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CRD 324586
SOMERS, NY
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
Dated 2026-08-26 (filing); first seen by DFX 2026-09-15.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| N••••••• J•••••• M•••••• | n/a | SOMERS, NY | 3 | 12 | 1 | no |
| M••• R•••••••• | n/a | Greenville, SC | SOMERS, NY | 3 | 40 |
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| B•••• S••••• G••••• P••••••• L•• | Other P•••••• Fund | $0 | Dec 11, 2024 | 0 | Oct 1, 2024 | reported | n/a |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| M••••••• N•••••••• J•••••• | PRESIDENT / CHIEF COMPLIANCE OFFICER | E | yes | 01/2023 | Jan 27, 2023 | Dec 11, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| B••••••••• F••••• O••••• L•• | n/a | Former SEC adviser | $65.8M | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Greenville | Sc | United States | 2 | no |
| Greer | Sc | United States | 1 | no |
| n/a | n/a | n/a | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | P•••••• funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Apr 20, 2026 |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 4 | 0 | 4 | 0.0% | 4 | 0 | 0 | 8 | 1 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $367M | $118M | 210.3% | n/a | n/a | 10 | 7 | 8 | 4 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| I••••••••• F••••• O••••• L•• | 3 | Aug 26, 2026 | Jul 16, 2026 | SOMERS, NY | Team lift out | RIA to RIA | 37.5% |
On annual amendments filed after 2024-12-31, 156 wealth managers reported a higher Item 5 private fund count than on the prior year's amendment, 445 funds added in total. Most: E••••••••• P••••••• L••• 13 to 51 (2025-03-20 to 2026-03-26); B••••••• • C•• 56 to 90 (2025-03-31 to 2026-03-30); D•••••••• C•••••• I•• 6 to 18 (2025-04-24 to 2026-04-29); B•••••• G••••• A•••••••• L•• 66 to 77 (2025-03-27 to 2026-03-30); W•••••• A•••••••• L•• 8 to 19 (2025-04-04 to 2026-03-31); O•••• C•••••• 113 to 123 (2025-03-27 to 2026-03-30).
| no |
| T•••••• T•••• | n/a | Mount Kisco, NY | SOMERS, NY | 2 | 10 | 3 | no |
| P••• D•••••• P•••••• | Certified Financial Planner | Greenville, SC | SOMERS, NY | 1 | 12 | 2 | no |
| S•••• K•••• H•••• | n/a | Greer, SC | SOMERS, NY | 1 | 17 | 2 | no |
| H••••••• S••••• H••••• | n/a | SOMERS, NY | Greenville, SC | 0 | 11 | 1 | no |
| D••••••• D••••••• | n/a | Delray Beach, FL | SOMERS, NY | 0 | 15 | 4 | no |
| J•• P••••• P•••••••• | n/a | SOMERS, NY | 0 | 21 | n/a | no |
| P••• B•••••• P•••••• | n/a | Woodmere, NY | SOMERS, NY | 0 | 39 | 2 | no |
| L•••••• A••••• D•••••• | n/a | SOMERS, NY | Freeport, NY | 0 | 29 | 4 | no |
| C••• P••• S••••• | n/a | SOMERS, NY | Park Ridge, NJ | 0 | 22 | 2 | no |
| V••••••• U••••• | n/a | SOMERS, NY | Palm Beach Gardens, FL | 0 | 17 | 1 | no |
| $367M |
| $285M |
| 10 |
| 7 |
| 6 |
| 8 |
| n/a |
| 2024 | Mar 24, 2025 | $118M | $118M | 7 | 7 | 4 | 1 | n/a |
| 2023 | Mar 25, 2024 | $103M | $103M | 4 | 4 | 1 | n/a | n/a |