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CRD 110623
SCOTTSDALE, AZ
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| BRUCE CONKLIN WILLIAMS | Chartered Financial Analyst | SCOTTSDALE, AZ | 23 | 26 | 1 | no |
| MATTHEW JEFFERSON CARTER | Certified Financial Planner|Chartered Financial Analyst | SCOTTSDALE, AZ | 21 | 24 | 1 | no |
| MATTHEW SEAN KELLY | Certified Financial Planner|Chartered Financial Analyst | SCOTTSDALE, AZ | 13 | 17 | n/a | no |
| BRIAN NICHOLS JACKSON | Certified Financial Planner|Chartered Financial Analyst | SCOTTSDALE, AZ | 9 | 22 | n/a | no |
| Barrett A. Geist | Certified Financial Planner | SCOTTSDALE, AZ | 5 | 10 | n/a | no |
| MICHAEL CHRISTOPHER LOSSING | Certified Financial Planner | SCOTTSDALE, AZ | 4 | 34 | 2 | no |
| Richard Gregory Antonio | Chartered Financial Analyst | SCOTTSDALE, AZ | 3 | 14 | n/a | no |
| GIANCARLO JOSE MATEUS | Certified Financial Planner | SCOTTSDALE, AZ | 2 | 19 | 1 | no |
| Evan Patrick Sweeney | Certified Financial Planner | SCOTTSDALE, AZ | 1 | 13 | 1 | no |
| John Robert Ellison | Chartered Financial Analyst | SCOTTSDALE, AZ | 1 | 10 | n/a | no |
| Daniel Edward Mora | n/a | SCOTTSDALE, AZ | 0 | 11 | n/a | no |
| Roger Surindra Gokool | n/a | SCOTTSDALE, AZ | 0 | 10 | n/a | no |
| Jessica Catherine Coleman | n/a | SCOTTSDALE, AZ | 0 | 11 | 1 | no |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| CARTER, MATTHEW, JEFFERSON | MANAGING PARTNER/CHIEF COMPLIANCE OFFICER | E | yes | 01/2021 | Mar 24, 2026 | Mar 24, 2026 |
| JACKSON, BRIAN, NICHOLS | PARTNER, SENIOR PORTFOLIO MANAGER | Na | no | 09/2024 | Mar 24, 2026 | Mar 24, 2026 |
| KELLY, MATTHEW, SEAN | PARTNER, SENIOR WEALTH ADVISOR | Na | no | 09/2024 | Mar 24, 2026 | Mar 24, 2026 |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 24, 2026 | $1.8B | $1.8B | 22 | 12 | 0 | n/a | n/a |
| 2024 | Mar 18, 2025 | $1.5B | $1.5B | 19 | 14 | 0 | n/a | n/a |
| 2023 | Mar 26, 2024 | $1.4B | $1.4B | 19 | 13 | 0 | n/a | n/a |
| 2022 | Mar 14, 2023 | $1.2B | $1.2B | 17 | 13 | 0 | n/a | n/a |
| 2021 | Mar 26, 2022 | $1.3B | $1.3B | 14 | 10 | 0 | n/a | n/a |
| 2020 | Mar 19, 2021 | $1.5B | $1.5B | 11 | 10 | 0 | n/a | n/a |
| 2019 | Mar 21, 2020 | $1.2B | $1.2B | 15 | 14 | 0 | n/a | n/a |
| 2018 | Mar 12, 2019 | $948M | $948M | 12 | 12 | 0 | n/a | n/a |
| 2017 | Mar 20, 2018 | $1.1B | $1.1B | 14 | 14 | 0 | n/a | n/a |
| 2016 | Feb 22, 2017 | $1.0B | $1.0B | 15 | 12 | n/a | n/a | n/a |
| 2015 | Mar 21, 2016 | $810M | $810M | 12 | 10 | n/a | n/a | n/a |
| 2014 | Mar 26, 2015 | $833M | $833M | 11 | 9 | n/a | n/a | n/a |
| 2013 | Mar 26, 2014 | $801M | $801M | 12 | 9 | n/a | n/a | n/a |
| 2012 | Apr 1, 2013 | $751M | $751M | 12 | 8 | n/a | n/a | n/a |
| 2011 | Mar 23, 2012 | $626M | $613M | 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 |
|---|---|---|---|---|---|---|---|---|
| 1 | 1 | 0 | 7.7% | 1 | 0 | 0 | 3 | 2 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $1.8B | $1.5B | 16.3% | $1.2B | 14.2% | 22 | 19 | 0 | 0 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| CLARKSTON CAPITAL PARTNERS, LLC | 2 | Dec 31, 2020 | Jan 26, 2021 | PHOENIX, AZ | Team lift out | RIA to RIA | 33.3% |