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CRD 291297
SARASOTA, FL
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 |
|---|---|---|---|---|---|---|
| K•••• D••••• M•••••• | n/a | SARASOTA, FL | 8 | 26 | 1 | no |
| M•••••• W•••• W••••••• | n/a | Chicago, IL | SARASOTA, FL | 8 | 42 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| E•••• W••••• A••••••• L•• | Member | C | yes | 10/2017 | Mar 11, 2020 | Dec 11, 2024 |
| M••••••• K••••• D••••• | MANAGING MEMBER | Na | yes | 08/2017 | Dec 1, 2017 | Dec 11, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| E•••• W••••• A•••••••• L•• | n/a | n/a | n/a | N | no | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Chicago | IL | United States | 2 | no |
| FORT MYERS | FL | United States | 1 | yes |
| Melbourne | FL | United States | 1 | no |
| Trinity | FL | United States | 1 | no |
| VERO BEACH | FL | United States |
| 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 | 6.7% | 1 | 0 | 0 | 5 | 1 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $661M | $601M | 9.9% | $266M | 35.4% | 17 | 16 | 14 | 12 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| W••••• P•• A•••••••• I••• | 2 | Feb 27, 2020 | Jan 1, 2026 | SARASOTA, FL | Team lift out | RIA to new firm | 25.0% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| T••••••••• C•••••• L•• | 4 | Mar 13, 2018 | Jan 1, 2025 | BRADENTON, FL | Firm absorbed | Other | 100.0% |
| no |
| S•••• B• S••••••••• | n/a | SARASOTA, FL | LEWIS CENTER, OH | 7 | 12 | n/a | no |
| J••• J••••• K••••••• | n/a | CHICAGO, IL | SARASOTA, FL | 7 | 11 | n/a | no |
| S•••• R•••••• E••••• | n/a | Napels, FL | SARASOTA, FL | 6 | 23 | n/a | no |
| K•••• J•• M•••••••• | n/a | Vero Beach, FL | Melbourne, FL | SARASOTA, FL | 6 | 41 | 1 | no |
| P••••• T••••• Q•••••• | Certified Financial Planner | SARASOTA, FL | Fort Myers, FL | 3 | 36 | 2 | no |
| M••••• B•••• M•••••• | n/a | LINCOLNSHIRE, IL | SARASOTA, FL | 3 | 16 | 1 | yes |
| D••••• L•• K•••• | n/a | Arroyo Grande, CA | SARASOTA, FL | Coppell, TX | 2 | 33 | 4 | no |
| D••••• M••• S••••••• | Certified Financial Planner|Personal Financial Specialist | SARASOTA, FL | Seattle, WA | 1 | 46 | 4 | no |
| W•••• K•••••••• C••••••• | n/a | Bellingham, WA | SARASOTA, FL | 1 | 23 | n/a | no |
| R••••• J••• L••••• | Certified Financial Planner|Chartered Financial Consultant | SARASOTA, FL | 1 | 34 | 5 | no |
| N•••••• A•••••• R•••••••• | n/a | Trinity, FL | SARASOTA, FL | 1 | 11 | n/a | no |
| M•••••• A•••••••• W•••••• | n/a | SARASOTA, FL | OLDSMAR, FL | 0 | 15 | 4 | no |
| S••• A•••• M•••• | n/a | FRESNO, CA | SARASOTA, FL | 0 | 24 | 4 | no |
| Member |
| C |
| yes |
| 10/2017 |
| Dec 1, 2017 |
| Dec 11, 2024 |
| T••••••••• A•••• M••••••••• L•• | Member | E | yes | 08/2017 | Dec 1, 2017 | Dec 11, 2024 |
| W•••••••• M••••••• W•••• | MEMBER/CCO | Na | yes | 08/2017 | Dec 1, 2017 | Dec 11, 2024 |
| no |
| Beavercreek | Oh | United States | 1 | no |
| Bellingham | Wa | United States | 1 | no |
| Seattle | Wa | United States | 1 | no |
| n/a | n/a | n/a | 1 | no |
| $661M |
| $638M |
| 17 |
| 15 |
| 14 |
| 1 |
| n/a |
| 2024 | Mar 11, 2025 | $601M | $587M | 16 | 16 | 12 | n/a | n/a |
| 2023 | Feb 22, 2024 | $363M | $288M | 12 | 12 | 9 | n/a | n/a |
| 2022 | Feb 23, 2023 | $266M | $212M | 10 | 10 | 7 | n/a | n/a |
| 2021 | Mar 29, 2022 | $283M | $255M | 9 | 9 | 6 | n/a | n/a |
| 2020 | Mar 9, 2021 | $193M | $168M | 8 | 8 | 3 | n/a | n/a |
| 2019 | Mar 11, 2020 | $252M | $233M | 8 | 8 | 5 | n/a | n/a |
| 2018 | Mar 26, 2019 | $266M | $247M | 8 | 7 | 3 | n/a | n/a |