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CRD 35371
MERIDEN, CT
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
Dated 2026-09-11 (filing); first seen by DFX 2026-09-15.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| W•••••• S••••• C•• | n/a | WATERTOWN, CT | MIDDLEBURY, CT | BETHLEHEM, CT | BRISTOL, CT | T•••••TON, CT | Oakville, CT | HARWINTON, CT | New Britain, CT | WATERBURY, CT | TERRYVILLE, CT | 26 | 38 | n/a | yes |
| D•••• J•••• M•••••••• | n/a | FARMINGTON, CT | 26 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| A•••••••• S•••••• P••• | PRESIDENT, CEO AND DIRECTOR | Na | yes | 10/2022 | Aug 18, 2026 | Aug 18, 2026 |
| C••••••• G•••••• A•••• | Director | Na | yes | 10/2022 | Aug 18, 2026 | Aug 18, 2026 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Meridan | Ct | United States | 21 | yes |
| NEW YORK | NY | United States | 10 | yes |
| SOUTH WINDSOR | Ct | United States | 7 | yes |
| VIRGINIA BEACH | Va | United States | 6 | yes |
| MT OLIVE | Nc | United States |
| 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 |
|---|---|---|---|---|---|---|---|---|
| 46 | 43 | 3 | 7.9% | 10 | 9 | 0 | 183 | 183 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $6.5B | $4.0B | 61.4% | $2.8B | 32.1% | 1,839 | 630 | 621 | 574 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| L•• F•••••••• L•• | 2 | Sep 11, 2026 | Sep 11, 2026 | MERIDEN, CT | Team lift out | Ibd to ibd | 0.4% |
| L•• F•••••••• L•• | 2 | Jul 20, 2026 | Jul 20, 2026 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| O•••• A••••••• S•••••••• L•• | 2 | Sep 21, 2026 | Nov 14, 2025 | MERIDIAN, ID | Team lift out | Ibd to ibd | 0.6% |
| A••••••••• F•••••••• S•••••••• L•• | 4 | Aug 11, 2025 | Jul 28, 2025 |
Dated 2026-09-21 (filing); first seen by DFX 2026-09-22.
Dated 2026-06-15 (filing); first seen by DFX 2026-09-15.
| n/a |
| yes |
| E•••••• C••••••• P••••• | n/a | FAIRFIELD, CT | RIDGEFIELD, CT | WILTON, CT | WESTPORT, CT | 26 | 27 | n/a | yes |
| R••••• R•••••• F••••••• | Certified Financial Planner|Chartered Financial Consultant | Parrish, FL | MYSTIC, CT | 26 | 34 | n/a | yes |
| G••• L•• J•••••• | n/a | MERIDEN, CT | 25 | 27 | n/a | yes |
| M•••••• R•••••• L••••• | n/a | MERIDEN, CT | Gloucester, MA | 24 | 33 | n/a | yes |
| J••••• T••••• M•••••• | n/a | Norton, MA | TAUNTON, MA | Bridgewater, MA | BRIDGEWATER, MA | LAKEVILLE, MA | EAST BRIDGEWATER, MA | Mansfield, MA | Plainville, MA | PEMBROKE, MA | RAYNHAM, MA | 22 | 29 | n/a | yes |
| R••••• D•••• K••••• | n/a | MERIDEN, CT | 21 | 22 | n/a | yes |
