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CRD 301071
BOCA RATON, 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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| L••• K•••• H•••••••• | n/a | Summerland Key, FL | BOCA RATON, FL | 7 | 19 | 3 | no |
| T••••• W•••••• L•••••• | n/a | Haven, NJ | BOCA RATON, FL | 7 | 17 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| H••••••••• L•••• K•••• | MANAGING MEMBER, CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER | A | yes | 05/2019 | May 10, 2019 | Dec 3, 2024 |
| L••••••• T•••••• W•••••• | MANAGING MEMBER AND CO-CHIEF INVESTMENT OFFICER | B | yes | 05/2019 | May 10, 2019 | Dec 3, 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 | 2 | -2 | 66.7% | 0 | 0 | 0 | 1 | 2 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $405M | $535M | -24.2% | $200M | 26.5% | 7 | 9 | 2 | 2 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| S• C•••••• M••••••••• | 2 | Mar 6, 2026 | Aug 12, 2026 | BOCA RATON, FL | Team lift out | RIA to state RIA | 40.0% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| M••••• S•••••• | 3 | May 14, 2019 | Jan 29, 2025 | SHREWSBURY, NJ | Team lift out | Wirehouse to new firm | 0.0% |
| no |
| J•••• W••• L•••• | n/a | BOCA RATON, FL | 1 | 35 | 3 | no |
| L••••• J••••• W••• | MANAGING MEMBER, CHIEF EXECUTIVE OFFICER, AND CO-CHIEF INVESTMENT OFFICER | E | yes | 05/2019 | May 10, 2019 | Dec 3, 2024 |
| $405M |
| $123M |
| 7 |
| 3 |
| 2 |
| n/a |
| n/a |
| 2024 | Jan 27, 2025 | $535M | $380M | 9 | 5 | 2 | n/a | n/a |
| 2023 | Feb 2, 2024 | $222M | $119M | 7 | 4 | 2 | n/a | n/a |
| 2022 | Jan 25, 2023 | $200M | $108M | 7 | 2 | 2 | n/a | n/a |
| 2021 | Mar 4, 2022 | $217M | $122M | 5 | 3 | 2 | n/a | n/a |
| 2020 | Jan 21, 2021 | $189M | $90.1M | 6 | 3 | 0 | n/a | n/a |
| 2019 | Feb 24, 2020 | $189M | $125M | 5 | 3 | 0 | n/a | n/a |