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CRD 112296
FOXBORO, MA
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 |
|---|---|---|---|---|---|---|
| B•••• K••••••••• R••• | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | E | yes | 09/1996 | Feb 13, 2012 | Apr 17, 2018 |
| E••••• M•••• A••••• | Member | B | no | 04/2017 | Apr 18, 2017 | Apr 17, 2018 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Reno | Nv | United States | 3 | no |
| Wilmington | De | United States | 1 | no |
| Marblehead | Ma | United States | 1 | no |
| Bethesda | Md | United States | 1 | no |
| Houston | TX | United States |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2017 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2017 | $235M | $247M | -5.0% | $164M | 12.6% | 11 | 9 | 7 | n/a |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| F••••••• W••••• A•••••••• L•• | 2 | Mar 1, 2019 | May 29, 2019 | FOXBORO, MA | Team lift out | RIA to RIA | 50.0% |
| C•••••• W••••• M••••••••• | 2 | Sep 2, 2015 | Mar 24, 2015 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| C•••••• W••••• M••••••••• | 3 | Dec 31, 2016 | Oct 25, 2016 | SAN JOSE, CA | Team lift out | Other | 4.3% |
| C•••••• W••••• M••••••••• | 3 | May 4, 2016 | Apr 29, 2016 |
| no |
| $235M |
| $232M |
| 11 |
| 10 |
| 7 |
| n/a |
| n/a |
| 2016 | Feb 10, 2017 | $247M | $247M | 9 | 9 | n/a | n/a | n/a |
| 2014 | Mar 11, 2015 | $164M | $164M | 4 | 4 | n/a | n/a | n/a |
| 2013 | Mar 17, 2014 | $179M | $178M | 4 | 3 | n/a | n/a | n/a |
| 2012 | Mar 26, 2013 | $152M | $148M | 4 | 3 | n/a | n/a | n/a |
| 2011 | Feb 13, 2012 | $136M | $93.4M | n/a | n/a | n/a | n/a | n/a |
| FOXBORO, MA |
| Team lift out |
| Other |
| 100.0% |
| SAN JOSE, CA |
| Team lift out |
| Other |
| 3.8% |