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CRD 306850
NORTHFIELD, NJ
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•••••• A••• R•••• | n/a | NEW HOPE, PA | NORTHFIELD, NJ | 6 | 18 | 5 | no |
| R••••• F•••••• K••••• | Certified Financial Planner | NORTHFIELD, NJ | TAMPA, FL | 3 | 32 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| K•••••• R•••••• F•••••• | MANAGING DIRECTOR - FINANCIAL PLANNING SPECIALIST - CHIEF COMPLIANCE OFFICER | C | yes | 02/2020 | Feb 5, 2020 | Nov 6, 2024 |
| K•••••• R•••••• F•••••• | MANAGING DIRECTOR - FINANCIAL PLANNING SPECIALIST - CHIEF COMPLIANCE OFFICER | Na | yes | 02/2020 | Feb 5, 2020 | Nov 6, 2024 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| n/a | n/a | n/a | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 0 | 0 | 0 | 0.0% | 0 | 0 | 0 | 0 | 0 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $377M | $334M | 12.7% | $213M | 20.9% | 9 | 7 | 3 | 3 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| O•••• A••••••• S•••••••• L•• | 2 | Jul 1, 2020 | Jun 14, 2023 | ATLANTA, GA | Team lift out | Ibd to RIA | 2.5% |
| no |
| J•••••• A••• S•••••••• | n/a | Mount Pleasant, SC | NORTHFIELD, NJ | 2 | 24 | n/a | no |
| M••••••••• L•• | MANAGING MEMBER | E | yes | 02/2020 | Jan 14, 2022 | Nov 6, 2024 |
| R••••• M••••••• A••• | MANAGING DIRECTOR - CHIEF INVESTMENT OFFICER | C | yes | 02/2020 | Feb 5, 2020 | Nov 6, 2024 |
| R••••• M••••••• A••• | MANAGING DIRECTOR - CHIEF INVESTMENT OFFICER | Na | yes | 02/2020 | Feb 5, 2020 | Nov 6, 2024 |
| $377M |
| $377M |
| 9 |
| 3 |
| 3 |
| n/a |
| n/a |
| 2024 | Feb 19, 2025 | $334M | $334M | 7 | 3 | 3 | n/a | n/a |
| 2023 | Jan 31, 2024 | $253M | $253M | 4 | 2 | 2 | n/a | n/a |
| 2022 | Feb 1, 2023 | $213M | $213M | 6 | 4 | 3 | n/a | n/a |
| 2021 | Feb 23, 2022 | $225M | $225M | 6 | 4 | 3 | n/a | n/a |
| 2020 | Mar 1, 2021 | $170M | $170M | 7 | 4 | 3 | n/a | n/a |