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CRD 27108
MADISON, WI
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 |
|---|---|---|---|---|---|---|
| S•••• M• L••••• | n/a | MADISON, WI | 7 | 18 | n/a | yes |
| K•••• M•••• V••••• | Certified Financial Planner | MADISON, WI | 1 | 10 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| A•••••••• R••••• W•••••• | DIRECTOR, SECRETARY, SROP | B | yes | 10/2007 | Jan 20, 2012 | Apr 5, 2012 |
| B•••• C••••••••• | PRESIDENT AND DIRECTOR | B | yes | 10/2007 | Jan 20, 2012 | Apr 5, 2012 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| B••••••••• P•••••••• I••• | n/a | Former SEC adviser | $66.9M | Y | yes | n/a |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2011 | Jan 20, 2012 | $66.9M | $66.9M | n/a | n/a | n/a | n/a | n/a |
| 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 |
|---|---|---|---|---|---|---|---|---|---|
| 2011 | $66.9M | n/a | n/a | n/a | n/a | n/a | n/a | n/a | n/a |
| yes |
| B•••• E••••• K•••••• | n/a | MADISON, WI | 1 | 45 | n/a | yes |
| DIRECTOR, TREASURER, VICE PRESIDENT |
| C |
| yes |
| 11/1999 |
| Jan 20, 2012 |
| Apr 5, 2012 |
| R••••••••• G•••••• S•••• | VICE PRESIDENT AND FINOP | B | yes | 11/2006 | Jan 20, 2012 | Apr 5, 2012 |
| A•••••••• L••••• A••• | VICE PRESIDENT | A | no | 12/2010 | Jan 20, 2012 | Apr 5, 2012 |
| S•••••• T••• K•• | CHIEF COMPLIANCE OFFICER AND MUNICIPAL SECURITIES PRINCIPAL | Na | no | 03/2006 | Jan 20, 2012 | Apr 5, 2012 |