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CRD 321705
LOWER GWYNEDD, PA
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 |
|---|---|---|---|---|---|---|
| J••• D•••• J•• | Chartered Financial Consultant | LOWER GWYNEDD, PA | 4 | 32 | 1 | no |
| S••••• J••• K•••••••• | Certified Financial Planner | LOWER GWYNEDD, PA | 4 | 26 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| K••••••••• S•••••• J••• | CHIEF EXECUTIVE OFFICER & WEALTH ADVISOR | PARTNER | D | yes | 09/2022 | Sep 1, 2022 | Oct 17, 2024 |
| L••••••••• K••••••• M•••••• | CHIEF OPERATING OFFICER | Na | yes | 09/2022 | Sep 1, 2022 | Oct 17, 2024 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Warrington | Pa | United States | 1 | yes |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Apr 30, 2026 |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 1 | 0 | 1 | 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 | $427M | $369M | 15.6% | $271M | 16.4% | 11 | 9 | 1 | 0 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| A••••••••• F•••••••• S•••••••• L•• | 4 | Sep 12, 2022 | Sep 13, 2022 | CONSHOHOCKEN, PA | Team lift out | Ibd to new firm | 0.0% |
| yes |
| J•••• F• S•••••• | n/a | LOWER GWYNEDD, PA | 4 | 14 | 1 | no |
| C••••••••• C••••• | n/a | LOWER GWYNEDD, PA | Candler, NC | 4 | 11 | 1 | no |
| C•••••• V••••••• S••••• E•••••••• | n/a | LOWER GWYNEDD, PA | 0 | 14 | n/a | no |
| P•••• J• K••••• | Certified Financial Planner | LOWER GWYNEDD, PA | 0 | 21 | 2 | no |
| S••••••• J••••• F• |
| WEALTH ADVISOR | PARTNER |
| B |
| yes |
| 09/2022 |
| Sep 1, 2022 |
| Oct 17, 2024 |
| S••••• M••••• A••••• | CHIEF VISION OFFICER | PARTNER | B | yes | 09/2022 | Sep 1, 2022 | Oct 17, 2024 |
| M•••••••• M•••••••• A••• | CHIEF COMPLIANCE OFFICER | Na | no | 12/2022 | Jan 5, 2023 | Oct 17, 2024 |
| $427M |
| $422M |
| 11 |
| 6 |
| 1 |
| n/a |
| n/a |
| 2024 | Feb 14, 2025 | $369M | $365M | 9 | 5 | 0 | n/a | n/a |
| 2023 | Mar 27, 2024 | $308M | $303M | 9 | 5 | 1 | n/a | n/a |
| 2022 | Feb 27, 2023 | $271M | $271M | 9 | 5 | 1 | n/a | n/a |