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CRD 284218
SARATOGA SPRINGS, NY
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 |
|---|---|---|---|---|---|---|
| J•••• W•••••• F••••••• | n/a | SARATOGA SPRINGS, NY | 10 | 20 | 1 | no |
| A••• F••••••• D••• | n/a | SARATOGA SPRINGS, NY | 5 | 21 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| D•••• A•••• F••••••• | MANAGING MEMBER | D | yes | 04/2006 | Jun 8, 2016 | Feb 23, 2024 |
| K•••• S••••••• M•••••• | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | D | yes | 04/2006 | Jun 8, 2016 | Feb 23, 2024 |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 |
| 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 |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $201M | $171M | 17.4% | $152M | 9.9% | 3 | 3 | 0 | 0 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| C•••••• G•••• • C• I•• | 2 | Dec 31, 2024 | Aug 19, 2021 | SARATOGA SPRINGS, NY | Team lift out | Ibd to RIA | 0.5% |
| no |
| S•••••• M•••••• K••• | Certified Financial Planner | SARATOGA SPRINGS, NY | 5 | 22 | 1 | no |
| $201M |
| $200M |
| 3 |
| 3 |
| 0 |
| n/a |
| n/a |
| 2024 | Mar 14, 2025 | $171M | $170M | 3 | 3 | 0 | n/a | n/a |
| 2023 | Feb 23, 2024 | $160M | $159M | 3 | 3 | 0 | n/a | n/a |
| 2022 | Feb 23, 2023 | $152M | $150M | 4 | 4 | 1 | n/a | n/a |
| 2021 | Mar 11, 2022 | $164M | $160M | 4 | 4 | 1 | n/a | n/a |
| 2020 | Feb 25, 2021 | $142M | $131M | 4 | 4 | 1 | n/a | n/a |
| 2019 | Feb 5, 2020 | $104M | $103M | 4 | 4 | 1 | n/a | n/a |
| 2018 | Jan 18, 2019 | $70.6M | $70.0M | 3 | 3 | 1 | n/a | n/a |
| 2017 | Feb 13, 2018 | $70.7M | $68.3M | 5 | 5 | 1 | n/a | n/a |
| 2016 | Jan 30, 2017 | $56.6M | $55.0M | 5 | 5 | n/a | n/a | n/a |