| S•••• L•• M••••••• | n/a | NORTHEAST HARBOR, ME | ELLSWORTH, ME | BAR HARBOR, ME | SOMESVILLE, ME | SOUTHWEST HARBOR, ME | 21 | 25 | n/a | yes |
| B•••• J••• A••••• | n/a | QUINCY, MA | RANDOLPH, MA | CANTON, MA | 20 | 36 | n/a | yes |
| P••••••• A•• R••••••• | Certified Financial Planner | MYSTIC, CT | NORTH STONINGTON, CT | GROTON, CT | 20 | 38 | 1 | yes |
| D••••• P••• J•••• | n/a | RAVENNA, OH | 20 | 36 | n/a | yes |
| C••••• C••••••••• J•••• | n/a | Woburn, MA | WALTHAM, MA | SOMERVILLE, MA | MEDFORD, MA | BELMONT, MA | CAMBRIDGE, MA | Malden, MA | Chelsea, MA | ARLINGTON, MA | Medford, MA | 20 | 25 | 2 | yes |
| K•••• E•••••••• M••••••• | Certified Financial Planner | SALEM, NH | 19 | 28 | 1 | yes |
| J••• A•••• K•••••• | n/a | MILFORD, CT | 19 | 25 | 1 | yes |
| P•••• J•• F••••••••• | n/a | CANTON, MA | Canton, MA | QUINCY, MA | RANDOLPH, MA | 19 | 20 | 2 | yes |
| A••••• C••••••••• P•••••• | n/a | Wildwood, FL | 19 | 28 | 2 | yes |
| J••• L••••• P••••• | n/a | FALL RIVER, MA | Somerset, MA | 18 | 31 | 3 | yes |
| R••••• L•• H••••••• | n/a | BLUE HILL, ME | Venice, FL | DEER ISLE, ME | ELLSWORTH, ME | 18 | 24 | 1 | yes |
| M•••••• R••••• O•••••••• | Certified Financial Planner | South Berwick, ME | 18 | 26 | n/a | yes |
| L•••• G••• S•••••• | n/a | Greenville, VA | 18 | 39 | 1 | yes |
| N••• A•••• T••••• | n/a | Rockingham, VA | HARRISONBURG, VA | 18 | 33 | 2 | yes |
| M•••••• B•••••• C••• | n/a | MERIDEN, CT | Powhatan, VA | 18 | 26 | 1 | yes |
| J••••••• M•••• C••••••• | n/a | MERIDEN, CT | 18 | 21 | n/a | yes |
| C••••••••• S•••• J••••••• | n/a | Virginia Beach, VA | 18 | 22 | 3 | yes |
| CHIEF COMPLIANCE OFFICER |
| Na |
| yes |
| 07/2025 |
| Aug 18, 2026 |
| Aug 18, 2026 |
| O•••• I••••••••• H•••••••• | HOLDING COMPANY | E | yes | 05/2015 | Aug 18, 2026 | Aug 18, 2026 |
| P••••• J•••• D••• | Chairman | Na | yes | 10/2022 | Aug 18, 2026 | Aug 18, 2026 |
| S••••••••• M•••••• A••• | DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS | Na | yes | 10/2022 | Aug 18, 2026 | Aug 18, 2026 |
| A• A•••••• H••••••• G•• L•• | G•••RAL PARTNER | F | yes | 05/2019 | May 29, 2024 | Sep 11, 2024 |
| A• A•••••• H•••••••• L••• | Shareholder | E | yes | 08/2019 | Nov 1, 2022 | Sep 11, 2024 |
| A• I••••••••• C••••••••• | Shareholder | E | yes | 05/2020 | Nov 1, 2022 | Sep 11, 2024 |
| A• P••••• C••••••••• | Shareholder | E | yes | 08/2019 | Nov 1, 2022 | Sep 11, 2024 |
| B••••••••• M••••• R•••• | INVESTMENT MEMBER | F | yes | 08/2014 | May 29, 2024 | Sep 11, 2024 |
| B••••••••• M••••• R•••• | Member | F | yes | 08/2014 | May 29, 2024 | Sep 11, 2024 |
