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CRD 108114
NEWPORT BEACH, CA
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.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| D••••••••• K•••• L•••• | CHIEF COMPLIANCE OFFICER/SECRETARY | Na | yes | 11/2013 | Feb 24, 2012 | Feb 20, 2017 |
| D••••••••• M••••••• C•••• | President | E | yes | 11/2013 | Feb 24, 2012 | Feb 20, 2017 |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2016 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2016 | $162M | $132M | 22.9% | $120M | 10.6% | 4 | 4 | n/a | n/a |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| M••••• G••••• A••••••• I••• | 2 | Oct 12, 2017 | May 19, 2017 | NEWPORT BEACH, CA | Team lift out | Other | 100.0% |
| $162M |
| $162M |
| 4 |
| 3 |
| n/a |
| n/a |
| n/a |
| 2015 | Mar 26, 2016 | $132M | $132M | 4 | 3 | n/a | n/a | n/a |
| 2014 | Jan 30, 2015 | $127M | $127M | 4 | 3 | n/a | n/a | n/a |
| 2013 | Mar 21, 2014 | $120M | $120M | 4 | 3 | n/a | n/a | n/a |
| 2012 | Feb 19, 2013 | $118M | $113M | 5 | 3 | n/a | n/a | n/a |
| 2011 | Feb 24, 2012 | $105M | $85.9M | n/a | n/a | n/a | n/a | n/a |