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CRD 316434
NEW YORK, NY
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 |
|---|---|---|---|---|---|---|
| A••••••• A•••• | Certified Financial Planner | NEW YORK, NY | Cleveland, OH | 3 | 13 | 1 | no |
| E•••• K•••••• B•••• | Certified Financial Planner | Miami, FL | MIAMI, FL | NEW YORK, NY | 2 | 14 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| D•••• A•••• R••••• | Shareholder | D | yes | 05/2021 | Nov 5, 2021 | Dec 19, 2024 |
| D•••• A•••• R••••• | PRESIDENT & CHIEF EXECUTIVE OFFICER | Na | yes | 08/2021 | Nov 5, 2021 | Dec 19, 2024 |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Apr 8, 2026 |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 18 | 3 | 15 | 14.3% | 1 | 0 | 0 | 24 | 6 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $43.3M | $0 | n/a | $0 | n/a | 39 | 18 | 0 | 0 |
| no |
| J••••• F•••••••• | Certified Financial Planner | Baltimore, MD | NEW YORK, NY | 1 | 10 | 1 | no |
| E••• N••••• G••• | n/a | NEW YORK, NY | Sterling Heights, MI | 1 | 13 | 2 | no |
| C•••••• A•• H••• | Certified Financial Planner | NEW YORK, NY | Spokane, WA | 0 | 12 | 2 | no |
| C••• M•••••• W••••• | Certified Financial Planner | Syracuse, NY | NEW YORK, NY | 0 | 11 | 2 | no |
| J•••• A••••• M••••• | Certified Financial Planner | Centerville, UT | NEW YORK, NY | 0 | 12 | 3 | no |
| S••• E•••• W••••• | Certified Financial Planner | Mesa, AZ | NEW YORK, NY | 0 | 11 | 3 | no |
| T••••• R••••• W•••••• | Certified Financial Planner|Chartered Financial Consultant | NEW YORK, NY | Glendale, AZ | 0 | 10 | 2 | no |
| J•••••• B•••••• E••••••• | Certified Financial Planner | Huntersville, NC | NEW YORK, NY | 0 | 10 | 1 | no |
| J•••• C•••••••• G•••• | Certified Financial Planner | Littleton, CO | NEW YORK, NY | 0 | 12 | 2 | no |
| A••••••••• B•••••• S•••••• T••••• | Certified Financial Planner | Copley, OH | NEW YORK, NY | 0 | 11 | 2 | no |
| J••• B•••• S•••• | Certified Financial Planner | NEW YORK, NY | Phoenix, AZ | 0 | 12 | 3 | no |
| B•••• A••••• T••••• | Certified Financial Planner | Enterprise, UT | NEW YORK, NY | 0 | 28 | 8 | no |
| K••• F•••••• L•••••• | Certified Financial Planner | NEW YORK, NY | BAYVILLE, NY | 0 | 14 | 2 | no |
| M••• R••• F•••••••• R••••••• | n/a | NEW YORK, NY | Beacon, NY | 0 | 12 | 1 | no |
| J•••••• D•••• M••••••••• | Certified Financial Planner | NEW YORK, NY | Zimmerman, MN | 0 | 11 | 1 | no |
| R••••• J••••• M•••• | Certified Financial Planner | Glendale, AZ | NEW YORK, NY | 0 | 14 | 5 | no |
| B••• D••••••••• | Certified Financial Planner | Phoenix, AZ | NEW YORK, NY | 0 | 11 | 1 | no |
| A••• G••••• M••••••• | Certified Financial Planner | Wilmington, NC | NEW YORK, NY | 0 | 15 | 5 | no |
| C•••••• V••••••• L••• | n/a | NEW YORK, NY | Wesley Chapel, FL | 0 | 15 | 3 | no |
| Member |
| E |
| yes |
| 08/2021 |
| Nov 5, 2021 |
| Dec 19, 2024 |
| P•••••••• L••••• | CHIEF COMPLIANCE OFFICER | Na | yes | 12/2023 | Jan 12, 2024 | Dec 19, 2024 |
| $0 |
| $0 |
| 39 |
| 14 |
| 0 |
| n/a |
| n/a |
| 2024 | Mar 18, 2025 | $0 | $0 | 18 | 9 | 0 | n/a | n/a |
| 2023 | Mar 29, 2024 | $0 | $0 | 16 | 5 | 0 | n/a | n/a |
| 2022 | Mar 31, 2023 | $0 | $0 | 4 | 2 | 0 | n/a | n/a |
| 2021 | Mar 30, 2022 | $369,052 | $369,052 | 8 | 4 | 0 | n/a | n/a |