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CRD 107387
GOSHEN, 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 |
|---|---|---|---|---|---|---|
| M•••••• M•••••• R••••• | Certified Financial Planner | GOSHEN, NY | 12 | 29 | n/a | no |
| B•••• S•••• S•••••• | n/a | GOSHEN, NY | 5 | 17 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| D•••••• D••••• P•••••• | Director | Na | yes | 04/2025 | Mar 19, 2026 | Mar 19, 2026 |
| F••••••• D•••• | Director | Na | yes | 03/2022 | Mar 19, 2026 | Mar 19, 2026 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| O••••• B••• • T•••• C•••••• | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| WHITE PLAINS | NY | United States | 1 | no |
| 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 |
|---|---|---|---|---|---|---|---|---|
| 2 | 4 | -2 | 50.0% | 0 | 0 | 0 | 2 | 5 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $1.7B | $1.7B | 1.1% | $1.1B | 14.1% | 18 | 19 | 1 | 1 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| H• C•••••• M••••••••• | 2 | Dec 23, 2025 | Dec 21, 2025 | GOSHEN, NY | Team lift out | RIA to new firm | 25.0% |
| no |
| J•••• M•••••• S••••• | n/a | GOSHEN, NY | 4 | 25 | n/a | no |
| D•••• D•••••• P••••••••• | n/a | GOSHEN, NY | 4 | 26 | n/a | no |
| C••• A••• S••••••••• | n/a | GOSHEN, NY | 3 | 32 | 7 | no |
| S••••• R•••••• M••••• | n/a | GOSHEN, NY | 3 | 34 | n/a | no |
| S•••••• R•••••• S•••• | Certified Financial Planner | GOSHEN, NY | 0 | 31 | 9 | no |
| S•••••••• M•••••• | n/a | GOSHEN, NY | 0 | 16 | 5 | no |
| Director |
| Na |
| yes |
| 07/2014 |
| Mar 19, 2026 |
| Mar 19, 2026 |
| M•••••• S•••••• R•••••• | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER | Na | yes | 01/2026 | Mar 19, 2026 | Mar 19, 2026 |
| M•••••••• W••••••• D•••• | Director | Na | yes | 01/2023 | Mar 19, 2026 | Mar 19, 2026 |
| R•••••• R••••••• B•••••• | Director | Na | yes | 01/2023 | Mar 19, 2026 | Mar 19, 2026 |
| S••••••••• C•••• A••• | President | Na | yes | 01/2026 | Mar 19, 2026 | Mar 19, 2026 |
| S••••••• F••••• J••••• | Director | Na | yes | 01/2023 | Mar 19, 2026 | Mar 19, 2026 |
| S••••••• E•••••••• | Director | Na | yes | 10/2018 | Mar 19, 2026 | Mar 19, 2026 |
| H•••••••• L•••• | Director | Na | yes | 09/2013 | Jan 21, 2014 | Sep 16, 2024 |
| L••••••••• M•••• A••• | CHIEF COMPLIANCE OFFICER | Na | yes | 11/2012 | Dec 5, 2012 | Sep 16, 2024 |
| O••••• C••••• B•••••• I•• | Shareholder | E | yes | 11/2012 | Dec 5, 2012 | Sep 16, 2024 |
| S•••••• G••••••• J••••• | CEO/CIO | Na | yes | 02/2015 | Mar 25, 2015 | Sep 16, 2024 |
| Mar 19, 2026 |
| $1.7B |
| $1.5B |
| 18 |
| 8 |
| 1 |
| n/a |
| n/a |
| 2024 | Mar 28, 2025 | $1.7B | $1.4B | 19 | 8 | 1 | n/a | n/a |
| 2023 | Mar 26, 2024 | $1.4B | $1.2B | 20 | 8 | 1 | n/a | n/a |
| 2022 | Mar 13, 2023 | $1.1B | $975M | 18 | 7 | 1 | n/a | n/a |
| 2021 | Mar 21, 2022 | $1000M | $749M | 16 | 7 | 1 | n/a | n/a |
| 2020 | Mar 24, 2021 | $905M | $681M | 14 | 6 | 1 | n/a | n/a |
| 2019 | Mar 17, 2020 | $826M | $592M | 14 | 6 | 1 | n/a | n/a |
| 2018 | Mar 21, 2019 | $746M | $596M | 13 | 6 | 1 | n/a | n/a |
| 2017 | Mar 15, 2018 | $789M | $674M | 13 | 6 | 0 | n/a | n/a |
| 2016 | Mar 16, 2017 | $706M | $604M | 13 | 6 | n/a | n/a | n/a |
| 2015 | Feb 29, 2016 | $656M | $562M | 13 | 6 | n/a | n/a | n/a |
| 2014 | Mar 25, 2015 | $573M | $550M | 12 | 6 | n/a | n/a | n/a |
| 2013 | Jan 21, 2014 | $580M | $556M | 11 | 5 | n/a | n/a | n/a |
| 2012 | Feb 1, 2013 | $467M | $442M | 8 | 4 | n/a | n/a | n/a |
| 2011 | Jan 26, 2012 | $278M | $272M | n/a | n/a | n/a | n/a | n/a |