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CRD 291194
FOSTER CITY, CA
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 |
|---|---|---|---|---|---|---|
| R•••• C•••••• H••••• | n/a | FOSTER CITY, CA | Boca Raton, FL | 8 | 26 | 2 | no |
| J••• M•••••• B••••• | n/a | FOSTER CITY, CA | MIAMI, FL | 8 | 29 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| B•••••••• M•••••• | PRINCIPAL, CHIEF EXECUTIVE OFFICER FINANCIAL ADVISOR | B | yes | 06/2023 | Jul 22, 2026 | Jul 22, 2026 |
| B•••••• J•••• M•••••• | PRINCIPAL AND CHIEF INVESTMENT OFFICER | B | yes | 03/2018 | Mar 23, 2018 | Feb 28, 2024 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| BOCA RATON | FL | United States | 4 | no |
| Miami | FL | United States | 2 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 2 | 1 | 1 | 4.3% | 0 | 0 | 0 | 3 | 2 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $4.0B | $3.4B | 15.5% | $2.2B | 22.2% | 29 | 26 | 2 | 2 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| W••••• F•••••••• A•••••••• L•• | 2 | Jun 1, 2018 | May 29, 2018 | REDWOOD CITY, CA | T•••_LIFT_OUT | RIA to new firm | 4.4% |
| W••••• F•••••••• A•••••••• L•• | 8 | Jun 1, 2018 | Jun 4, 2018 |
| no |
| C•••••• E•••••••• K•••• | Certified Financial Planner | FOSTER CITY, CA | 8 | 19 | 1 | no |
| T••••• T•••• T•••• | Certified Financial Planner | FOSTER CITY, CA | 8 | 17 | 2 | no |
| P•••••• M••••••• C••••• H•••••• | Certified Financial Planner | FOSTER CITY, CA | 8 | 17 | 2 | no |
| K••• A••••• S••••••• | Certified Financial Planner | FOSTER CITY, CA | BOCA RATON, FL | 8 | 17 | 3 | no |
| K••••• K•• | n/a | FOSTER CITY, CA | 8 | 13 | 1 | no |
| C••••••••• R••• A••••••• | n/a | FOSTER CITY, CA | 8 | 11 | 1 | no |
| D•••• J••••• F••••• | n/a | FOSTER CITY, CA | 8 | 11 | 1 | no |
| R•••••• C•••••••• G•••••• | Certified Financial Planner | BOCA RATON, FL | FOSTER CITY, CA | 8 | 13 | 2 | no |
| C•••••• M• N•••• | Certified Financial Planner | FOSTER CITY, CA | 7 | 18 | 2 | no |
| S••••• G•••• M••••• | Certified Financial Planner | FOSTER CITY, CA | Boca Raton, FL | 6 | 10 | n/a | no |
| M•••••• B••••••• | n/a | FOSTER CITY, CA | 5 | 20 | n/a | no |
| P••••• H••••••• | Certified Financial Planner | MIAMI, FL | FOSTER CITY, CA | 5 | 21 | 3 | no |
| A•••••• H••••••••• | Certified Financial Planner | FOSTER CITY, CA | 4 | 14 | n/a | no |
| D•••••• A•• P••• | Certified Financial Planner | FOSTER CITY, CA | 2 | 24 | 3 | no |
| R•••••• A•••••••• L••••• | n/a | FOSTER CITY, CA | 1 | 12 | n/a | no |
| H••• D••••• | n/a | FOSTER CITY, CA | Boca Raton, FL | 1 | 11 | n/a | no |
| K••••• M•••• R•••• | n/a | Boca Raton, FL | FOSTER CITY, CA | 1 | 13 | n/a | no |
| L••• J••• C•••••• H•••• | n/a | FOSTER CITY, CA | 1 | 31 | n/a | no |
| M••••••• E•••••••• A•••• | n/a | FOSTER CITY, CA | 0 | 12 | n/a | no |
| C•••••••• D••••••• G••• M•••••• | Certified Financial Planner | FOSTER CITY, CA | 0 | 11 | 3 | no |
| C•••••• W••••• W••• | Certified Financial Planner | FOSTER CITY, CA | 0 | 10 | 2 | no |
| H•••••• R••••• C•••••• |
| PRINCIPAL, FOUNDING MEMBER |
| C |
| yes |
| 06/2023 |
| Mar 23, 2018 |
| Feb 28, 2024 |
| P•••• M•••••• R•••••• | PRINCIPAL, FOUNDING MEMBER | Na | yes | 06/2023 | Mar 23, 2018 | Feb 28, 2024 |
| K••• K••••• | PRINCIPAL, CHIEF OPERATING OFFICER | B | no | 06/2023 | Jul 22, 2026 | Jul 22, 2026 |
| M•••••••• M•••••••• A••• | CHIEF COMPLIANCE OFFICER | Na | no | 02/2023 | Jul 22, 2026 | Jul 22, 2026 |
| S•••••••• K•••• A••••• | PRINCIPAL, SENIOR FINANCIAL ADVISOR | B | no | 04/2021 | Jul 22, 2026 | Jul 22, 2026 |
| T••••• T•••••• T•••• | PRINCIPAL, SENIOR FINANCIAL ADVISOR | A | no | 05/2018 | Jul 22, 2026 | Jul 22, 2026 |
| H••••••• P••••••• M••••••• C••••• | PRINCIPAL, SENIOR FINANCIAL ADVISOR, REGIONAL DIRECTOR | B | no | 06/2018 | Mar 24, 2020 | Feb 28, 2024 |
| $4.0B |
| $2.0B |
| 29 |
| 21 |
| 2 |
| n/a |
| n/a |
| 2024 | Feb 27, 2025 | $3.4B | $1.7B | 26 | 18 | 2 | n/a | n/a |
| 2023 | Feb 28, 2024 | $2.5B | $1.5B | 23 | 13 | 2 | n/a | n/a |
| 2022 | Mar 8, 2023 | $2.2B | $1.2B | 23 | 14 | 3 | n/a | n/a |
| 2021 | Mar 15, 2022 | $2.4B | $1.3B | 26 | 18 | 3 | n/a | n/a |
| 2020 | Mar 19, 2021 | $2.3B | $1.3B | 23 | 15 | 3 | n/a | n/a |
| 2019 | Mar 24, 2020 | $2.0B | $1.1B | 24 | 15 | 3 | n/a | n/a |
| 2018 | Mar 21, 2019 | $1.8B | $800M | 20 | 13 | 3 | n/a | n/a |
| MILWAUKEE, WI |
| T•••_LIFT_OUT |
| RIA to new firm |
| 17.8% |