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CRD 288169
ATLANTA, GA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| MATTHEW CHRISTIAN BAUDER | Chartered Financial Analyst | ATLANTA, GA | 8 | 27 | 1 | yes |
| MICHAEL FRANK MALLOY | Chartered Financial Analyst | ATLANTA, GA | 8 | 39 | 2 | yes |
| KURT RODERICK HENNEK | n/a | ATLANTA, GA | 8 | 20 | 2 | yes |
| ROBERT A. BREWER | n/a | LEXINGTON, KY | ATLANTA, GA | 3 | 33 | 2 | yes |
| Megan Paige Reynolds | Certified Financial Planner | ATLANTA, GA | Lexington, KY | 3 | 27 | 2 | yes |
| MICHAEL JOHN BUTKUS | n/a | ATLANTA, GA | 2 | 19 | 3 | no |
| KEELY LYNNE ROCK | Chartered Financial Consultant | Lexington, KY | ATLANTA, GA | 1 | 11 | n/a | yes |
| William Cabot Potter Haggin | Certified Financial Planner | Lexington, KY | ATLANTA, GA | 0 | 10 | 1 | yes |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| ANDERSON, JAMES, KURT | Partner | Na | yes | 01/2022 | Apr 27, 2026 | Apr 27, 2026 |
| BAUDER, MATTHEW, CHRISTIAN | MANAGING MEMBER | B | yes | 12/2020 | Apr 27, 2026 | Apr 27, 2026 |
| BREWER, ROBERT, A. | Partner | B | yes | 10/2024 | Apr 27, 2026 | Apr 27, 2026 |
| BUTKUS, MICHAEL, JOHN | Partner | A | yes | 01/2022 | Apr 27, 2026 | Apr 27, 2026 |
| HENNEK, KURT, RODERICK | MANAGING MEMBER | B | yes | 12/2020 | Apr 27, 2026 | Apr 27, 2026 |
| HENNEK, RODERICK, EUGENE | Partner | A | yes | 10/2017 | Apr 27, 2026 | Apr 27, 2026 |
| Johnston, Mary, Catherine | CHIEF COMPLIANCE OFFICER | Na | yes | 08/2024 | Apr 27, 2026 | Apr 27, 2026 |
| MALLOY, MICHAEL, FRANK | Partner | A | yes | 10/2017 | Apr 27, 2026 | Apr 27, 2026 |
| SCHAFER, GARY, RAY | MANAGING MEMBER | A | yes | 12/2020 | Apr 27, 2026 | Apr 27, 2026 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Lexington | Ky | United States | 2 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Apr 27, 2026 | $15B | $2.2B | 23 | 10 | 11 | n/a | n/a |
| 2024 | Mar 31, 2025 | $14B | $1.9B | 23 | 10 | 1 | n/a | n/a |
| 2023 | Mar 27, 2024 | $14B | $1.7B | 24 | 11 | 1 | n/a | n/a |
| 2022 | Mar 30, 2023 | $12B | $970M | 23 | 11 | 0 | n/a | n/a |
| 2021 | Mar 28, 2022 | $15B | $1.1B | 21 | 10 | 0 | n/a | n/a |
| 2020 | Mar 25, 2021 | $14B | $973M | 21 | 10 | 0 | n/a | n/a |
| 2019 | Mar 20, 2020 | $12B | $791M | 19 | 8 | 0 | n/a | n/a |
| 2018 | Mar 27, 2019 | $11B | $693M | 20 | 9 | 0 | n/a | n/a |
| 2017 | Mar 21, 2018 | $12B | $458M | 20 | 9 | 0 | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 1 | 1 | 0 | 12.5% | 0 | 0 | 0 | 2 | 1 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $15B | $14B | 8.2% | $12B | 7.5% | 23 | 23 | 11 | 1 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| RAYMOND JAMES & ASSOCIATES, INC. | 2 | Jul 7, 2023 | Aug 15, 2023 | LEXINGTON, KY | Team lift out | Other | 0.0% |
| RAYMOND JAMES & ASSOCIATES, INC. | 4 | Dec 31, 2017 | Oct 31, 2023 | ATLANTA, GA | Team lift out | Ibd to new firm | 0.1% |