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CRD 145208
MIAMI, FL
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.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| B•• 2• T•••• | Shareholder | D | yes | 12/2009 | Mar 29, 2012 | Mar 28, 2014 |
| C••••••• S•••• | BOARD MEMBER/PRESIDENT | Na | yes | 10/2007 | Mar 29, 2012 | Mar 28, 2014 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| E•• A•••• M••••••••• ••••••••• C•••• | n/a | Mixed wealth | $2.3B | N | yes | n/a |
| E•• C•••••• A••••••• I••• | n/a | Former SEC adviser | $226M | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| LOS ANGELES | CA | United States | n/a | no |
| KEY BISCAYNE | FL | United States | n/a | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2013 | Mar 28, 2014 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2013 | $48.2M | $283M | -82.9% | n/a | n/a | 5 | 36 | n/a | n/a |
| BOARD MEMBER/CHAIRMAN |
| Na |
| yes |
| 10/2007 |
| Mar 29, 2012 |
| Mar 28, 2014 |
| E•• B••• E••••••• F•••••••• G•••• S• | Parent | C | yes | 12/2009 | Mar 29, 2012 | Mar 28, 2014 |
| E•• C•••••• H••••••• C•••• | Parent | E | yes | 01/2009 | Mar 29, 2012 | Mar 28, 2014 |
| E•• E••••••• F•••••••• G•••• L••• | Parent | E | yes | 12/2009 | Mar 29, 2012 | Mar 28, 2014 |
| E•• I••••••••• A• | Parent | E | yes | 09/2008 | Mar 29, 2012 | Mar 28, 2014 |
| E••••••• F•••••••• G•••• E•• ••••••••• S• | Parent | E | yes | 12/2009 | Mar 29, 2012 | Mar 28, 2014 |
| M••••••• J•••• C••••• | CHIEF FINANCIAL OFFICER | Na | yes | 10/2007 | Mar 29, 2012 | Mar 28, 2014 |
| N•••••••• N••••••• A•• | CHIEF COMPLIANCE OFFICER | Na | yes | 04/2013 | Apr 26, 2013 | Mar 28, 2014 |
| P•••••• F•••••••• H••••••• L•••••• | Parent | E | yes | 12/2009 | Mar 29, 2012 | Mar 28, 2014 |
| V••••• S•••••• H••••• | SENIOR VICE PRESIDENT | Na | yes | 11/2008 | Mar 29, 2012 | Mar 28, 2014 |
| W•••••• S••••• W•••••• | SR. REGIONAL DIRECTOR & SUPERVISOR | Na | yes | 06/2008 | Mar 29, 2012 | Mar 28, 2014 |
| A••••••• M••••••• A• | BOARD MEMBER | Na | no | 10/2007 | Mar 29, 2012 | Mar 28, 2014 |
| E•• A•••• M••••••••• ••••••••• S• | n/a | n/a | n/a | N | yes | n/a |
| E•• A•••• M••••••••• ••• L•••••• | n/a | n/a | n/a | N | yes | n/a |
| E•• B••• S• | n/a | n/a | n/a | N | yes | n/a |
| E•• C•••••• I•••••••• S•••••••• C•••• | n/a | n/a | n/a | N | yes | n/a |
| E•• C•••••• I••••••••• C•••• | n/a | Former SEC adviser | n/a | N | yes | n/a |
| $48.2M |
| $48.2M |
| 5 |
| 4 |
| n/a |
| n/a |
| n/a |
| 2012 | Mar 28, 2013 | $283M | $53.2M | 36 | 35 | n/a | n/a | n/a |
| 2011 | Mar 29, 2012 | $373M | $85.9M | n/a | n/a | n/a | n/a | n/a |