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CRD 331285
STAMFORD, CT
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 |
|---|---|---|---|---|---|---|
| Francis Anthony Brown | Certified Financial Planner|Chartered Financial Consultant | STAMFORD, CT | 1 | 34 | 1 | yes |
| Brendan R Azoff | n/a | STAMFORD, CT | 1 | 11 | 1 | no |
| Adam Pearson Jewett | Certified Financial Planner|Chartered Financial Consultant | Marshfield, MA | STAMFORD, CT | 1 | 20 | 1 | yes |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| Brown, Francis, Anthony | MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER | E | yes | 04/2018 | Apr 23, 2026 | Apr 23, 2026 |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Apr 23, 2026 | $244M | $244M | 4 | 3 | 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 |
|---|---|---|---|---|---|---|---|---|
| 0 | 0 | 0 | 0.0% | 0 | 0 | 0 | 3 | 0 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $244M | n/a | n/a | n/a | n/a | 4 | n/a | 0 | n/a |