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CRD 142617
SCOTTSDALE, AZ
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 |
|---|---|---|---|---|---|---|
| G••••• J••••• F••••• | n/a | SCOTTSDALE, AZ | 19 | 39 | 1 | no |
| J••• F•••••• | n/a | Meridian, ID | SCOTTSDALE, AZ | 17 | 18 |
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| T••••• F••••• C•••••• P•••••••• L••• | Other Private Fund | $75.4M | Jul 25, 2024 | 89 | Mar 6, 2012 | reported | 021-113894 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| C•••••••• D••••••• E• | CHIEF COMPLIANCE OFFICER | Na | yes | 12/2023 | Mar 21, 2024 | Jul 25, 2024 |
| F••••• F••••• T•••• | Member | E | yes | 06/2009 | Aug 6, 2012 | Jul 25, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| T••••• F••••• F••••• O•••••• L•• | n/a | Independent wealth | $20.0M | N | no | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| n/a | n/a | n/a | 1 | no |
| 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 | 0 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $233M | $299M | -22.2% | $264M | -4.2% | 11 | 11 | 1 | 1 |
| no |
| J••••••• O••• H••• | n/a | Templeton, CA | SCOTTSDALE, AZ | 5 | 13 | n/a | no |
| D•••••• E• C••••••• | n/a | SCOTTSDALE, AZ | 4 | 13 | 4 | no |
| K•••••• A•••••• G•••••• | n/a | SCOTTSDALE, AZ | 3 | 11 | n/a | no |
| M•••••• G••••• F••••• | n/a | SCOTTSDALE, AZ | 1 | 13 | n/a | no |
| CO TRUSTEE |
| D |
| yes |
| 06/2009 |
| Mar 6, 2012 |
| Jul 25, 2024 |
| F•••••• G•••••• J••••• | MANAGING MEMBER / CHIEF INVESTMENT OFFICER | Na | yes | 11/2006 | Mar 6, 2012 | Jul 25, 2024 |
| F•••••• K••••• T••••• | CO TRUSTEE | D | yes | 06/2009 | Aug 6, 2012 | Jul 25, 2024 |
| F•••••• K••••• T••••• | CHIEF OPERATIONS OFFICER / MEMBER | D | yes | 07/2013 | Aug 6, 2012 | Jul 25, 2024 |
| Mar 24, 2026 |
| $233M |
| $228M |
| 11 |
| 6 |
| 1 |
| 2 |
| n/a |
| 2024 | Mar 25, 2025 | $299M | $296M | 11 | 5 | 1 | 1 | n/a |
| 2023 | Mar 21, 2024 | $301M | $298M | 11 | 5 | 1 | 1 | $75.4M |
| 2022 | Mar 9, 2023 | $264M | $264M | 13 | 7 | 3 | 1 | $57.7M |
| 2021 | Mar 29, 2022 | $419M | $419M | 13 | 7 | 3 | 1 | $50.6M |
| 2020 | Mar 16, 2021 | $378M | $378M | 12 | 6 | 4 | 1 | $41.6M |
| 2019 | Mar 23, 2020 | $220M | $220M | 11 | 5 | 1 | 1 | $37.8M |
| 2018 | Mar 21, 2019 | $189M | $189M | 11 | 4 | 2 | 1 | $48.7M |
| 2017 | Mar 28, 2018 | $196M | $196M | 5 | 4 | 2 | 1 | $32.8M |
| 2016 | Mar 9, 2017 | $160M | $160M | 5 | 4 | n/a | 1 | $32.8M |
| 2015 | Mar 26, 2016 | $173M | $173M | 5 | 4 | n/a | 1 | $28.4M |
| 2014 | Mar 25, 2015 | $167M | $167M | 6 | 4 | n/a | 1 | $26.8M |
| 2013 | Mar 14, 2014 | $152M | $152M | 5 | 4 | n/a | 1 | $19.6M |
| 2012 | Mar 13, 2013 | $115M | $115M | 5 | 4 | n/a | 1 | $10.9M |
| 2011 | Mar 6, 2012 | $91.0M | $91.0M | n/a | n/a | n/a | 1 | $7.0M |