DFX Intelligence
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C••••• D••••, INC, CRD 28116
BALTIMORE, MD
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 |
|---|---|---|---|---|---|---|
| T••••• J•••• A••••• | n/a | BALTIMORE, MD | 32 | 39 | n/a | yes |
| J••• N••••• O••••• | n/a | BALTIMORE, MD | 24 | 35 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| A•••••• T••••• J•••• I• | CHAIRMAN OF THE BOARD, CEO | D | yes | 03/2018 | Nov 10, 2011 | May 31, 2024 |
| G••••••••• M•••••• A•••••• | President | Na | yes | 04/2022 | Jun 8, 2022 | May 31, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| P••••••••• P••••••• C•••••• M••••••••• L•• | n/a | Independent wealth | $61.2M | N | no | n/a |
| C••••• D•••• I•••••••• I••• | n/a | n/a | n/a | Y | no | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| BALA CYNWYD | Pa | United States | 6 | yes |
| Peoria | IL | United States | 2 | yes |
| Baltimore | Md | United States | 2 | yes |
| n/a | n/a | n/a | 1 | yes |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 0 | 1 | -1 | 5.0% | 0 | 0 | 0 | 4 | 3 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $643M | $539M | 19.2% | $360M | 21.3% | 26 | 30 | 13 | 12 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| L•• F•••••••• L•• | 2 | Apr 17, 2020 | Apr 17, 2020 | PEORIA, IL | Team lift out | RIA to ibd | 11.1% |
| A••••••••• F•••••••• S•••••••• L•• | 3 | Apr 24, 2018 | Apr 12, 2018 |
| yes |
| G••••• T••••• G•••• | n/a | Pheonix, MD | BALTIMORE, MD | 18 | 32 | 1 | yes |
| M••• K•••••• B•••• | n/a | LUTHERVILLE, MD | BALTIMORE, MD | 18 | 45 | 1 | yes |
| C•••• B•••••• D•••••• | n/a | BALTIMORE, MD | 17 | 31 | 2 | yes |
| F•••••• A•••••••• F••••• | n/a | BALTIMORE, MD | 17 | 30 | 2 | yes |
| K•••• L••••••• M••••• | Certified Financial Planner | BALTIMORE, MD | 16 | 30 | 2 | yes |
| J•••••• M••• G•••••• | n/a | BALTIMORE, MD | Baltimore, MD | 14 | 32 | n/a | yes |
| J••• S••••• C•••• | n/a | Reisterstown, MD | BALTIMORE, MD | 8 | 30 | 2 | yes |
| C•••• S••••••••• | n/a | Bala Cynwyd, PA | BALA CYNWYD, PA | BALTIMORE, MD | 8 | 27 | 2 | yes |
| M•••••• A•••••• G•••••••• | n/a | BALA CYNWYD, PA | Bala Cynwyd, PA | BALTIMORE, MD | 8 | 42 | 4 | yes |
| N•••• S•••••••• B•• | n/a | BALTIMORE, MD | 6 | 30 | n/a | yes |
| M•••••• E• R••••••• | Certified Financial Planner|Chartered Financial Consultant | Mrytle Beach, SC | Bala Cynwyd, PA | 3 | 25 | 2 | yes |
| J•••• S••••• H•••• | n/a | Telluride, CO | Baltimore, MD | BALTIMORE, MD | 3 | 33 | n/a | yes |
| D•••• E••••• S••••• | n/a | BALTIMORE, MD | PEORIA, IL | 3 | 13 | n/a | yes |
| R••••• J•••• K•••••• | Chartered Financial Consultant | BALTIMORE, MD | Dover, DE | 2 | 29 | 1 | yes |
| D••• G••• W•••• | n/a | BALTIMORE, MD | 2 | 21 | 1 | yes |
| E•••••••• A••••• H•••• | n/a | BALTIMORE, MD | 1 | 37 | n/a | yes |
| S••••• A•••• K••••••• | n/a | BALTIMORE, MD | York, PA | 1 | 26 | 3 | yes |
| S•••• J••• S•••• | Certified Financial Planner | Bala Cynwyd, PA | Fort Lauderdale, FL | New York, NY | 1 | 40 | 2 | yes |
| Cco |
| Na |
| yes |
| 01/2024 |
| Jan 22, 2024 |
| May 31, 2024 |
| B•••••••• T••••• A•••• | Director | Na | no | 02/2018 | Apr 2, 2018 | May 31, 2024 |
| H••••• J•••• S••••• | Shareholder | A | no | 06/2014 | Mar 31, 2015 | May 31, 2024 |
| H••••• E•••••••• A••••• | Director | B | no | 03/1999 | Nov 10, 2011 | May 31, 2024 |
| M•••••• L•••• F••• J• | FINANCIAL PRINCIPAL | Na | no | 11/2022 | Mar 29, 2012 | May 31, 2024 |
| T••••••••• T••••• N••••• | Director | Na | no | 02/2014 | Mar 28, 2014 | May 31, 2024 |
| Apr 21, 2026 |
| $643M |
| $552M |
| 26 |
| 21 |
| 13 |
| n/a |
| n/a |
| 2024 | Apr 3, 2025 | $539M | $449M | 30 | 23 | 12 | n/a | n/a |
| 2023 | Mar 29, 2024 | $417M | $341M | 36 | 30 | 9 | n/a | n/a |
| 2022 | Mar 22, 2023 | $360M | $310M | 40 | 28 | 3 | n/a | n/a |
| 2021 | Apr 1, 2022 | $373M | $361M | 39 | 26 | 3 | n/a | n/a |
| 2020 | Apr 1, 2021 | $502M | $459M | 39 | 26 | 3 | n/a | n/a |
| 2019 | Jun 9, 2020 | $327M | $318M | 50 | 31 | 3 | n/a | n/a |
| 2018 | Mar 8, 2019 | $315M | $306M | 53 | 36 | 4 | n/a | n/a |
| 2017 | Apr 2, 2018 | $264M | $256M | 43 | 33 | 2 | n/a | n/a |
| 2016 | Mar 31, 2017 | $199M | $187M | 43 | 33 | n/a | n/a | n/a |
| 2015 | Mar 9, 2016 | $1.0B | $182M | 49 | 29 | n/a | n/a | n/a |
| 2014 | Mar 31, 2015 | $918M | $193M | 36 | 28 | n/a | n/a | n/a |
| 2013 | Mar 28, 2014 | $846M | $169M | 48 | 30 | n/a | n/a | n/a |
| 2012 | Mar 28, 2013 | $669M | $86.0M | 44 | 34 | n/a | n/a | n/a |
| 2011 | Mar 29, 2012 | $610M | $73.0M | n/a | n/a | n/a | n/a | n/a |
| BALTIMORE, MD |
| Team lift out |
| RIA to ibd |
| 16.7% |