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CRD 288810
GARDEN CITY, 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 |
|---|---|---|---|---|---|---|
| STEPHEN JOSEPH PERRONE | n/a | GARDEN CITY, NY | 9 | 18 | 2 | no |
| WILLIAM ROBERT KEMP | n/a | GARDEN CITY, NY | Land O Lakes, FL | 8 | 41 | 2 | no |
| JOHN SULLIVAN PERRONE | n/a | GARDEN CITY, NY | 7 | 10 | n/a | no |
| Albert Vincent Pette | n/a | GARDEN CITY, NY | 1 | 37 | 10 | no |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| PERRONE, JOHN, SULLIVAN | VICE PRESIDENT OF OPERATIONS | C | yes | 08/2017 | Sep 5, 2017 | Mar 1, 2024 |
| PERRONE, STEPHEN, JOSEPH | President | C | yes | 08/2017 | Sep 5, 2017 | Mar 1, 2024 |
| PERRONE, STEPHEN, JOSEPH | MANAGING MEMBER/ CEO/ CHIEF COMPLIANCE OFFICER | C | yes | 03/2017 | Jun 13, 2017 | Mar 1, 2024 |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 6, 2026 | $212M | $212M | 7 | 4 | 0 | n/a | n/a |
| 2024 | Mar 5, 2025 | $177M | $177M | 5 | 4 | 0 | n/a | n/a |
| 2023 | Mar 1, 2024 | $146M | $146M | 5 | 4 | 0 | n/a | n/a |
| 2022 | Mar 3, 2023 | $116M | $116M | 6 | 5 | 0 | n/a | n/a |
| 2021 | Mar 2, 2022 | $183M | $183M | 6 | 5 | 0 | n/a | n/a |
| 2020 | Mar 22, 2021 | $162M | $162M | 6 | 5 | 1 | n/a | n/a |
| 2019 | Mar 5, 2020 | $109M | $108M | 6 | 4 | 0 | n/a | n/a |
| 2018 | Feb 27, 2019 | $91.1M | $79.5M | 6 | 4 | 0 | n/a | n/a |
| 2017 | Jun 29, 2018 | $103M | $35.0M | 1 | 1 | 0 | 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 |
|---|---|---|---|---|---|---|---|---|
| 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 | $212M | $177M | 20.2% | $116M | 22.2% | 7 | 5 | 0 | 0 |