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CRD 106462
D•••••, CO
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 |
|---|---|---|---|---|---|---|
| G•••• A••••• D•••• | DIRECTOR OF OPERATIONS | B | yes | 03/2010 | Jan 23, 2012 | Jan 28, 2015 |
| G•••• P••••• J••••••• | CHIEF COMPLIANCE OFFICER | C | yes | 10/2004 | Jan 23, 2012 | Jan 28, 2015 |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2014 | Jan 28, 2015 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2014 | $153M | $147M | 3.8% | $108M | 12.4% | 4 | 4 | n/a | n/a |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| B••••••••• S•••••••• W•••••• L•• | 2 | Jan 19, 2016 | Feb 3, 2016 | D•••••, CO | Team lift out | Other | 100.0% |
| Owner |
| C |
| yes |
| 06/1984 |
| Jan 23, 2012 |
| Jan 28, 2015 |
| M•••••• J•••• T• | Member | Na | no | 12/2013 | Jan 31, 2014 | Jan 28, 2015 |
| $153M |
| $81.0M |
| 4 |
| 3 |
| n/a |
| n/a |
| n/a |
| 2013 | Jan 31, 2014 | $147M | $75.1M | 4 | 3 | n/a | n/a | n/a |
| 2012 | Feb 25, 2013 | $131M | $65.0M | 4 | 3 | n/a | n/a | n/a |
| 2011 | Jan 23, 2012 | $108M | $50.9M | n/a | n/a | n/a | n/a | n/a |