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CRD 292454
BRIDGEPORT, CT
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 |
|---|---|---|---|---|---|---|
| Baker, Gerald, E. | Director | Na | yes | 06/2024 | Jun 24, 2024 | Aug 1, 2024 |
| M&T BANK CORPORATION | SOLE STOCKHOLDER | E | yes | 04/2022 | Apr 14, 2022 | Aug 1, 2024 |
| MANUFACTURERS AND TRADERS TRUST COMPANY | SOLE STOCKHOLDER | E | yes | 04/2022 | Apr 14, 2022 | Aug 1, 2024 |
| Mrozinski, Abigail, Riley | Director | Na | yes | 06/2024 | Jun 24, 2024 | Aug 1, 2024 |
| ROTH, ANTHONY, MICHAEL | PRESIDENT & CHIEF INVESTMENTOFFICER, DIRECTOR | Na | yes | 02/2015 | Jun 23, 2023 | Aug 1, 2024 |
| WARREN, EDNA, JENNIFER | CHAIR OF THE BOARD AND CHIEF EXECUTIVE OFFICER | Na | yes | 06/2022 | Jun 23, 2023 | Aug 1, 2024 |
| Baldauf, Andrew, JOHN | CHIEF COMPLIANCE OFFICER | Na | no | 09/2022 | Sep 29, 2022 | Aug 1, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| WILMINGTON TRUST INVESTMENT ADVISORS, INC. | n/a | Other adviser | $18B | N | yes | n/a |
| WILMINGTON FUNDS MANAGEMENT CORPORATION | n/a | Asset manager | $16B | N | yes | n/a |
| WILMINGTON TRUST ASSET MANAGEMENT, LLC | n/a | Asset manager | $271M | N | yes | n/a |
| WILMINGTON TRUST INVESTMENT MANAGEMENT LLC | n/a | Bank affiliated wealth | $141M | N | yes | n/a |
| M&T SECURITIES, INC. | n/a | n/a | n/a | N | yes | n/a |
| MANUFACTURERS AND TRADERS TRUST COMPANY | n/a | n/a | n/a | Y | yes | Vt |
| WILMINGTON TRUST COMPANY | n/a | n/a | n/a | N | yes | n/a |
| WILMINGTON TRUST NATIONAL ASSOCIATION | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Burlington | Vt | United States | 12 | yes |
| NEW YORK | NY | United States | 10 | yes |
| COS COB | Ct | United States | 5 | yes |
| Wethersfield | Ct | United States | 4 | yes |
| Portland | Me | United States | 4 | yes |
| Fairfield | Ct | United States | 3 | yes |
| Bridgeport | Ct | United States | 2 | yes |
| Trumbull | Ct | United States | 2 | yes |
| Danvers | Ma | United States | 2 | yes |
| Wellesley | Ma | United States | 2 | yes |
| Porstmouth | Nh | United States | 2 | yes |
| Bayport | NY | United States | 2 | yes |
| Bennington | Vt | United States | 2 | yes |
| Rutland | Vt | United States | 2 | yes |
| Brookfield | Ct | United States | 1 | yes |
| Fairfield | Ct | United States | 1 | yes |
| Milford | Ct | United States | 1 | yes |
| Monroe | Ct | United States | 1 | yes |
| NEW HAVEN | Ct | United States | 1 | yes |
| NORTH HAVEN | Ct | United States | 1 | yes |
| Shelton | Ct | United States | 1 | yes |
| Southington | Ct | United States | 1 | yes |
| Stamford | Ct | United States | 1 | yes |
| Stratford | Ct | United States | 1 | yes |
| Waterford | Ct | United States | 1 | yes |
| WEST HARTFORD | Ct | United States | 1 | yes |
| Westport | Ct | United States | 1 | yes |
| Boston | Ma | United States | 1 | yes |
| Boston | Ma | United States | 1 | yes |
| Springfield | Ma | United States | 1 | yes |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2023 | Mar 28, 2024 | $845M | $840M | 53 | 27 | 43 | n/a | n/a |
| 2022 | Mar 30, 2023 | $1.4B | $1.4B | 53 | 27 | 43 | n/a | n/a |
| 2021 | Mar 31, 2022 | $9.2B | $8.2B | 185 | 95 | 43 | n/a | n/a |
| 2020 | Mar 31, 2021 | $9.3B | $8.3B | 200 | 115 | 43 | n/a | n/a |
| 2019 | Mar 30, 2020 | $9.1B | $8.3B | 145 | 115 | 18 | n/a | n/a |
| 2018 | Mar 29, 2019 | $8.5B | $8.0B | 140 | 115 | 18 | n/a | n/a |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2023 | $845M | $1.4B | -40.6% | $9.3B | -55.0% | 53 | 53 | 43 | 43 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| WILMINGTON TRUST INVESTMENT ADVISORS, INC. | 4 | Sep 10, 2024 | Sep 11, 2024 | WILMINGTON, DE | Firm absorbed | Other | 100.0% |
| LPL FINANCIAL LLC | 2 | Apr 19, 2023 | Mar 3, 2026 | WILMINGTON, DE | Team lift out | Other | 22.2% |
| MASCOMA WEALTH MANAGEMENT | 2 | Sep 10, 2021 | Apr 12, 2023 | BURLINGTON, VT | Team lift out | RIA to RIA | 2.7% |