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CRD 104343
CENTENNIAL, CO
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 |
|---|---|---|---|---|---|---|
| RON ADELSTEIN | n/a | CENTENNIAL, CO | RED BANK, NJ | 14 | 30 | 2 | yes |
| CHESTER JOSEPH HEBERT | n/a | CENTENNIAL, CO | DENVER, CO | 13 | 39 | n/a | yes |
| MATTHEW DAVID DAUGHERTY | n/a | CENTENNIAL, CO | Denver, CO | 10 | 17 | 1 | yes |
| NICK JASON HUBBARD | n/a | CENTENNIAL, CO | FORSYTH, MT | 9 | 27 | 2 | yes |
| DAVID WINSTON TRAYLOR | n/a | lakewood, CO | CENTENNIAL, CO | 9 | 13 | n/a | yes |
| William Dan Gotses | n/a | LA JOLLA, CA | CENTENNIAL, CO | 9 | 37 | 4 | yes |
| RODNEY WAYNE STONE | Certified Financial Planner | CENTENNIAL, CO | GREENWOOD, SC | 8 | 40 | n/a | yes |
| John William Cooley | n/a | Las Vegas, NV | CENTENNIAL, CO | 8 | 41 | 1 | yes |
| DANIELLE LYNN MOSKOWITZ | n/a | San Rafael, CA | CENTENNIAL, CO | 8 | 12 | n/a | yes |
| Steven Brian Shaiman | n/a | livingston, NJ | CENTENNIAL, CO | 8 | 23 | 1 | yes |
| CHRISTINE CLARISSA NARAYAN | n/a | Denver, CO | DENVER, CO | CENTENNIAL, CO | 6 | 19 | 1 | yes |
| Thomas R Thalman | Certified Financial Planner | CENTENNIAL, CO | WAKE FOREST, NC | 3 | 31 | 3 | yes |
| John Caldwell Guilds | n/a | CENTENNIAL, CO | PARK CITY, UT | 1 | 19 | 2 | yes |
| Adam James Woodworth | n/a | CENTENNIAL, CO | 1 | 12 | 1 | yes |
| ROBERT BAKER | n/a | Misson Viejo, CA | WILDOMAR, CA | CENTENNIAL, CO | 1 | 29 | 1 | yes |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| HEBERT, CHESTER JOSEPH | Owner | E | yes | 03/2006 | May 17, 2012 | Aug 6, 2013 |
| HEBERT, CHESTER JOSEPH | CHAIRMAN & CHIEF EXECUTIVE OFFICER | Na | yes | 03/2013 | May 17, 2012 | Aug 6, 2013 |
| LUND, KENT JEFFREY | PRESIDENT, CHIEF OPERATING OFFICER | Na | yes | 03/2013 | Mar 19, 2013 | Aug 6, 2013 |
| TCD DEVELOPMENT CORP | Owner | E | yes | 11/2007 | May 17, 2012 | Aug 6, 2013 |
| KIM, KYONG | CHIEF COMPLIANCE OFFICER & DIRECTOR RISK MANAGEMENT | Na | no | 07/2012 | Jan 16, 2013 | Aug 6, 2013 |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2012 | Mar 25, 2013 | $6.0M | $0 | 20 | 14 | 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 | 1 | -1 | 6.7% | 0 | 0 | 0 | 4 | 4 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2012 | $6.0M | n/a | n/a | n/a | n/a | 11 | n/a | n/a | n/a |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| ADVICE AND PLANNING SERVICES | 2 | Mar 7, 2025 | Jul 7, 2025 | ENGLEWOOD, CO | Team lift out | Other | 0.1% |