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CRD 149446
BOSTON, MA
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 |
|---|---|---|---|---|---|---|
| B••••••• R••••••• J•••• | CHIEF INVESTMENT OFFICER | Na | yes | 10/2016 | Mar 6, 2017 | Sep 11, 2020 |
| C•••••••• C•••••• | CHIEF COMPLIANCE OFFICER | Na | yes | 07/2017 | Jul 21, 2017 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| C••••••• A•••• M••••••••• C••••••• L•• | n/a | Mixed wealth | $14B | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| COSTA MESA | CA | United States | 2 | no |
| Scottsdale | Az | United States | 1 | no |
| AVILA BEACH | CA | United States | 1 | no |
| Westport | Ct | United States | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2019 | $2.3B | $1.8B | 30.0% | $1.3B | 20.0% | 27 | 22 | 4 | 2 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| C• A•••••••• L•• | 14 | Dec 2, 2020 | Nov 9, 2020 | BOSTON, MA | Firm absorbed | RIA to new firm | 87.5% |
| C• F•••••••• C•••• | PARENT COMPANY | E | yes | 07/2020 | Jul 24, 2020 | Sep 11, 2020 |
| C• U• H•••••••• I••• | Member | C | yes | 07/2020 | Jul 24, 2020 | Sep 11, 2020 |
| H••••••••• P••••••• 2•••• L•• | HOLDING COMPANY PARENT | C | yes | 03/2012 | Sep 26, 2012 | Sep 11, 2020 |
| L•••• H•••••• C•••••• T•••• | GENERAL PARTNER | E | yes | 02/2009 | Mar 26, 2015 | Sep 11, 2020 |
| L•••• W••••••• I••••••••• L•• | MANAGING MEMBER | B | yes | 02/2009 | Mar 30, 2012 | Sep 11, 2020 |
| L•••••••• P•••• A••••• | Member | D | yes | 03/2012 | Mar 30, 2012 | Sep 11, 2020 |
| L•••••••• P•••• A••••• | President | Na | yes | 02/2009 | Mar 30, 2012 | Sep 11, 2020 |
| V••••••••• R••••••• J•••• | CHIEF OPERATING OFFICER | Na | yes | 02/2009 | Mar 30, 2012 | Sep 11, 2020 |
| G•••••• M••••••• W•••••• | Member | Na | no | 01/2019 | Mar 20, 2019 | Sep 11, 2020 |
| 2019 |
| Mar 17, 2020 |
| $2.3B |
| $2.3B |
| 28 |
| 14 |
| 4 |
| 1 |
| $86.7M |
| 2018 | Mar 20, 2019 | $1.8B | $1.8B | 22 | 12 | 2 | 1 | $67.6M |
| 2017 | Mar 28, 2018 | $1.6B | $1.6B | 23 | 14 | 1 | 1 | $42.8M |
| 2016 | Mar 6, 2017 | $1.3B | $1.3B | 20 | 15 | n/a | 1 | $0 |
| 2015 | Mar 18, 2016 | $1.2B | $1.2B | 20 | 12 | n/a | n/a | n/a |
| 2014 | Mar 26, 2015 | $1.1B | $1.1B | 18 | 9 | n/a | n/a | n/a |
| 2013 | Mar 22, 2014 | $876M | $874M | 15 | 9 | n/a | n/a | n/a |
| 2012 | Feb 4, 2013 | $710M | $710M | 12 | 6 | n/a | n/a | n/a |
| 2011 | Mar 30, 2012 | $520M | $520M | n/a | n/a | n/a | n/a | n/a |