| B••••••••• M••••• R•••• | Member | F | yes | 08/2014 | May 29, 2024 | Sep 11, 2024 |
| B••••••••• M••••• R•••• | Trustee | C | yes | 06/2006 | May 29, 2024 | Sep 11, 2024 |
| C•••••• J••• M•••••• | CHIEF COMPLIANCE OFFICER | Na | yes | 03/2016 | Mar 7, 2016 | Sep 11, 2024 |
| H••••• T•••••• R••••• | CHIEF OPERATIONS OFFICER | Na | yes | 01/2024 | Jan 29, 2024 | Sep 11, 2024 |
| M•• I••• L•• | Member | C | yes | 08/2014 | May 29, 2024 | Sep 11, 2024 |
| O•••• F•••••••• S•••••••• I••• | Shareholder | E | yes | 05/2020 | Jul 18, 2023 | Sep 11, 2024 |
| O•••• H•••••••• I••• | Shareholder | E | yes | 10/2022 | Jul 18, 2023 | Sep 11, 2024 |
| O•••• I••••••••• H•••••••• I••• | HOLDING COMPANY | E | yes | 05/2015 | Nov 27, 2023 | Sep 11, 2024 |
| R•• A•••••• C•••••••• G• L•• | G•••RAL PARTNER | F | yes | 05/2019 | May 29, 2024 | Sep 11, 2024 |
| R•• A•••••• C••••••••• L••• | LIMITED PARTNER | D | yes | 08/2019 | May 29, 2024 | Sep 11, 2024 |
| R•• G••••• H••••• L•• | LIMITED PARTNER | E | yes | 08/2014 | May 29, 2024 | Sep 11, 2024 |
| R•• G••••• L• | LIMITED PARTNER | E | yes | 01/2018 | May 29, 2024 | Sep 11, 2024 |
| R•• O•• F••• I• G•• L• | LIMITED PARTNER | E | yes | 01/2018 | May 29, 2024 | Sep 11, 2024 |
| T•• B•••••••• F••••• 2••• T•••• | Member | E | yes | 08/2014 | May 29, 2024 | Sep 11, 2024 |
| M•••••••• C••••••••• M•••• | CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | Na | no | 08/2025 | Aug 18, 2026 | Aug 18, 2026 |
| S••••••• D•••• M••••• | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | Na | no | 02/2024 | May 29, 2024 | Sep 11, 2024 |
| yes |
| Concord | Nh | United States | 5 | yes |
| Ridgefield | Ct | United States | 4 | yes |
| THE VILLAGES | FL | United States | 4 | yes |
| Springfield | IL | United States | 4 | yes |
| KANSAS CITY | Ks | United States | 4 | yes |
| Canton | Ma | United States | 4 | yes |
| Ellsworth | Me | United States | 4 | yes |
| Pittsburgh | Pa | United States | 4 | yes |
| Mystic | Ct | United States | 3 | yes |
| Southington | Ct | United States | 3 | yes |
| Watertown | Ct | United States | 3 | yes |
| THE VILLAGES | FL | United States | 3 | yes |
| Valdosta | Ga | United States | 3 | yes |
| Agawam | Ma | United States | 3 | yes |
| Lapeer | Mi | United States | 3 | yes |
| NEW YORK | NY | United States | 3 | yes |
| Ravenna | Oh | United States | 3 | yes |
| Indiana | Pa | United States | 3 | yes |
| Abingdon | Va | United States | 3 | yes |
| Eagan | Mn | United States | 2 | yes |
| Mar 31, 2026 |
| $6.5B |
| $4.1B |
| 1,839 |
| 478 |
| 621 |
| n/a |
| n/a |
| 2024 | Mar 31, 2025 | $4.0B | $1.1B | 630 | 446 | 574 | n/a | n/a |
