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CRD 106249
CANFIELD, OH
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| JAMES RAFOTH | n/a | Canfield, OH | CANFIELD, OH | 23 | 34 | n/a | yes |
| WILLIAM BRIAN BERLIN | n/a | Canfield, OH | 23 | 28 | n/a | yes |
| Bradley Alan Walker | n/a | Canfield, OH | 23 | 27 | n/a | yes |
| Robert Lee Smallwood | n/a | Canfield, OH | 21 | 22 | n/a | yes |
| Mark Jason Smallwood | n/a | CANFIELD, OH | Canfield, OH | 16 | 18 | 1 | yes |
| Mark Daniel Hadley | Chartered Financial Analyst | CANFIELD, OH | Canfield, OH | 8 | 11 | n/a | yes |
| ERIC MICHAEL CLAYTON | n/a | Canfield, OH | CANFIELD, OH | 7 | 12 | n/a | yes |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| RAFOTH, JAMES | President | C | yes | 01/2013 | Apr 13, 2026 | Apr 13, 2026 |
| SMALLWOOD, ROBERT, L | Treasurer | C | yes | 01/2013 | Apr 13, 2026 | Apr 13, 2026 |
| WALKER, BRADLEY, ALAN | CHIEF COMPLIANCE OFFICER | C | yes | 01/2013 | Apr 13, 2026 | Apr 13, 2026 |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Apr 13, 2026 | $1.1B | $0 | 5 | 5 | 0 | n/a | n/a |
| 2024 | Mar 14, 2025 | $860M | $0 | 5 | 5 | 0 | n/a | n/a |
| 2023 | Mar 25, 2024 | $455M | $0 | 5 | 5 | 0 | n/a | n/a |
| 2022 | Mar 27, 2023 | $325M | $0 | 5 | 5 | 0 | n/a | n/a |
| 2021 | Mar 30, 2022 | $370M | $0 | 5 | 5 | 0 | n/a | n/a |
| 2020 | Mar 18, 2021 | $315M | $0 | 5 | 5 | 0 | n/a | n/a |
| 2019 | Mar 24, 2020 | $267M | $0 | 5 | 5 | 0 | n/a | n/a |
| 2018 | Mar 27, 2019 | $210M | $0 | 5 | 5 | 0 | n/a | n/a |
| 2017 | Mar 21, 2018 | $218M | $0 | 5 | 5 | 0 | n/a | n/a |
| 2016 | Mar 27, 2017 | $197M | $0 | 5 | 5 | n/a | n/a | n/a |
| 2015 | Mar 30, 2016 | $190M | $0 | 5 | 5 | n/a | n/a | n/a |
| 2014 | Mar 25, 2015 | $199M | $0 | 5 | 5 | n/a | n/a | n/a |
| 2013 | Mar 28, 2014 | $194M | $0 | 5 | 5 | n/a | n/a | n/a |
| 2012 | Mar 27, 2013 | $167M | $0 | 7 | 7 | n/a | n/a | n/a |
| 2011 | Mar 29, 2012 | $140M | $0 | n/a | n/a | n/a | 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 | 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 | $1.1B | $860M | 25.9% | $325M | 49.4% | 5 | 5 | 0 | 0 |