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CRD 309056
NEW HAVEN, CT
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 |
|---|---|---|---|---|---|---|
| C•••••• F•••••• K••••••• | Certified Financial Planner | NEW HAVEN, CT | 6 | 21 | 2 | no |
| J•••• W•••••• N••• | Certified Financial Planner | NEW HAVEN, CT | 6 | 16 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| K•••••••• C••••••• F•••••• | Trustee | F | yes | 04/2021 | May 8, 2020 | Mar 23, 2024 |
| K•••••••• C••••••• F•••••• | CHIEF COMPLIANCE OFFICER/MANAGING MEMBER | E | yes | 04/2020 | May 8, 2020 | Mar 23, 2024 |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 13, 2026 |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 0 | 1 | -1 | 25.0% | 0 | 0 | 0 | 0 | 3 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $585M | $515M | 13.6% | $435M | 10.4% | 10 | 10 | 0 | 0 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| R•••••• J•••• F•••••••• S••••••• A•••••••• I•• | 5 | Jul 10, 2020 | Jul 1, 2020 | NEW HAVEN, CT | Team lift out | Ibd to new firm | 0.1% |
| no |
| D••••• M•••••• T•••• | Chartered Financial Analyst | NEW HAVEN, CT | 6 | 12 | 1 | no |
| A•••• R••• U•••••• | n/a | NEW HAVEN, CT | 4 | 15 | 2 | no |
| DIRECTOR, INVESTMENTS |
| Na |
| yes |
| 04/2020 |
| Feb 4, 2022 |
| Mar 23, 2024 |
| K•••••••• R•••••• P••••• | Member | Na | no | 04/2020 | May 8, 2020 | Mar 23, 2024 |
| R••••• K••••••• 2••• T•••• F•• T•• F••••• O• C•••••• K••••••• | Trust | B | no | 04/2021 | Mar 23, 2022 | Mar 23, 2024 |
| $585M |
| $581M |
| 10 |
| 5 |
| 0 |
| n/a |
| n/a |
| 2024 | Mar 31, 2025 | $515M | $511M | 10 | 6 | 0 | n/a | n/a |
| 2023 | Mar 22, 2024 | $477M | $473M | 11 | 7 | 0 | n/a | n/a |
| 2022 | Mar 28, 2023 | $435M | $430M | 11 | 7 | 0 | n/a | n/a |
| 2021 | Mar 23, 2022 | $484M | $478M | 11 | 7 | 0 | n/a | n/a |
| 2020 | Mar 26, 2021 | $424M | $421M | 10 | 6 | 0 | n/a | n/a |