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CRD 109473
LOUISVILLE, KY
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 |
|---|---|---|---|---|---|---|
| CURTISS MILLER SCOTT | Chartered Financial Analyst | LOUISVILLE, KY | 16 | 35 | 1 | no |
| JOHN JAMES WHITE | Chartered Financial Analyst | LOUISVILLE, KY | 16 | 38 | 1 | no |
| JOHN CLETUS HOLDEN | Chartered Financial Analyst | LOUISVILLE, KY | 11 | 24 | 2 | no |
| Shaun Christopher Siers | Chartered Financial Analyst | LOUISVILLE, KY | 3 | 11 | n/a | no |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| DOSS, JENNIFER, JANE | SECRETARY, COO | Na | yes | 05/2009 | Mar 28, 2012 | Sep 24, 2024 |
| HOLDEN, JOHN, CLETUS | SENIOR PORTFOLIO MANAGER, DIRECTOR | B | yes | 05/2009 | Mar 28, 2012 | Sep 24, 2024 |
| JENKINS, JAMES, RAYMOND | CHIEF COMPLIANCE OFFICER, CFO, DIRECTOR | A | yes | 05/1998 | Mar 28, 2012 | Sep 24, 2024 |
| POOLE, JOHN, STEPHEN | MANAGING DIRECTOR, MARKETING | A | yes | 05/2009 | Mar 28, 2012 | Sep 24, 2024 |
| SCOTT, CURTISS, MILLER | PRESIDENT, CIO, DIRECTOR | C | yes | 05/2009 | Mar 28, 2012 | Sep 24, 2024 |
| Siers, Shaun, Christopher | SENIOR PORTFOLIO MANAGER, DIRECTOR | Na | yes | 06/2022 | Mar 28, 2023 | Sep 24, 2024 |
| WHITE, JOHN, JAMES | SENIOR PORTFOLIO MANAGER, DIRECTOR OF RESEARCH, DIRECTOR | B | yes | 05/2009 | Mar 28, 2012 | Sep 24, 2024 |
| BENNETT, CHRISTOPHER, ABBOTT | MARKETING DIRECTOR | Na | no | 10/2014 | Sep 15, 2014 | Sep 24, 2024 |
| CASSEROLE LLC | MEMBER OF LLC | B | no | 05/2009 | Mar 28, 2012 | Sep 24, 2024 |
| PRUGAR, ROBERT, PAUL | SOLE OWNER | E | no | 05/2009 | Mar 28, 2012 | Sep 24, 2024 |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 10, 2026 | $6.2B | $6.2B | 18 | 6 | 0 | n/a | n/a |
| 2024 | Mar 20, 2025 | $5.1B | $5.1B | 18 | 6 | 0 | n/a | n/a |
| 2023 | Mar 22, 2024 | $4.5B | $4.5B | 19 | 6 | 0 | n/a | n/a |
| 2022 | Mar 28, 2023 | $4.0B | $4.0B | 19 | 6 | 0 | n/a | n/a |
| 2021 | Mar 22, 2022 | $4.5B | $4.5B | 19 | 6 | 0 | n/a | n/a |
| 2020 | Mar 24, 2021 | $3.9B | $3.9B | 20 | 6 | 0 | n/a | n/a |
| 2019 | Mar 19, 2020 | $4.0B | $4.0B | 20 | 5 | 0 | n/a | n/a |
| 2018 | Mar 20, 2019 | $3.3B | $3.3B | 20 | 5 | 0 | n/a | n/a |
| 2017 | Mar 20, 2018 | $3.8B | $3.8B | 19 | 5 | 0 | n/a | n/a |
| 2016 | Mar 27, 2017 | $3.5B | $3.5B | 21 | 6 | n/a | n/a | n/a |
| 2015 | Mar 18, 2016 | $3.4B | $3.4B | 22 | 7 | n/a | n/a | n/a |
| 2014 | Mar 24, 2015 | $3.7B | $3.7B | 22 | 7 | n/a | n/a | n/a |
| 2013 | Mar 24, 2014 | $3.6B | $3.6B | 23 | 7 | n/a | n/a | n/a |
| 2012 | Mar 1, 2013 | $3.3B | $3.3B | 23 | 7 | n/a | n/a | n/a |
| 2011 | Mar 28, 2012 | $3.2B | $3.2B | n/a | n/a | n/a | n/a | n/a |
| 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 | 0 | 0 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $6.2B | $5.1B | 21.2% | $4.0B | 15.8% | 18 | 18 | 0 | 0 |