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CRD 338015
TAVARES, FL
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| RUGGIE, THOMAS, HUEY | MANAGING MEMBER/CHIEF COMPLIANCE OFFICER | Na | yes | 07/2025 | Aug 14, 2026 | Aug 14, 2026 |
| MANCUSO, AUDREY, MARIE | Member | Na | no | 07/2025 | Aug 14, 2026 | Aug 14, 2026 |
| ROBERT L. CLARK REVOCABLE TRUST | Member | B | no | 10/2025 | Aug 14, 2026 | Aug 14, 2026 |
| ROMERO, JORGE, A | Member | Na | no | 07/2025 | Aug 14, 2026 | Aug 14, 2026 |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 25, 2026 | $0 | $0 | 7 | 7 | 1 | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 5 | 1 | 4 | 12.5% | 0 | 0 | 0 | 5 | 1 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $605M | n/a | n/a | n/a | n/a | 7 | n/a | 1 | n/a |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| CWM, LLC | 3 | Jul 1, 2020 | Oct 28, 2025 | WINTER PARK, FL | Team lift out | Ibd to new firm | 1.1% |