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CRD 129987
SALEM, MA
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 |
|---|---|---|---|---|---|---|
| M•••••• S•••• F•••• | Certified Financial Planner | SALEM, MA | 21 | 31 | n/a | no |
| G••• M•••••• C••• | n/a | SALEM, MA | 14 | 14 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| C•••• G•••• M•••••• | CHIEF COMPLIANCE OFFICER/SENIOR CLIENT SERVICE ADVISOR | Na | yes | 09/2014 | Jun 16, 2021 | Mar 27, 2024 |
| F••••• M••••••• S•••• | PRESIDENT/CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER | E | yes | 12/1996 | Mar 17, 2012 | Mar 27, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| F•••• F•••••••• • T••• I••• | n/a | n/a | n/a | Y | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Naples | FL | United States | 2 | no |
| S••••SDALE | Az | United States | 1 | no |
| n/a | n/a | n/a | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 26, 2026 |
| 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 | 1 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $306M | $250M | 22.5% | $166M | 22.5% | 7 | 5 | 4 | 3 |
| no |
| G••• M•••• G•••••••• | n/a | SALEM, MA | Boulder, CO | 0 | 23 | n/a | no |
| A••••••• S••••••• G••••• | NON-EXECUTIVE | B | no | 01/2000 | Mar 17, 2012 | Mar 27, 2024 |
| $306M |
| $306M |
| 7 |
| 2 |
| 3 |
| n/a |
| n/a |
| 2024 | Mar 27, 2025 | $250M | $250M | 5 | 2 | 3 | n/a | n/a |
| 2023 | Mar 27, 2024 | $210M | $210M | 8 | 2 | 3 | n/a | n/a |
| 2022 | Mar 29, 2023 | $166M | $166M | 9 | 3 | 3 | n/a | n/a |
| 2021 | Mar 28, 2022 | $164M | $164M | 7 | 2 | 2 | n/a | n/a |
| 2011 | Mar 17, 2012 | $34.6M | $34.6M | n/a | n/a | n/a | n/a | n/a |