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CRD 16204
R••••STER, 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 |
|---|---|---|---|---|---|---|
| L•••• J••• B•••• | Chartered Financial Consultant | LEESBURG, VA | R••••STER, NY | 17 | 26 | 1 | yes |
| J•••••• S••• M••••••• | n/a | LIVINGSTON, NJ | R••••STER, NY | 17 | 53 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| K••••••••• A••••• J••••• | VP / BOARD MEMBER/SECRETARY | C | yes | 04/1983 | Mar 30, 2012 | Oct 28, 2024 |
| M•••••••• V•••••• J• | TREASURER/ FINOP/PFO/POO | C | yes | 02/2005 | Mar 30, 2012 | Oct 28, 2024 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Carefree | Az | United States | 2 | yes |
| Scottsdale | Az | United States | 2 | yes |
| Centennial | Co | United States | 2 | yes |
| Naugatuck | Ct | United States | 2 | yes |
| Brunswick | Me | 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 |
|---|---|---|---|---|---|---|---|---|
| 0 | 3 | -3 | 3.9% | 0 | 1 | 0 | 4 | 7 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $425M | $461M | -7.9% | $256M | 18.4% | 78 | 88 | 74 | 66 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| M•• I•••••••• S•••••••• L•• | 2 | Dec 31, 2021 | Mar 23, 2022 | HAUPPAUGE, NY | Team lift out | Ibd to ibd | 0.0% |
| T••••••• I••••••••• M••••••••• I••• | 2 | Jun 10, 2021 | Jan 14, 2022 |
| yes |
| L••••• P•••••• P••••• | n/a | NEWARK, DE | Pittsburg, CA | 15 | 28 | 4 | yes |
| J••••• L•••• F•••• | n/a | Seymour, CT | NAUGATUCK, CT | R••••STER, NY | 14 | 31 | n/a | yes |
| S••• S••••••• B•••••••• | Certified Financial Planner | R••••STER, NY | SKOKIE, IL | 14 | 24 | 3 | yes |
| R•••••• W•••••• S••••• | n/a | CLEARWATER, FL | R••••STER, NY | 14 | 41 | n/a | yes |
| A•••••••• G••••••• | n/a | R••••STER, NY | Venice, FL | 13 | 19 | n/a | yes |
| A••••••• H•••••• | n/a | MITCHELLVILLE, MD | Concord, OH | 12 | 40 | 5 | yes |
| M•••••• J••••• G••••••• | n/a | Milleville, DE | NEW FREEDOM, PA | R••••STER, NY | 11 | 30 | n/a | yes |
| D•••• A••••• B••• | n/a | R••••STER, NY | Sinking Springs, PA | 10 | 33 | 3 | yes |
| C•••••• D•••• A•••••••• | Chartered Financial Consultant | EUNICE, LA | R••••STER, NY | 10 | 28 | 1 | yes |
| D•••• A••••• I•••• | Certified Financial Planner|Chartered Financial Consultant | Middletown, DE | LEESBURG, VA | 9 | 27 | 3 | yes |
| S••••• E• B••••• | Chartered Financial Consultant | R••••STER, NY | NAUGATUCK, CT | 9 | 21 | 2 | yes |
| J••• H••••• B•••• | n/a | R••••STER, NY | Alpharetta, GA | 9 | 28 | 1 | yes |
| M•••••• R••••• P••••• | n/a | R••••STER, NY | Denver, CO | 9 | 19 | 3 | yes |
| L••••••• R•••••• K•••• | n/a | Concord, OH | Euclid, OH | 8 | 33 | 3 | yes |
| P•••••• C••••••••• D•••• | Certified Financial Planner | Denver, CO | R••••STER, NY | Centennial, CO | 8 | 12 | n/a | yes |
| N••••• A••• H•••••• | n/a | Pittsburg, CA | Gettysburg, PA | 7 | 30 | 2 | yes |
| S••••• R•••• L•••••• | n/a | R••••STER, NY | Hermann, MO | 7 | 28 | 5 | yes |
| D••••• C•••••• B••••••••• | Chartered Financial Consultant | Pearl River, NY | Windham, NH | 7 | 52 | 4 | yes |
| R••••• J••• K•••• | n/a | Pearl River, NY | Hernando, FL | 7 | 25 | 5 | yes |
