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CRD 300327
PASADENA, CA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| BROWN, KODY, AUSTIN | SECRETARY, DIRECTOR | B | yes | 10/2023 | Nov 10, 2023 | Oct 24, 2024 |
| HARRISON, BERKELEY, GEORGE | CHIEF COMPLIANCE OFFICER | Na | yes | 03/2021 | Mar 31, 2021 | Oct 24, 2024 |
| HATCH, MICHAEL, PATRICK | PRESIDENT, DIRECTOR | E | yes | 12/2018 | Feb 11, 2019 | Oct 24, 2024 |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Feb 9, 2026 | $16.1M | $16.1M | 7 | 4 | 0 | n/a | n/a |
| 2024 | Apr 1, 2025 | $361M | $350M | 7 | 4 | 0 | n/a | n/a |
| 2023 | Mar 18, 2024 | $322M | $311M | 6 | 4 | 0 | n/a | n/a |
| 2022 | Mar 29, 2023 | $272M | $264M | 6 | 4 | 0 | n/a | n/a |
| 2021 | Mar 30, 2022 | $249M | $238M | 6 | 4 | 0 | n/a | n/a |
| 2020 | Mar 31, 2021 | $182M | $171M | 6 | 4 | 0 | n/a | n/a |
| 2019 | Mar 29, 2020 | $168M | $157M | 6 | 3 | 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 | 4 | -4 | n/a | 0 | 4 | 0 | 0 | 4 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $16.1M | $361M | -95.5% | $272M | -61.0% | 7 | 7 | 0 | 0 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| SEQUOIA FINANCIAL GROUP, L.L.C. | 4 | Jun 30, 2026 | Oct 16, 2025 | PASADENA, CA | Firm absorbed | RIA to RIA | 100.0% |