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CRD 310819
SCOTTSDALE, AZ
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 |
|---|---|---|---|---|---|---|
| C•••••• A••••• P••••• | Chartered Financial Consultant | SCOTTSDALE, AZ | 5 | 32 | 2 | no |
| M••• V•••••• M••••• | n/a | SCOTTSDALE, AZ | UPPER MARLBORO, MD | 5 | 18 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| P•••••• C••••••• A••••• | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | E | yes | 04/2020 | Jun 16, 2023 | Jul 25, 2024 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Frederick | Md | United States | 2 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Apr 10, 2026 |
| 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 | 7 | 2 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $151M | $30.3M | 396.1% | n/a | n/a | 21 | 19 | 17 | 1 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| L••••••• F•••••••• A•••••••• L•• | 3 | Jan 20, 2021 | Jan 27, 2021 | SCOTTSDALE, AZ | Team lift out | Other | 30.0% |
| no |
| M•••••• C••••••••• P•••• | n/a | STAR TANNERY, VA | SCOTTSDALE, AZ | 5 | 17 | 3 | no |
| F•••••• C••••••• G••••• | Certified Financial Planner | SCOTTSDALE, AZ | IRVINE, CA | 5 | 33 | 2 | no |
| J•••• C•••••• A••••••• I• | n/a | SCOTTSDALE, AZ | Tucson, AZ | 5 | 10 | n/a | no |
| N••••••• R••• D•• | n/a | SCOTTSDALE, AZ | 4 | 11 | 2 | no |
| J••••••••• J• F••••• | n/a | Phoenix, AZ | SCOTTSDALE, AZ | 3 | 13 | n/a | no |
| M•••• M•••• H••••• | n/a | SCOTTSDALE, AZ | Tucson, AZ | 3 | 26 | 1 | no |
| C•••• W••••• T••••••• | n/a | SCOTTSDALE, AZ | San Jose, CA | 3 | 39 | 3 | no |
| M••••• M••••••• B•••••• | n/a | SCOTTSDALE, AZ | Baltimore, MD | 3 | 10 | 1 | no |
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| K•• O• J••••• | n/a | SCOTTSDALE, AZ | 2 | 10 | n/a | no |
| K••••••• T•••• W••••• | n/a | Scottsdale, AZ | SCOTTSDALE, AZ | 2 | 13 | 1 | no |
| H••••• S••••• | n/a | SCOTTSDALE, AZ | SMITHTOWN , NY | 2 | 12 | n/a | no |
| E•••• J•• G•••••• | n/a | Sheboygan Falls, WI | SCOTTSDALE, AZ | 2 | 11 | 1 | no |
| D•••••• S••••••• M••••• | n/a | SCOTTSDALE, AZ | 2 | 41 | 5 | no |
| H• M• | n/a | PHOENIX, AZ | SCOTTSDALE, AZ | 2 | 12 | 3 | no |
| T•••• S••••• W•••• | n/a | SCOTTSDALE, AZ | Clayton, CA | 1 | 23 | 4 | no |
| H•••• T•• L•••• | n/a | Oakland, CA | SCOTTSDALE, AZ | 0 | 15 | 1 | no |
| V•••••••• K•• P••••• | n/a | SCOTTSDALE, AZ | Brooklyn Park, MN | 0 | 19 | n/a | no |
| M••• A••• F••••••• | n/a | SCOTTSDALE, AZ | Land O Lakes , FL | 0 | 25 | 1 | no |
| L•••• R••••••••• | n/a | SCOTTSDALE, AZ | Villa Park, CA | 0 | 10 | n/a | no |
| $119M |
| $119M |
| 20 |
| 20 |
| 17 |
| n/a |
| n/a |
| 2024 | Mar 28, 2025 | $30.3M | $30.3M | 19 | 19 | 1 | n/a | n/a |
| 2023 | Mar 27, 2024 | n/a | n/a | 23 | 18 | 1 | n/a | n/a |