| T••••• H••••• L••••••••• | n/a | Columbia, MO | R••••STER, NY | 7 | 32 | 3 | yes |
| S••••• G••••• W•••• | n/a | Greensburg, PA | Pearl River, NY | 7 | 29 | 1 | yes |
| S•••• J••••••• S••••• V•••••• | n/a | SOUTH W•••••••PORT, PA | Pearl River, NY | 7 | 22 | 2 | yes |
| K•••• M•••• O••••• | n/a | Middleburg, FL | Ocala, FL | 7 | 19 | 3 | yes |
| CHIEF EXECUTIVE OFFICER/ CHIEF COMPLIANCE OFFICER |
| C |
| yes |
| 01/2022 |
| Mar 30, 2012 |
| Oct 28, 2024 |
| G•••••••• A•••••••• J•• | CCO OF THE RIA / DIRECTOR OF OPERATIONS | Na | no | 03/2021 | Mar 31, 2021 | Oct 28, 2024 |
| yes |
| Livonia | Mi | United States | 2 | yes |
| Pittsburg | CA | United States | 1 | yes |
| Clearwater | FL | United States | 1 | yes |
| Jacksonville | FL | United States | 1 | yes |
| Naples | FL | United States | 1 | yes |
| Alpharetta | Ga | United States | 1 | yes |
| Hermann | Mo | United States | 1 | yes |
| Mooresville | Nc | United States | 1 | yes |
| Livingston | Nj | United States | 1 | yes |
| Copiague | NY | United States | 1 | yes |
| MT VERNON | NY | United States | 1 | yes |
| Poughkeepsie | NY | United States | 1 | yes |
| Utica | NY | United States | 1 | yes |
| Shrewsbury | Pa | United States | 1 | yes |
| Leesburg | Va | United States | 1 | yes |
| n/a | n/a | n/a | 1 | yes |
| n/a | n/a | n/a | 1 | yes |
| n/a | n/a | n/a | 1 | yes |
| n/a | n/a | n/a | 1 | yes |
| n/a | n/a | n/a | 1 | yes |
| Mar 9, 2026 |
| $425M |
| $425M |
| 78 |
| 78 |
| 74 |
| n/a |
| n/a |
| 2024 | Mar 28, 2025 | $461M | $461M | 88 | 88 | 66 | n/a | n/a |
| 2023 | Mar 27, 2024 | $246M | $246M | 86 | 86 | 66 | n/a | n/a |
| 2022 | Mar 17, 2023 | $256M | $177M | 70 | 70 | 66 | n/a | n/a |
| 2021 | Mar 25, 2022 | $266M | $164M | 70 | 70 | 66 | n/a | n/a |
| 2020 | Mar 31, 2021 | $202M | $108M | 72 | 72 | 50 | n/a | n/a |
| 2019 | May 15, 2020 | $168M | $90.8M | 72 | 72 | 50 | n/a | n/a |
| 2018 | Mar 28, 2019 | $119M | $68.5M | 53 | 53 | 1 | n/a | n/a |
| 2017 | Mar 29, 2018 | $69.4M | $29.0M | 34 | 34 | 1 | n/a | n/a |
| 2016 | Mar 30, 2017 | $39.4M | $0 | 26 | 26 | n/a | n/a | n/a |
| 2015 | Mar 31, 2016 | $32.6M | $0 | 21 | 21 | n/a | n/a | n/a |
| 2014 | Mar 27, 2015 | $23.5M | $0 | 20 | 20 | n/a | n/a | n/a |
| 2013 | Mar 31, 2014 | $17.1M | $0 | 21 | 21 | n/a | n/a | n/a |
| 2012 | Mar 27, 2013 | $13.7M | $0 | 18 | 18 | n/a | n/a | n/a |
| 2011 | Mar 30, 2012 | $10.2M | $0 | n/a | n/a | n/a | n/a | n/a |
| CAREFREE, AZ |
| Team lift out |
| Ibd to ibd |
| 0.1% |
| F•••••••• E••••• S•••••••• I••• | 3 | Nov 6, 2018 | Dec 6, 2018 | PITTSBURG, CA | Team lift out | Ibd to RIA | 15.0% |
| F•••••••• E••••• S•••••••• I••• | 3 | Nov 6, 2018 | Nov 14, 2018 | CONCORD, OH | Team lift out | Ibd to RIA | 15.0% |
| F•••••••• E••••• S•••••••• I••• | 4 | Nov 1, 2018 | Nov 5, 2018 | LIVONIA, MI | Team lift out | Ibd to RIA | 12.5% |
| F•••••••• E••••• S•••••••• I••• | 9 | Oct 29, 2018 | Dec 6, 2018 | OCALA, FL | Team lift out | Ibd to RIA | 23.1% |
| F•••••••• E••••• S•••••••• I••• | 4 | Oct 24, 2018 | Nov 20, 2018 | MARLTON, NJ | Team lift out | Ibd to RIA | 9.8% |