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CRD 312164
SAINT AUGUSTINE, FL
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 |
|---|---|---|---|---|---|---|
| M••• J• A••••••• | n/a | St. Augustine, FL | 4 | 24 | 3 | no |
| E••• L•••• S••••• | Certified Financial Planner | RALEIGH, NC | 4 | 10 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| S•••••• E•••• L•••• | Director | Na | yes | 12/2022 | Dec 20, 2022 | Mar 28, 2024 |
| S•••••• O•••• L• | CHIEF COMPLIANCE OFFICER | E | yes | 02/2021 | Feb 3, 2021 | Mar 28, 2024 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Raleigh | Nc | United States | 2 | 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 |
|---|---|---|---|---|---|---|---|---|
| 0 | 0 | 0 | 0.0% | 0 | 0 | 0 | 0 | 0 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $186M | $166M | 11.7% | $132M | 12.1% | 3 | 3 | 1 | 1 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| S•••• W••••• M••••••••• L•• | 2 | Oct 29, 2021 | Nov 1, 2021 | MCLEAN, VA | Team lift out | Ibd to new firm | 2.6% |
| no |
| O••• L• S••••• | n/a | St. Augustine, FL | 4 | 42 | 3 | no |
| $186M |
| $186M |
| 3 |
| 3 |
| 1 |
| n/a |
| n/a |
| 2024 | Mar 13, 2025 | $166M | $166M | 3 | 3 | 1 | n/a | n/a |
| 2023 | Mar 28, 2024 | $147M | $147M | 3 | 3 | 1 | n/a | n/a |
| 2022 | Mar 31, 2023 | $132M | $132M | 3 | 3 | 1 | n/a | n/a |
| 2021 | Mar 11, 2022 | $161M | $161M | 3 | 3 | 1 | n/a | n/a |