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CRD 106962
GLENDALE, CA
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 |
|---|---|---|---|---|---|---|
| G••••• A•••• H•••••• | n/a | GLENDALE, CA | 23 | 41 | n/a | no |
| B•••• E•••• F•••••• | Certified Financial Planner | GLENDALE, CA | OCOEE, FL | 17 | 25 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| H••••••• C••••••••• L•••• | Director | Na | yes | 04/2011 | Mar 30, 2012 | Dec 9, 2024 |
| H••••••• G•••••• A•••• | CEO,D | C | yes | 01/1992 | Mar 30, 2012 | Dec 9, 2024 |
| 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 | 1 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $87.5M | $98.9M | -11.6% | $638M | -48.4% | 6 | 12 | 0 | 0 |
| no |
| J•••• M•• F••• | n/a | HONOLULU, HI | GLENDALE, CA | 8 | 22 | 1 | no |
| L••••• L••• K•••••• | n/a | GLENDALE, CA | 0 | 11 | n/a | no |
| Treasurer |
| Na |
| yes |
| 09/2019 |
| Mar 30, 2012 |
| Dec 9, 2024 |
| A••••• E•••••• L•• | Director | A | no | 07/2012 | Nov 14, 2012 | Dec 9, 2024 |
| H•••••• T•••••• H•••••• | TRUSTEE T••••• H• H••••• R•••••••• T•••• | B | no | 02/2010 | Jun 21, 2023 | Dec 9, 2024 |
| H•••••••• M•••••• H••• | TRUSTEE T•• H••••••• F••••• T•••• • B••••• S•••• | B | no | 08/2022 | Jun 21, 2023 | Dec 9, 2024 |
| H•••••••• M•••• K•••••• | TRUSTEE T•• H••••••• F••••• T•••• • B••••• S•••• | B | no | 08/2022 | Jun 21, 2023 | Dec 9, 2024 |
| T•• H••••••• F••••• T•••• • B••••• S•••• | COMMON STOCK S••••HOLDER | B | no | 10/1996 | Jun 21, 2023 | Dec 9, 2024 |
| T••••• H• H••••• R•••••••• T•••• | COMMON STOCK S••••HOLDER | A | no | 02/2010 | Nov 14, 2012 | Dec 9, 2024 |
| Apr 15, 2026 |
| $87.5M |
| $86.9M |
| 5 |
| 1 |
| 0 |
| n/a |
| n/a |
| 2024 | Mar 31, 2025 | $98.9M | $98.9M | 12 | 3 | 0 | n/a | n/a |
| 2023 | Mar 28, 2024 | $740M | $740M | 14 | 4 | 0 | n/a | n/a |
| 2022 | Mar 30, 2023 | $638M | $638M | 14 | 4 | 0 | n/a | n/a |
| 2021 | Mar 31, 2022 | $718M | $718M | 14 | 4 | 0 | n/a | n/a |
| 2020 | Mar 31, 2021 | $609M | $609M | 14 | 3 | 1 | n/a | n/a |
| 2019 | Apr 30, 2020 | $597M | $597M | 19 | 3 | 1 | n/a | n/a |
| 2018 | Mar 29, 2019 | $526M | $526M | 20 | 3 | 1 | n/a | n/a |
| 2017 | Mar 29, 2018 | $552M | $552M | 22 | 4 | 1 | n/a | n/a |
| 2016 | Mar 31, 2017 | $527M | $527M | 23 | 4 | n/a | n/a | n/a |
| 2015 | Mar 30, 2016 | $527M | $527M | 26 | 5 | n/a | n/a | n/a |
| 2014 | Mar 31, 2015 | $659M | $659M | 30 | 5 | n/a | n/a | n/a |
| 2013 | Mar 31, 2014 | $701M | $701M | 28 | 5 | n/a | n/a | n/a |
| 2012 | Apr 1, 2013 | $506M | $506M | 28 | 5 | n/a | n/a | n/a |
| 2011 | Mar 30, 2012 | $462M | $462M | n/a | n/a | n/a | n/a | n/a |