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CRD 105849
HAMBURG, 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 |
|---|---|---|---|---|---|---|
| K••••••• L••• S•••••••• | n/a | HAMBURG, NY | 5 | 28 | 2 | no |
| W•••••• B•••• S•••••••• | n/a | HAMBURG, NY | Sarasota, FL | 5 | 45 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| H••••••• I••• L•• | Shareholder | E | yes | 03/2021 | Mar 30, 2021 | Mar 28, 2024 |
| K•••• S•••••••• T•••••• F•• D••••• S•••••••• I••••••••• T•••• | Member | C | yes | 03/2021 | Mar 30, 2021 | Mar 28, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| F••••••• M••••••••• S••••••• | n/a | n/a | n/a | Y | yes | n/a |
| S•••••••• M••••••••• S•••••••• I••• | n/a | n/a | n/a | Y | yes | n/a |
| S•••••••• R••• E••••• C•••• | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Sarasota | FL | United States | 2 | yes |
| 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 |
|---|---|---|---|---|---|---|---|---|
| 1 | 0 | 1 | 0.0% | 0 | 0 | 0 | 1 | 0 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $181M | $56.9M | 217.6% | $49.9M | 53.5% | 5 | 3 | 1 | 1 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| B••••••• S••••••••• C•••• | 2 | Dec 31, 2025 | Aug 13, 2021 | SARASOTA, FL | Team lift out | RIA to RIA | 7.4% |
| B••••••• S••••••••• C•••• | 2 | Dec 31, 2025 | Nov 6, 2025 |
| no |
| J•••• G••••• T••••• | n/a | HAMBURG, NY | 4 | 32 | 1 | no |
| D•••• M••• B••••••••• | n/a | HAMBURG, NY | 0 | 46 | 1 | no |
| Member |
| C |
| yes |
| 03/2021 |
| Mar 30, 2021 |
| Mar 28, 2024 |
| K•••• S•••••••• T•••••• F•• W•••••• H••• S•••••••• I••••••••• T•••• | Member | C | yes | 03/2021 | Mar 30, 2022 | Mar 28, 2024 |
| S••••••••• K•••••••• L••• | PRESIDENT/SECRETARY | Na | yes | 01/2017 | Mar 30, 2017 | Mar 28, 2024 |
| n/a |
| n/a |
| Y |
| yes |
| n/a |
| Mar 9, 2026 |
| $181M |
| $134M |
| 5 |
| 4 |
| 1 |
| n/a |
| n/a |
| 2024 | Mar 25, 2025 | $56.9M | $49.0M | 3 | 3 | 1 | n/a | n/a |
| 2023 | Mar 28, 2024 | $53.9M | $46.5M | 3 | 3 | 1 | n/a | n/a |
| 2022 | Mar 27, 2023 | $49.9M | $42.9M | 3 | 3 | 1 | n/a | n/a |
| 2021 | Mar 30, 2022 | $60.9M | $52.4M | 2 | 2 | 1 | n/a | n/a |
| 2017 | Mar 30, 2018 | $6.8M | $6.8M | 4 | 3 | 0 | n/a | n/a |
| 2016 | Mar 30, 2017 | $6.3M | $6.3M | 6 | 4 | n/a | n/a | n/a |
| 2015 | Mar 30, 2016 | $6.2M | $6.2M | 6 | 5 | n/a | n/a | n/a |
| 2014 | Mar 31, 2015 | $6.7M | $6.7M | 6 | 5 | n/a | n/a | n/a |
| 2013 | Mar 28, 2014 | $6.6M | $6.6M | 6 | 5 | n/a | n/a | n/a |
| 2012 | Mar 27, 2013 | $5.9M | $5.9M | 6 | 5 | n/a | n/a | n/a |
| 2011 | Mar 30, 2012 | $6.3M | $6.3M | n/a | n/a | n/a | n/a | n/a |
| ROCHESTER, NY |
| Team lift out |
| RIA to RIA |
| 7.4% |