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CRD 316226
ALBANY, NY
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••• A•••• A••• | Certified Financial Planner | ALBANY, NY | 4 | 28 | 1 | yes |
| S•••• B•••••• H••• | Certified Financial Planner | ALBANY, NY | 4 | 26 | 1 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| A•••• M•••• A•••• | FOUNDING PARTNER | C | yes | 08/2021 | Sep 14, 2021 | Sep 19, 2024 |
| C•••••••• M••••••• J••••• | CHIEF COMPLIANCE OFFICER | Na | yes | 08/2021 | Sep 14, 2021 | Sep 19, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| L•••• • C•• P• | n/a | n/a | n/a | N | no | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Albany | NY | United States | 1 | no |
| Albany | NY | United States | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Feb 9, 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 | 1 | 1 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $303M | $270M | 12.0% | $173M | 20.6% | 6 | 7 | 1 | 2 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| P•• A••••••• S•••••••• L•• | 3 | Dec 31, 2022 | Oct 21, 2021 | ALBANY, NY | Team lift out | RIA to RIA | 7.3% |
| yes |
| L••• G•••• M••••• | Certified Financial Planner | ALBANY, NY | 4 | 20 | 1 | yes |
| M•••••• J••••• C••••••• | n/a | ALBANY, NY | 4 | 19 | n/a | yes |
| M•••••• S••• L•••• | n/a | Albany, NY | 2 | 26 | 1 | yes |
| FOUNDING PARTNER |
| B |
| yes |
| 08/2021 |
| Sep 14, 2021 |
| Sep 19, 2024 |
| M•••••• L•••• G•••• | FOUNDING PARTNER | C | yes | 08/2021 | Sep 14, 2021 | Sep 19, 2024 |
| $303M |
| $29.3M |
| 6 |
| 6 |
| 1 |
| n/a |
| n/a |
| 2024 | Feb 6, 2025 | $270M | $25.3M | 7 | 7 | 2 | n/a | n/a |
| 2023 | Jan 18, 2024 | $212M | $22.4M | 7 | 7 | 2 | n/a | n/a |
| 2022 | Feb 10, 2023 | $173M | $9.3M | 5 | 5 | 0 | n/a | n/a |
| 2021 | Feb 16, 2022 | $0 | $0 | 5 | 4 | 0 | n/a | n/a |