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CRD 319208
NAPLES, 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 |
|---|---|---|---|---|---|---|
| D••••• E••••• D•••• | n/a | NAPLES, FL | 4 | 32 | 2 | no |
| K•••• S••• O••••••• | n/a | NAPLES, FL | 4 | 13 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| O•••••••• K••••• S••• | MEMBER AND TRUSTEE OF S••••• O. | Na | yes | 02/2022 | Jun 4, 2026 | Jun 4, 2026 |
| S••••• O• M•••• 2••• | Trust | C | yes | 11/2021 | Jun 4, 2026 | Jun 4, 2026 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| n/a | n/a | n/a | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Apr 29, 2026 |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 3 | 2 | 1 | 5.9% | 0 | 0 | 0 | 5 | 3 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $5.1B | $4.7B | 7.4% | $4.1B | 7.9% | 56 | 48 | 0 | 0 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| W•••• F•••• A••••••• | 7 | Aug 30, 2022 | Sep 20, 2022 | NAPLES, FL | Team lift out | Wirehouse to RIA | 0.4% |
| W•••• F•••• A••••••• | 4 | Jun 24, 2022 | May 31, 2022 |
| no |
| C•••••••• S••• | n/a | NAPLES, FL | 4 | 20 | 2 | no |
| R•••••• A• S•••••• | Certified Financial Planner|Chartered Financial Consultant | NAPLES, FL | 4 | 13 | 4 | no |
| C•••• G•••• | Certified Financial Planner | NAPLES, FL | 4 | 14 | 2 | no |
| C•••••• E••••• C••••••••• | n/a | NAPLES, FL | 4 | 20 | 1 | no |
| T••••• M•••••• M•••• | n/a | NAPLES, FL | 4 | 43 | 3 | no |
| J•••• R••• | Certified Financial Planner | NAPLES, FL | 4 | 27 | 2 | no |
| J•••••• L••••••• | n/a | NAPLES, FL | 4 | 20 | 1 | no |
| M•••••• J••• M••••• | n/a | NAPLES, FL | 4 | 17 | 5 | no |
| K••••••• M•••• H••••• | n/a | NAPLES, FL | 4 | 16 | 2 | no |
| R••• E•••••••• F•••• | Certified Financial Planner | NAPLES, FL | 4 | 12 | 2 | no |
| T•••• W•••••• H•••• | Chartered Financial Analyst | NAPLES, FL | 3 | 17 | 1 | no |
| J••••• L••••• R••• | n/a | NAPLES, FL | 3 | 13 | n/a | no |
| S••••••• N•• M••••• | Certified Financial Planner | NAPLES, FL | 3 | 13 | n/a | no |
| S•••• A•••• M••••••••• | n/a | NAPLES, FL | 3 | 10 | n/a | no |
| M•• A•• S••••• | n/a | NAPLES, FL | 3 | 10 | n/a | no |
| D•••• J••• B•••••• | Certified Financial Planner | NAPLES, FL | 3 | 19 | n/a | no |
| S•••••• X• | n/a | NAPLES, FL | 2 | 10 | 1 | no |
| I••••••• A•••• | n/a | NAPLES, FL | 2 | 12 | n/a | no |
| E••••• C••• | n/a | NAPLES, FL | 2 | 11 | n/a | no |
| B••••••• G•••••• H•••••••• | n/a | NAPLES, FL | 2 | 12 | n/a | no |
| C•••••••• A••••• P••••• | n/a | NAPLES, FL | 1 | 16 | n/a | no |
| N••••••• M•••• | n/a | NAPLES, FL | 1 | 11 | n/a | no |
| K•••••• P••••••• | n/a | NAPLES, FL | 1 | 11 | n/a | no |
| Trust |
| B |
| yes |
| 11/2021 |
| Jun 4, 2026 |
| Jun 4, 2026 |
| M••••• K•••• | Trustee | F | yes | 11/2021 | Mar 11, 2022 | Sep 25, 2024 |
| M••••• P••••••• K••••• | Trustee | F | yes | 11/2021 | Mar 11, 2022 | Sep 25, 2024 |
| M••••• T•••••• M•••••• | MANAGING MEMBER AND G••••OR OF T••••• M• M•••• R•••••••• T•••• | C | yes | 11/2021 | Mar 11, 2022 | Sep 25, 2024 |
| S••••• O• M•••• 2••• D••••••••• T•••• | Trust | C | yes | 11/2021 | Mar 11, 2022 | Sep 25, 2024 |
| T••••• M• M•••• 2••• I••••••••• I•••••••• T•••• | Trust | B | yes | 11/2021 | Mar 11, 2022 | Sep 25, 2024 |
| T••••• M• M•••• R•••••••• T•••• | Trust | C | yes | 08/2004 | Mar 15, 2023 | Sep 25, 2024 |
| D••••• D•••••• E••••• | Member | Na | no | 11/2021 | Jun 4, 2026 | Jun 4, 2026 |
| M••••• P••••••• K••••• | MEMBER AND TRUSTEE OF T••••• M. I•••••••• TRUST T••••• M• M•••• R•••••••• T•••• | Na | no | 11/2021 | Jun 4, 2026 | Jun 4, 2026 |
| O••••••• T••••••• A••••• | CHIEF COMPLIANCE OFFICER | Na | no | 02/2025 | Jun 4, 2026 | Jun 4, 2026 |
| B••••••• A•••••• N••••• | CHIEF COMPLIANCE OFFICER AND MEMBER | Na | no | 11/2021 | Mar 11, 2022 | Sep 25, 2024 |
| $5.1B |
| $3.9B |
| 53 |
| 37 |
| 0 |
| n/a |
| n/a |
| 2024 | Mar 21, 2025 | $4.7B | $3.7B | 48 | 32 | 0 | n/a | n/a |
| 2023 | Mar 26, 2024 | $4.3B | $3.3B | 44 | 26 | 1 | n/a | n/a |
| 2022 | Mar 15, 2023 | $4.1B | $3.2B | 37 | 20 | 1 | n/a | n/a |
| NAPLES, FL |
| Team lift out |
| Wirehouse to new firm |
| 0.2% |
| W•••• F•••• A••••••• | 2 | Jun 6, 2022 | May 16, 2022 | NAPLES, FL | Team lift out | Wirehouse to new firm | 0.1% |