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CRD 121060
SHELTON, CT
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 |
|---|---|---|---|---|---|---|
| JAY MARC DIAMOND | n/a | SHELTON, CT | Shelton, CT | 34 | 42 | n/a | yes |
| MICHAEL CHRISTOPHER KUSICK | Certified Financial Planner | Shelton, CT | SHELTON, CT | 25 | 32 | n/a | yes |
| NICHOLAS THOMAS CHRISTIE | Certified Financial Planner | SHELTON, CT | Shelton, CT | 23 | 26 | n/a | yes |
| JOSEPH PATRICK JANDREAU | Chartered Financial Analyst | GLASTONBURY, CT | Bluffton, SC | SHELTON, CT | BRISTOL, CT | Bristol, CT | 22 | 22 | n/a | yes |
| DREW NICHOLS BOWMAN | n/a | SHELTON, CT | Shelton, CT | 19 | 29 | n/a | yes |
| JAMES MAHONEY | n/a | GLASTONBURY, CT | SHELTON, CT | 18 | 36 | n/a | yes |
| DOUGLAS ELLIOTT KERR | n/a | Shelton, CT | Granthan, NH | SHELTON, CT | Grantham, NH | 12 | 20 | 1 | yes |
| ROBERT PAUL IANNAZZO | n/a | SHELTON, CT | Shelton, CT | 7 | 42 | 4 | yes |
| Nicholas Giammattei | Certified Financial Planner | SHELTON, CT | Shelton, CT | 6 | 13 | n/a | yes |
| SCOTT K WILLIAMS | n/a | SHELTON, CT | Shelton, CT | 0 | 15 | n/a | no |
| JASON THOMAS ARENA | n/a | SHELTON, CT | 0 | 20 | 2 | no |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| CHRISTIE, NICHOLAS, THOMAS | Member | B | yes | 11/2016 | Apr 5, 2012 | Mar 5, 2024 |
| DIAMOND, JAY, MARC | Member | C | yes | 11/2016 | Apr 5, 2012 | Mar 5, 2024 |
| KUSICK, MICHAEL, CHRISTOPHER | MANAGING MEMBER | C | yes | 11/2016 | Apr 5, 2012 | Mar 5, 2024 |
| WILLIAMS, SCOTT, K | CHIEF COMPLIANCE OFFICER | Na | yes | 01/2011 | Apr 5, 2012 | Mar 5, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| JAMES MAHONEY | n/a | n/a | n/a | N | no | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Glastonbury | Ct | United States | 2 | yes |
| Bristol | Ct | United States | 1 | yes |
| Lebanon | Nh | United States | 1 | yes |
| n/a | n/a | n/a | 1 | yes |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 5, 2026 | $930M | $930M | 10 | 10 | 4 | n/a | n/a |
| 2024 | Apr 24, 2025 | $812M | $812M | 10 | 10 | 4 | n/a | n/a |
| 2023 | Mar 5, 2024 | $712M | $712M | 10 | 10 | 4 | n/a | n/a |
| 2022 | Feb 28, 2023 | $623M | $623M | 10 | 10 | 4 | n/a | n/a |
| 2021 | Mar 2, 2022 | $653M | $653M | 10 | 10 | 3 | n/a | n/a |
| 2020 | Feb 19, 2021 | $542M | $542M | 10 | 7 | 4 | n/a | n/a |
| 2019 | Mar 24, 2020 | $459M | $459M | 10 | 7 | 4 | n/a | n/a |
| 2018 | Mar 14, 2019 | $392M | $392M | 8 | 7 | 4 | n/a | n/a |
| 2017 | Apr 2, 2018 | $445M | $445M | 12 | 9 | 5 | n/a | n/a |
| 2016 | Mar 27, 2017 | $308M | $308M | 12 | 8 | n/a | n/a | n/a |
| 2015 | Mar 30, 2016 | $327M | $327M | 14 | 11 | n/a | n/a | n/a |
| 2014 | Mar 4, 2015 | $308M | $308M | 14 | 11 | n/a | n/a | n/a |
| 2013 | Apr 1, 2014 | $236M | $236M | 14 | 6 | n/a | n/a | n/a |
| 2012 | Apr 4, 2013 | $190M | $190M | 11 | 6 | 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 |
|---|---|---|---|---|---|---|---|---|
| 1 | 0 | 1 | 0.0% | 1 | 0 | 0 | 1 | 0 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $930M | $812M | 14.5% | $623M | 14.3% | 10 | 10 | 4 | 4 |