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CRD 109071
WAYNE, PA
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.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| H•••••••• J•••••••• J•• | OWNER, MANAGING MEMBER, PRESIDENT, MEMBER OF INVESTMENT COMMITTEE | D | yes | 03/2005 | Mar 1, 2012 | Mar 26, 2019 |
| J••••••• G••••••• M•••• | CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER | Na | yes | 01/2015 | Mar 9, 2016 | Mar 26, 2019 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| NEW YORK | NY | United States | 6 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2018 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2018 | $849M | $889M | -4.6% | $1.6B | -18.3% | 12 | 12 | 1 | 1 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| R••••••••• | 4 | Sep 3, 2019 | Jun 20, 2021 | WAYNE, PA | Firm absorbed | RIA to RIA | 80.0% |
| K••••• E••••••••• A••• | PARTNER, CHIEF FINANCIAL OFFICER | Na | yes | 04/2006 | Mar 1, 2012 | Mar 26, 2019 |
| M•••••• J••••• F•••••• | PARTNER, MANAGING DIRECTOR OF CLIENT WEALTH ADVISORY SERVICES | Na | yes | 04/2001 | Mar 1, 2012 | Mar 26, 2019 |
| P••••••• P•••• S••••• | PARTNER, CHIEF INVESTMENT OFFICER | Na | yes | 04/2016 | Apr 30, 2016 | Mar 26, 2019 |
| S••••••• D••••• M•••••• | OWNER, MANAGING MEMBER, CHIEF EXECUTIVE OFFICER, MEMBER OF INVESTMENT COMMITTEE | D | yes | 04/1999 | Mar 1, 2012 | Mar 26, 2019 |
| $849M |
| $649M |
| 12 |
| 9 |
| 1 |
| n/a |
| n/a |
| 2017 | Mar 29, 2018 | $889M | $715M | 12 | 9 | 1 | n/a | n/a |
| 2016 | Mar 31, 2017 | $672M | $670M | 14 | 10 | n/a | 3 | $66.7M |
| 2015 | Mar 9, 2016 | $1.6B | $1.6B | 16 | 14 | n/a | 3 | $115M |
| 2014 | Mar 16, 2015 | $1.7B | $1.7B | 23 | 18 | n/a | 3 | $98.0M |
| 2013 | Mar 18, 2014 | $1.6B | $1.6B | 22 | 18 | n/a | 3 | $87.4M |
| 2012 | Mar 18, 2013 | $1.4B | $1.4B | 19 | 13 | n/a | 3 | $80.6M |
| 2011 | Mar 1, 2012 | $1.3B | $1.3B | n/a | n/a | n/a | 3 | $68.1M |