| 2023 | Mar 26, 2024 | $3.6B | $996M | 722 | 474 | 557 | n/a | n/a |
| 2022 | Mar 31, 2023 | $2.8B | $876M | 764 | 539 | 531 | n/a | n/a |
| 2021 | Mar 30, 2022 | $2.8B | $911M | 775 | 587 | 527 | n/a | n/a |
| 2020 | Mar 31, 2021 | $2.5B | $885M | 803 | 536 | 494 | n/a | n/a |
| 2019 | Mar 30, 2020 | $1.7B | $615M | 860 | 536 | 549 | n/a | n/a |
| 2018 | Mar 28, 2019 | $1.4B | $475M | 867 | 523 | 523 | n/a | n/a |
| 2017 | Mar 29, 2018 | $1.1B | $476M | 850 | 489 | 461 | n/a | n/a |
| 2016 | Mar 31, 2017 | $1.2B | $365M | 850 | 470 | n/a | n/a | n/a |
| 2015 | Mar 29, 2016 | $580M | $232M | 620 | 370 | n/a | n/a | n/a |
| 2014 | Mar 31, 2015 | $790M | $149M | 600 | 330 | n/a | n/a | n/a |
| 2013 | Mar 31, 2014 | $727M | $134M | 560 | 320 | n/a | n/a | n/a |
| 2012 | Mar 28, 2013 | $458M | $34.2M | 460 | 250 | n/a | n/a | n/a |
| 2011 | Mar 7, 2012 | $371M | $26.1M | n/a | n/a | n/a | n/a | n/a |
| NEW YORK, NY |
| Team lift out |
| Ibd to ibd |
| 0.4% |
| L•• F•••••••• L•• | 2 | Jun 26, 2026 | Jun 29, 2026 | BARRE, VT | Team lift out | Ibd to ibd | 0.4% |
| R•• C•••••• M••••••• L•• | 2 | Jun 22, 2026 | Jun 18, 2026 | DOVER, NH | Team lift out | Ibd to ibd | 0.4% |
| C••••• I••••••••• A••••••• L•• | 4 | Jun 15, 2026 | Jun 18, 2026 | LAKELAND, FL | Team lift out | Ibd to ibd | 0.7% |
| A••• W••••• A••••••• L•• | 2 | Feb 2, 2026 | Jan 30, 2026 | NEWTON, MA | Team lift out | Ibd to RIA | 0.4% |
| L•• F•••••••• L•• | 5 | Jan 27, 2026 | Feb 12, 2026 | THE VILLAGES, FL | Team lift out | Ibd to ibd | 0.9% |
| R•••••• J•••• F•••••••• S••••••• A•••••••• I•• | 2 | Oct 7, 2025 | Oct 6, 2025 | LAREDO, TX | Team lift out | Ibd to ibd | 0.4% |
| L•• F•••••••• L•• | 3 | Sep 5, 2025 | Sep 6, 2025 | BALTIMORE, MD | Team lift out | Ibd to ibd | 0.6% |
| L•• F•••••••• L•• | 11 | Sep 5, 2025 | Sep 9, 2025 | KILMARNOCK, VA | Team lift out | Ibd to ibd | 2.1% |
| L•• F•••••••• L•• | 2 | May 22, 2025 | May 21, 2025 | E BRIDGEWATER, MA | Team lift out | Ibd to ibd | 0.4% |
| A••••••••• F•••••••• S•••••••• L•• | 5 | May 20, 2025 | May 21, 2025 | SPARTA, MI | Team lift out | Ibd to ibd | 1.0% |
| L•• F•••••••• L•• | 3 | Mar 11, 2025 | Mar 12, 2025 | GRAND RAPIDS, MI | Team lift out | Ibd to ibd | 0.6% |
| J••• M••••• S••••••••• L•• | 2 | Feb 20, 2025 | Mar 28, 2025 | MALDEN, MA | Team lift out | Ibd to wirehouse | 0.4% |
| L•• F•••••••• L•• | 3 | Jan 29, 2025 | Feb 13, 2025 | STROUDSBURG, PA | Team lift out | Ibd to ibd | 0.6% |
| J••••• M••••••••• S•••• L•• | 2 | Nov 20, 2024 | Nov 20, 2024 | NIANTIC, CT | Team lift out | Ibd to ibd | 0.4% |
