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CRD 284335
BURLINGTON, VT
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 |
|---|---|---|---|---|---|---|
| D••••• P•••••• C••••••••• | n/a | BURLINGTON, VT | 10 | 18 | n/a | no |
| W•••••• F•••• K••••• | n/a | Vergennes, VT | 7 | 34 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| C••••••••• D•••••• P•••••• | CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER, & SOLE MEMBER/MANAGING MEMBER | E | yes | 05/2016 | Feb 4, 2026 | Feb 4, 2026 |
| K••••• B•••• | DIRECTOR OF OPERATIONS | Na | yes | 09/2022 | Feb 4, 2026 | Feb 4, 2026 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Hanover | Nh | United States | 1 | no |
| SARATOGA SPRINGS | NY | United States | 1 | no |
| Chesterbrook | Pa | United States | 1 | no |
| Vergennes | Vt | United States | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 1 | 0 | 1 | 0.0% | 1 | 0 | 0 | 1 | 4 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $1.4B | $1.1B | 25.2% | $587M | 32.4% | 23 | 20 | 9 | 5 |
| no |
| N•••• S••••• W•••••••• | n/a | BURLINGTON, VT | Hanover, NH | 6 | 13 | n/a | no |
| C••••• F••••• M•••••••• | n/a | Middlebury, VT | Rutland, VT | Rochester, VT | 4 | 20 | n/a | no |
| M•••••• D••••• M•••••• | Chartered Financial Analyst | Burlington, VT | 3 | 13 | n/a | no |
| C••••••• G•••• R•••••• | n/a | Burlington, VT | 2 | 13 | n/a | no |
| C••••••••• S•• P•••• M•••••• | n/a | BURLINGTON, VT | 1 | 10 | n/a | no |
| S••• P•••••• G••••• | n/a | Morrisville, VT | BURLINGTON, VT | 1 | 16 | n/a | no |
| J••• R••••• B••• | n/a | Bennington, VT | BURLINGTON, VT | Northampton, MA | 1 | 14 | n/a | no |
| B•••• K•••• | n/a | Burlington, VT | 1 | 10 | n/a | no |
| J••••••• L••••• M••••••• | n/a | BURLINGTON, VT | 0 | 10 | n/a | no |
| K•••• P•••••• M••••• | n/a | BURLINGTON, VT | 0 | 10 | n/a | no |
| J••• R••••• S•••• | n/a | BURLINGTON, VT | 0 | 12 | n/a | no |
| K••• A•••• | n/a | BURLINGTON, VT | St. P••••sburg, FL | 0 | 10 | 1 | no |
| B••••• J••••• A•• |
| CHIEF COMPLIANCE OFFICER |
| Na |
| yes |
| 07/2023 |
| Aug 2, 2023 |
| Mar 28, 2024 |
| $1.4B |
| $1.3B |
| 23 |
| 13 |
| 9 |
| n/a |
| n/a |
| 2024 | Jan 31, 2025 | $1.1B | $1.1B | 20 | 10 | 5 | n/a | n/a |
| 2023 | Jan 19, 2024 | $798M | $778M | 16 | 9 | 4 | n/a | n/a |
| 2022 | Mar 10, 2023 | $587M | $574M | 18 | 12 | 3 | n/a | n/a |
| 2021 | Feb 21, 2022 | $570M | $550M | 15 | 9 | 1 | n/a | n/a |
| 2020 | Jan 29, 2021 | $369M | $352M | 14 | 9 | 2 | n/a | n/a |
| 2019 | Mar 30, 2020 | $294M | $285M | 12 | 7 | 1 | n/a | n/a |
| 2018 | Mar 19, 2019 | $161M | $159M | 4 | 4 | 1 | n/a | n/a |