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CRD 146362
HUNT VALLEY, MD
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 |
|---|---|---|---|---|---|---|
| PETER ANDREW MARSHALL | n/a | HUNT VALLEY, MD | 18 | 21 | 3 | yes |
| AGOSTINO ANTHONY PUGLIESE | n/a | Hunt Valley, MD | 10 | 15 | 4 | yes |
| SHERYL DIANE PARKS | Certified Financial Planner | Hunt Valley, MD | 5 | 39 | 1 | no |
| Thomas McAndrew | n/a | HUNT VALLEY, MD | 4 | 14 | n/a | no |
| Andrew John Hasz | n/a | HUNT VALLEY, MD | 4 | 10 | n/a | no |
| John Russell Armstrong | Certified Financial Planner | HUNT VALLEY, MD | 4 | 18 | 1 | no |
| CHERYL L. STUART | n/a | HUNT VALLEY, MD | Kingston, NY | 2 | 42 | 1 | no |
| Tyler Kang | n/a | HUNT VALLEY, MD | 1 | 10 | 1 | no |
| CHRISTOPHER NELSON BARNES | n/a | HUNT VALLEY, MD | 1 | 25 | 6 | no |
| KYLE Austin LEVICKAS | n/a | HUNT VALLEY, MD | 1 | 12 | 1 | no |
| Denton Penn Lane | n/a | HUNT VALLEY, MD | 1 | 13 | 2 | no |
| MARY AGNES BARONE | n/a | HUNT VALLEY, MD | Salinas, CA | 0 | 32 | 2 | no |
| Thomas Andrew Arasz | Certified Financial Planner | HUNT VALLEY, MD | 0 | 10 | 2 | no |
| Rodney Dale Dir | n/a | HUNT VALLEY, MD | 0 | 40 | 6 | no |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| MARSHALL, PETER, ANDREW | PRESIDENT, CHIEF COMPLIANCE OFFICER | E | yes | 10/2005 | Nov 18, 2019 | Dec 20, 2024 |
| PARKS, SHERYL, DIANE | Partner | B | yes | 04/2021 | Feb 25, 2022 | Dec 20, 2024 |
| PUGLIESE, AGOSTINO, ANTHONY | Partner | B | yes | 10/2021 | Feb 25, 2022 | Dec 20, 2024 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Chicago | IL | United States | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Apr 8, 2026 | $736M | $713M | 18 | 10 | 4 | n/a | n/a |
| 2024 | Mar 26, 2025 | $593M | $583M | 18 | 10 | 2 | n/a | n/a |
| 2023 | Mar 1, 2024 | $469M | $460M | 13 | 5 | 0 | n/a | n/a |
| 2022 | Jan 20, 2023 | $381M | $368M | 9 | 9 | 0 | n/a | n/a |
| 2021 | Feb 28, 2022 | $412M | $400M | 8 | 8 | 1 | n/a | n/a |
| 2020 | Jan 25, 2021 | $208M | $208M | 5 | 5 | 0 | n/a | n/a |
| 2019 | Mar 31, 2020 | $150M | $150M | 5 | 5 | 1 | 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 |
|---|---|---|---|---|---|---|---|---|
| 3 | 2 | 1 | 14.3% | 1 | 0 | 0 | 11 | 4 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $736M | $593M | 24.0% | $381M | 24.6% | 18 | 18 | 4 | 2 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| SECURITIES AMERICA ADVISORS, INC. | 2 | May 31, 2019 | Sep 18, 2020 | TOWSON, MD | Team lift out | RIA to ibd | 50.0% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| SSN ADVISORY, INC. | 2 | Sep 18, 2020 | Mar 1, 2018 | TOWSON, MD | Team lift out | Ibd to RIA | 1.3% |