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CRD 107358
WALTHAM, MA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| BALDWIN, WILLIAM, THOMAS | MANAGING DIRECTOR | C | yes | 02/1986 | Dec 10, 2013 | Jan 9, 2014 |
| DUCHESNEAU, DAVID, MICHAEL | President | E | yes | 12/1992 | Mar 29, 2012 | Jan 9, 2014 |
| FINN, JOSEPH, EDWARD | DIRECTOR, BUSINESS DEVELOPMENT | Na | no | 07/2010 | Mar 29, 2012 | Jan 9, 2014 |
| FONTES, INEZ | BUSINESS MANAGER | Na | no | 09/2005 | Dec 10, 2013 | Jan 9, 2014 |
| GAMEL, BETH, COHN | MANAGING DIRECTOR | Na | no | 02/1986 | Dec 10, 2013 | Jan 9, 2014 |
| JACOBS, JEROME, JAY | CHIEF INVESTMENT OFFICER | Na | no | 04/2006 | Mar 29, 2012 | Jan 9, 2014 |
| KAHN, RICHARD, DANIEL | CHIEF COMPLIANCE OFFICER | Na | no | 10/2004 | Mar 29, 2012 | Jan 9, 2014 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| ARGENT WEALTH MANAGEMENT, LLC | n/a | Former SEC adviser | $1.8B | Y | yes | n/a |
| DUCHESNEAU & KAHN, LLP | n/a | n/a | n/a | N | no | n/a |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2012 | Mar 19, 2013 | $608M | $519M | 10 | 6 | n/a | 1 | $7.5M |
| 2011 | Mar 29, 2012 | $547M | $547M | n/a | n/a | n/a | 1 | $7.3M |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2012 | $1.2B | $547M | 127.5% | n/a | n/a | 21 | n/a | n/a | n/a |