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CRD 107565
PROVIDENCE, RI
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 |
|---|---|---|---|---|---|---|
| W•••••• N••••• | Certified Financial Planner | PROVIDENCE, RI | 28 | 34 | n/a | no |
| J••• P••• S•••••• | n/a | CHARLESTOWN, RI | PROVIDENCE, RI | 28 | 29 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| C•••••••• R••••••• E••••• | CHIEF COMPLIANCE OFFICER | Na | yes | 02/2023 | Mar 27, 2023 | Dec 13, 2024 |
| N•••••• W•••••• | PRESIDENT AND PRINCIPAL | D | yes | 03/1992 | Dec 2, 2011 | Dec 13, 2024 |
| 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 |
|---|---|---|---|---|---|---|---|---|
| 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 | 1 | 0 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $731M | $669M | 9.3% | $538M | 10.8% | 9 | 8 | 2 | 2 |
| no |
| E••••• D•••• B••••• | n/a | SWANESA, MA | PROVIDENCE, RI | 23 | 26 | 1 | no |
| R•••••• E••••• C••••••• | Certified Financial Planner|Chartered Financial Consultant|Chartered Financial Analyst | PROVIDENCE, RI | 4 | 40 | 2 | no |
| E••• S• M••••••••• | Certified Financial Planner | PROVIDENCE, RI | 3 | 15 | 1 | no |
| R••••• P••••• M•••••• | n/a | PROVIDENCE, RI | 1 | 20 | 2 | no |
| VICE PRESIDENT AND PRINCIPAL |
| C |
| yes |
| 03/1997 |
| Dec 2, 2011 |
| Dec 13, 2024 |
| Apr 1, 2026 |
| $731M |
| $720M |
| 9 |
| 6 |
| 2 |
| n/a |
| n/a |
| 2024 | Mar 21, 2025 | $669M | $646M | 8 | 5 | 2 | n/a | n/a |
| 2023 | Mar 25, 2024 | $613M | $589M | 8 | 5 | 2 | n/a | n/a |
| 2022 | Mar 27, 2023 | $538M | $526M | 8 | 5 | 1 | n/a | n/a |
| 2021 | Mar 29, 2022 | $606M | $587M | 8 | 5 | 1 | n/a | n/a |
| 2020 | Mar 16, 2021 | $542M | $525M | 8 | 6 | 0 | n/a | n/a |
| 2019 | Mar 27, 2020 | $463M | $446M | 8 | 6 | 0 | n/a | n/a |
| 2018 | Mar 11, 2019 | $383M | $368M | 8 | 6 | 0 | n/a | n/a |
| 2017 | Mar 29, 2018 | $404M | $388M | 8 | 6 | 0 | n/a | n/a |
| 2016 | Mar 31, 2017 | $393M | $379M | 9 | 6 | n/a | n/a | n/a |
| 2015 | Mar 26, 2016 | $339M | $325M | 9 | 6 | n/a | n/a | n/a |
| 2014 | Mar 23, 2015 | $368M | $354M | 6 | 6 | n/a | n/a | n/a |
| 2013 | Mar 8, 2014 | $376M | $362M | 6 | 6 | n/a | n/a | n/a |
| 2012 | Mar 22, 2013 | $314M | $302M | 7 | 7 | n/a | n/a | n/a |
| 2011 | Mar 30, 2012 | $318M | $292M | n/a | n/a | n/a | n/a | n/a |