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CRD 111740
STATE COLLEGE, PA
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 |
|---|---|---|---|---|---|---|
| R•••••• F•••• D•••••• | n/a | STATE COLLEGE, PA | 25 | 24 | n/a | no |
| J•••• L•• F••••• | n/a | STATE COLLEGE, PA | 14 | 20 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| R•••••• D•••••• I••••••••• T•••• | Member | E | yes | 12/2021 | Feb 23, 2026 | Feb 23, 2026 |
| G•••••••• L•••••• G••• | CHIEF COMPLIANCE OFFICER | Na | yes | 09/2019 | Oct 1, 2019 | Apr 19, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| A•••••••• E••••• P•••••••• L•• | n/a | n/a | n/a | Y | yes | n/a |
| A•••••••• R••• M••••••••• L•• | n/a | n/a | n/a | N | yes | 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 | 0 | 0 | 0.0% | 0 | 0 | 0 | 0 | 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 | $1.3B | 20.3% | $1.1B | 13.5% | 30 | 26 | 0 | 0 |
| no |
| J••• J•••• S••••••• | n/a | STATE COLLEGE, PA | 11 | 13 | n/a | no |
| M••••• A•••••• W•••• | Chartered Financial Analyst | LEMONT, PA | STATE COLLEGE, PA | 7 | 24 | 2 | no |
| G••••••• P•••••• C•••• | n/a | STATE COLLEGE, PA | LEMONT, PA | 7 | 33 | 2 | no |
| A•• L••••• M••••••• | n/a | STATE COLLEGE, PA | 6 | 10 | n/a | no |
| A•••• R• K•••••• | Certified Financial Planner | STATE COLLEGE, PA | 6 | 10 | 2 | no |
| D•••• W••• V••••• | Chartered Financial Analyst | LEMONT, PA | STATE COLLEGE, PA | 5 | 17 | 1 | no |
| S••• W••••• | n/a | STATE COLLEGE, PA | 5 | 12 | n/a | no |
| T•••• S••• C••• | n/a | STATE COLLEGE, PA | 2 | 14 | n/a | no |
| M•••••• M•••••• | n/a | STATE COLLEGE, PA | 0 | 13 | n/a | no |
| A•••• M•••••• H••• | n/a | STATE COLLEGE, PA | 0 | 11 | n/a | no |
| CHIEF COMPLIANCE OFFICER |
| Na |
| no |
| 03/2025 |
| Feb 23, 2026 |
| Feb 23, 2026 |
| D••••••• B••••• J••••• | Trustee | F | no | 12/2021 | Mar 14, 2022 | Apr 19, 2024 |
| Feb 23, 2026 |
| $1.6B |
| $1.6B |
| 30 |
| 12 |
| 0 |
| 2 |
| n/a |
| 2024 | Mar 12, 2025 | $1.3B | $1.3B | 26 | 11 | 0 | 2 | n/a |
| 2023 | Mar 6, 2024 | $1.2B | $1.2B | 26 | 10 | 0 | 2 | $73.2M |
| 2022 | Mar 16, 2023 | $1.1B | $1.1B | 26 | 9 | 0 | 2 | $86.0M |
| 2021 | Feb 28, 2022 | $1.1B | $1.1B | 18 | 6 | 0 | 1 | $35.3M |
| 2020 | Mar 30, 2021 | $936M | $933M | 20 | 7 | 0 | 1 | $35.3M |
| 2019 | Mar 19, 2020 | $729M | $725M | 15 | 6 | 0 | n/a | n/a |
| 2018 | Mar 19, 2019 | $593M | $588M | 15 | 6 | 0 | n/a | n/a |
| 2017 | Mar 29, 2018 | $577M | $542M | 13 | 6 | 0 | n/a | n/a |
| 2016 | Mar 31, 2017 | $469M | $426M | 12 | 5 | n/a | n/a | n/a |
| 2015 | Mar 22, 2016 | $455M | $408M | 14 | 6 | n/a | n/a | n/a |
| 2014 | Mar 10, 2015 | $451M | $430M | 14 | 6 | n/a | n/a | n/a |
| 2013 | Jan 17, 2014 | $452M | $451M | 14 | 4 | n/a | n/a | n/a |
| 2012 | Mar 28, 2013 | $382M | $381M | 13 | 5 | n/a | n/a | n/a |
| 2011 | Feb 3, 2012 | $338M | $337M | n/a | n/a | n/a | n/a | n/a |