DFX Intelligence
Reading the graph
Reading the graph
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
CRD 104932
NORWICH, NY
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| J••• E••••• R••• | n/a | Elberta, AL | 8 | 25 | 1 | no |
| J••• C••••••••• K•••••••• | n/a | GREENFIELD CENTER, NY | Saratoga Springs, NY | NORWICH, NY | SARATOGA SPRINGS, NY | 4 | 26 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| C••••••• D••••••• J•• | CHIEF COMPLIANCE OFFICER | Na | yes | 03/2024 | Jun 4, 2026 | Jun 4, 2026 |
| M••••••• R•••• H••••• | CHIEF EXECUTIVE OFFICER | Na | yes | 03/2024 | Jun 4, 2026 | Jun 4, 2026 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| N•• B•••• N•• | n/a | n/a | n/a | Y | no | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Peoria | IL | United States | 3 | no |
| Milwaukee | Wi | United States | 2 | no |
| Norwich | NY | United States | 1 | yes |
| SARATOGA SPRINGS | NY | United States | 1 | yes |
| n/a | n/a |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 0 | 1 | -1 | 14.3% | 0 | 0 | 0 | 1 | 1 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $1.6B | $1.5B | 7.6% | $1.2B | 10.0% | 15 | 15 | 4 | 5 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| C•••••••• H•••••••• I••••••••• M••••••••• I••• | 2 | Apr 29, 2022 | Apr 11, 2022 | MILWAUKEE, WI | Team lift out | Other | 100.0% |
| A•• R••••••••• P••• I••••••••• S••••••• | 2 | Apr 2, 2020 |
| n/a |
| yes |
| N•••• D••••• C•••••••• | n/a | Milwaukee, WI | 4 | 40 | 2 | no |
| A•• B••••••• M•••• | Certified Financial Planner | Milwaukee, WI | 4 | 18 | 1 | no |
| K•••• J• N••••• | n/a | Peoria Heights, IL | 2 | 19 | 8 | no |
| S•••• M•••••• P••••• | n/a | Peoria Heights, IL | 2 | 32 | n/a | no |
| M•••••• J••••• K•••• | n/a | Fishers, IN | 2 | 25 | 2 | no |
| SOLE STOCKHOLDER |
| E |
| yes |
| 12/2016 |
| Jun 4, 2026 |
| Jun 4, 2026 |
| 1 |
| no |
| Mar 27, 2026 |
| $1.6B |
| $1.2B |
| 15 |
| 7 |
| 5 |
| n/a |
| n/a |
| 2024 | Apr 23, 2025 | $1.5B | $1.1B | 15 | 4 | 5 | n/a | n/a |
| 2023 | Mar 29, 2024 | $1.3B | $937M | 17 | 8 | 5 | n/a | n/a |
| 2022 | Mar 28, 2023 | $1.2B | $961M | 16 | 8 | 5 | n/a | n/a |
| 2021 | Mar 29, 2022 | $1.5B | $752M | 15 | 7 | 3 | n/a | n/a |
| 2020 | Mar 30, 2021 | $1.4B | $648M | 14 | 7 | 2 | n/a | n/a |
| 2019 | Mar 16, 2020 | $163M | $119M | 9 | 5 | 2 | n/a | n/a |
| 2018 | Mar 26, 2019 | $143M | $104M | 9 | 3 | 2 | n/a | n/a |
| 2017 | Mar 26, 2018 | $156M | $115M | 7 | 2 | 2 | n/a | n/a |
| 2016 | Feb 4, 2017 | $152M | $101M | 6 | 2 | n/a | n/a | n/a |
| 2015 | Mar 24, 2016 | $142M | $93.4M | 6 | 2 | n/a | n/a | n/a |
| 2014 | Mar 30, 2015 | $157M | $105M | 6 | 2 | n/a | n/a | n/a |
| 2013 | Mar 28, 2014 | $146M | $96.2M | 6 | 2 | n/a | n/a | n/a |
| 2012 | Mar 28, 2013 | $132M | $84.4M | 7 | 3 | n/a | n/a | n/a |
| 2011 | Mar 30, 2012 | $125M | $77.9M | n/a | n/a | n/a | n/a | n/a |
| PEORIA, IL |
| Team lift out |
| Other |
| 100.0% |