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CRD 287851
ALPHARETTA, GA
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 |
|---|---|---|---|---|---|---|
| W•••••• H•••• H••• | n/a | ALPHARETTA, GA | 9 | 32 | 1 | yes |
| V•••••••• A•••••• S••••• | n/a | ALPHARETTA, GA | 9 | 26 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| H•••• W••••••• H•••• | PRESIDENT/CEO/MANAGING PARTNER | C | yes | 02/2017 | Jul 12, 2021 | Dec 20, 2024 |
| H•••••• J•••• M•••••• | Coo | Na | yes | 01/2021 | Jul 12, 2021 | Dec 20, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| P•••••• I••••••••• A•••••••• L•• | n/a | Former SEC adviser | $1.2B | N | yes | n/a |
| P•••••• C•••••• P•••••••• L•• | n/a | Asset manager | $191M | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Miami | FL | United States | 2 | yes |
| Guaynabo | Pr | United States | 2 | yes |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 31, 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 | 2 | 1 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $138M | $113M | 22.6% | $39.0M | 52.5% | 14 | 13 | 2 | 2 |
| yes |
| M••••• A•••••• G••••••• H•••• | n/a | Guaynabo, PR | 8 | 28 | 1 | yes |
| R••••• A•••••• P•••• M••••••• | n/a | GUAYNABO, PR | 8 | 10 | n/a | yes |
| J•••• R• S••••••• E•••••• | n/a | GUAYNABO, PR | 8 | 20 | 1 | yes |
| N•••• A•••••••• D•••••• V••••••• | n/a | GUAYNABO, PR | 7 | 13 | n/a | yes |
| H••••• A• M••••••• | n/a | Guaynabo, PR | 7 | 27 | 1 | yes |
| B•••••• W••••• | n/a | ALPHARETTA, GA | 6 | 11 | 1 | yes |
| J••• A•••••• C•••••• I•••••••• | n/a | GUAYNABO, PR | 6 | 10 | n/a | yes |
| G••••• R••••••••• | n/a | GUAYNABO, PR | 5 | 40 | 1 | yes |
| L•••• A••••• R•••••••• N•••• | n/a | GUAYNABO, PR | 4 | 35 | 2 | yes |
| L••• C•••••• L•••• | n/a | GUAYNABO, PR | 3 | 38 | 2 | yes |
| R••• J••• E••••••• V•••••• | n/a | GUAYNABO, PR | 3 | 41 | 2 | yes |
| J•••• A•••••• M•••••••• | n/a | GUAYNABO, PR | 2 | 20 | 1 | yes |
| E••••• S•••• H••••••• | n/a | MIAMI, FL | ALPHARETTA, GA | Miami, FL | 1 | 30 | 3 | no |
| MANAGING PARTNER |
| C |
| yes |
| 02/2017 |
| Jul 12, 2021 |
| Dec 20, 2024 |
| W•••••••• B••••• T••••• | CHIEF COMPLIANCE OFFICER | Na | yes | 12/2024 | Dec 20, 2024 | Dec 20, 2024 |
| E••••• O• B••••••• T••••• E•••• | Member | B | no | 12/2023 | Nov 27, 2024 | Dec 20, 2024 |
| P••• M••••••••• L•• | n/a | Asset manager | $22.2M | N | yes | n/a |
| F•••• S•••••••• L•• | n/a | n/a | n/a | N | yes | n/a |
| P•••••• R••• E••••• C•••••• P•••••••• L•• | n/a | n/a | n/a | N | yes | n/a |
| $138M |
| $138M |
| 14 |
| 11 |
| 2 |
| n/a |
| n/a |
| 2024 | Apr 1, 2025 | $113M | $88.7M | 13 | 8 | 2 | n/a | n/a |
| 2023 | Mar 29, 2024 | $72.6M | $19.7M | 13 | 8 | 1 | n/a | n/a |
| 2022 | Mar 30, 2023 | $39.0M | $20.2M | 15 | 15 | 1 | n/a | n/a |
| 2021 | Mar 31, 2022 | $44.3M | $22.4M | 11 | 11 | 1 | n/a | n/a |