21 | 1 | no |
| T•••• L• D••••• | n/a | DUBLIN, OH | Las Vegas, NV | 2 | 21 | 1 | no |
| G•••••• G• P••••••• | n/a | DUBLIN, OH | 2 | 17 | n/a | no |
| P•••••• J•••• | n/a | DUBLIN, OH | 1 | 16 | 3 | yes |
| D•••• S•••••••• | n/a | DUBLIN, OH | 0 | 11 | 2 | yes |
| J•••• M••• W••••••• | n/a | DUBLIN, OH | 0 | 26 | 7 | no |
| A••••• J•••• R•••••• | n/a | DUBLIN, OH | 0 | 24 | 5 | no |
| J••••• C••••••••• H••••• | n/a | DUBLIN, OH | 0 | 18 | 5 | no |
| D••••• V••••• R••• | Chartered Financial Analyst | DUBLIN, OH | 0 | 10 | 2 | no |
| J••• T••••••• R••••••• | Chartered Financial Analyst | DUBLIN, OH | 0 | 10 | 1 | no |
| President |
| Na |
| yes |
| 01/2015 |
| Dec 17, 2013 |
| Dec 17, 2024 |
| H•••••••• J••••• D••• | SENIOR VICE PRESIDENT | Na | yes | 01/2015 | Dec 17, 2013 | Dec 17, 2024 |
| M••••• I••••••••• M••••••••• I••• | PARENT CORPORATION | E | yes | 11/2013 | Dec 17, 2013 | Dec 17, 2024 |
| M•••••• R•••••• S•••••• ••• | CHIEF EXECUTIVE OFFICER | Na | yes | 11/2013 | Dec 17, 2013 | Dec 17, 2024 |
| N•••• A•••• S•••• | CHIEF OPERATING OFFICER | Na | yes | 10/2017 | Sep 6, 2016 | Dec 17, 2024 |
| R••••• S• M•••••• J••• A• T•••••• O• T•• R••••• S• M•••••• J•• R••••••• T••••• U•••• D•••• M•• 2•• 2•••• A• A•••••• | President | D | yes | 05/1993 | Nov 8, 2019 | Dec 17, 2024 |
| R••••• S• M•••••• S••• A• T•••••• O• T•• T•• R••••• S• M•••••• S•• 2••• I••••••••• T•••• | Shareholder | C | yes | 07/2018 | Mar 28, 2024 | Dec 17, 2024 |
| K•••• B••••••• R•••••• | CHIEF COMPLIANCE OFFICER | Na | no | 01/2024 | Jan 12, 2024 | Dec 17, 2024 |
| M•••••• T••••••• N••• | CHIEF LEGAL OFFICER | Na | no | 09/2015 | Mar 30, 2016 | Dec 17, 2024 |
| M••••• D••••••••• S•••••••• I••• | n/a | n/a | n/a | N | yes | n/a |
| M••••• I•••••••• S•••••••• L•• | n/a | n/a | n/a | N | yes | n/a |
| no |
| SALT LAKE CITY | Ut | United States | 1 | no |
| Apr 2, 2026 |
| $64B |
| $49B |
| 71 |
| 52 |
| 7 |
| n/a |
| n/a |
| 2024 | Mar 28, 2025 | $59B | $47B | 51 | 34 | 6 | n/a | n/a |
| 2023 | Mar 28, 2024 | $55B | $40B | 48 | 32 | 5 | n/a | n/a |
| 2022 | Mar 31, 2023 | $25B | $17B | 48 | 29 | 4 | n/a | n/a |
| 2021 | Mar 31, 2022 | $19B | $15B | 46 | 23 | 3 | n/a | n/a |
| 2020 | Mar 31, 2021 | $16B | $14B | 39 | 20 | 2 | n/a | n/a |
| 2019 | Mar 30, 2020 | $15B | $12B | 26 | 15 | 2 | n/a | n/a |
| 2018 | Mar 21, 2019 | $13B | $11B | 24 | 20 | 1 | n/a | n/a |
| 2017 | Mar 29, 2018 | $4.2B | $2.1B | 10 | 10 | 1 | n/a | n/a |
| 2016 | Mar 31, 2017 | $2.9B | $1.4B | 10 | 10 | n/a | n/a | n/a |
| 2015 | Mar 30, 2016 | $2.7B | $1.3B | 14 | 10 | n/a | n/a | n/a |
| 2014 | Mar 31, 2015 | $2.1B | $767M | 9 | 9 | n/a | n/a | n/a |
| 2013 | Mar 31, 2014 | $1.5B | $1.3B | 52 | 14 | n/a | n/a | n/a |
| 2012 | Mar 11, 2013 | $1.7B | $201M | 8 | 6 | n/a | n/a | n/a |
| 2011 | Mar 19, 2012 | $1.9B | $80.3M | n/a | n/a | n/a | n/a | n/a |
| LAS VEGAS, NV |
| Firm absorbed |
| Other |
| 100.0% |