| C••••• I••••••••• A••••••• L•• | 2 | Jun 3, 2024 | May 31, 2024 | OCALA, FL | Team lift out | Ibd to ibd | 0.4% |
| L•• F•••••••• L•• | 8 | Feb 1, 2024 | Oct 31, 2024 | FORT WAYNE, IN | Team lift out | Ibd to ibd | 1.6% |
| L•• F•••••••• L•• | 23 | Jan 30, 2024 | Jan 1, 2025 | TROY, MI | Team lift out | Ibd to ibd | 4.6% |
| L•• F•••••••• L•• | 2 | Jul 18, 2023 | Jul 17, 2023 | CHARLOTTE HALL, MD | Team lift out | Ibd to ibd | 0.4% |
| PALM BEACH GARDENS, FL |
| Team lift out |
| Ibd to ibd |
| 0.0% |
| A••••••••• F•••••••• S•••••••• L•• | 6 | Aug 11, 2025 | Jul 25, 2025 | GREAT NECK, NY | Team lift out | Ibd to ibd | 0.0% |
| A••••••••• F•••••••• S•••••••• L•• | 5 | Jul 28, 2025 | Jul 28, 2025 | WEST ORANGE, NJ | Team lift out | Ibd to ibd | 0.0% |
| E•••• S••••••••• L•• | 2 | Apr 29, 2025 | Jan 13, 2026 | HYANNIS, MA | Team lift out | Ibd to ibd | 0.1% |
| C••• F•••••••• S•••••••• L••• | 2 | Mar 13, 2025 | Mar 24, 2025 | SAN DIEGO, CA | Team lift out | Ibd to ibd | 0.4% |
| L•• F•••••••• L•• | 2 | Sep 5, 2024 | Aug 26, 2024 | ST P•••, MN | Team lift out | Ibd to ibd | 0.0% |
| C••• F•••••••• S•••••••• L••• | 2 | Mar 20, 2024 | Mar 21, 2024 | BRIDGEWATER, NJ | Team lift out | Ibd to ibd | 0.4% |
| C••• F•••••••• S•••••••• L••• | 2 | Nov 29, 2023 | Nov 30, 2023 | AVOND•••, AZ | Team lift out | Ibd to ibd | 0.4% |
| C••• F•••••••• S•••••••• L••• | 12 | Nov 29, 2023 | Nov 30, 2023 | CENTENNIAL, CO | Team lift out | Ibd to ibd | 2.3% |
| C••• F•••••••• S•••••••• L••• | 3 | Nov 15, 2023 | Nov 30, 2023 | SO SAN FRANCISCO, CA | Team lift out | Ibd to ibd | 0.6% |
| H••• S••••••••• •••• I••• | 2 | Jul 3, 2023 | Jun 21, 2023 | NEW YORK, NY | Team lift out | Ibd to ibd | 0.8% |
| L•• F•••••••• L•• | 2 | Feb 24, 2023 | Feb 27, 2023 | UNIOND•••, NY | Team lift out | RIA to ibd | 0.0% |
| C••••• I••••••••• A••••••• L•• | 2 | Sep 30, 2022 | Oct 3, 2022 | CLEARFIELD, PA | Team lift out | Ibd to ibd | 0.1% |
| H••• S••••••••• •••• I••• | 2 | Sep 15, 2022 | Sep 22, 2022 | NEW YORK, NY | Team lift out | Ibd to ibd | 1.0% |
| L•• F•••••••• L•• | 4 | May 18, 2022 | Jan 2, 2026 | WESTMINSTER, CA | Team lift out | RIA to ibd | 0.0% |
| L•• F•••••••• L•• | 2 | May 18, 2022 | Oct 27, 2022 | FORT MILL, SC | Team lift out | RIA to ibd | 0.0% |
| C••• B•••••••• S•••••••• I••• | 4 | Apr 21, 2022 | Sep 1, 2022 | SANTA ANA, CA | Team lift out | Ibd to ibd | 0.7% |
| C••••• I••••••••• A••••••• L•• | 3 | Apr 30, 2020 | May 4, 2020 | VALDOSTA, GA | Team lift out | Ibd to ibd | 0.2% |
| M••••••• I••••••••• N•••••• I••• | 4 | Nov 4, 2019 | Nov 1, 2019 | SPRINGFIELD, IL | Team lift out | Ibd to ibd | 4.3% |