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CRD 108681
SUMMIT, 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 |
|---|---|---|---|---|---|---|
| D•••• C•••••• D••••••• | n/a | SUMMIT, NJ | Naples, FL | 23 | 25 | 1 | no |
| H••••• C••• | Chartered Financial Analyst | SUMMIT, NJ | 11 | 28 |
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| S•••••••• A••• R•••• L•• | Other Private Fund | $26.2M | Dec 1, 2021 | 37 | Mar 29, 2012 | dropped | 021-317731 |
| S••••• A••• A••• F•••• L••• | Other Private Fund | $7.6M | Feb 5, 2015 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| C•••• H••••• | MANAGING DIRECTOR | B | yes | 01/2021 | Jan 14, 2021 | Sep 11, 2024 |
| F••••••••• M••••••• R•••••• | MANAGING DIRECTOR | B | yes | 01/2021 | Jan 14, 2021 | Sep 11, 2024 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Atlanta | Ga | United States | 4 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 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 | 1 | 0 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $771M | $610M | 26.3% | $375M | 27.2% | 12 | 12 | 1 | 1 |
| no |
| A••••• B•••• M••••• | Chartered Financial Analyst | Atlanta, GA | SUMMIT, NJ | 9 | 15 | n/a | no |
| M•••••• R•••••• F•••••••• | Chartered Financial Analyst | SUMMIT, NJ | ATLANTA, GA | 8 | 12 | n/a | no |
| C••••••••• D••••• H•••••••• | Chartered Financial Analyst | Atlanta, GA | 5 | 42 | n/a | no |
| G•••••• L•• K•••• | Chartered Financial Consultant|Chartered Financial Analyst | Atlanta, GA | 5 | 30 | 1 | no |
| N••••• J• G••••••• | n/a | SUMMIT, NJ | 4 | 11 | n/a | no |
| R••••• J• K••••• | n/a | Summit, NJ | 4 | 28 | n/a | no |
| K• W•• K•••• C•••• | Chartered Financial Analyst | London | 3 | 11 | n/a | no |
| B•••••• A•••••••• B•••••• | Certified Financial Planner | SUMMIT, NJ | 2 | 12 | n/a | no |
| P••• H••••• A•••••••• | Certified Financial Planner | SUMMIT, NJ | Belleair, FL | 1 | 46 | 6 | no |
| 50 |
| Mar 29, 2012 |
| dropped |
| 021-96707 |
| CHIEF OPERATING OFFICER/ CHIEF COMPLIANCE OFFICER/ MANAGING DIRECTOR |
| B |
| yes |
| 01/2021 |
| Jan 14, 2021 |
| Sep 11, 2024 |
| H••••••••• C••••••••• D••••• | SENIOR MANAGING DIRECTOR | C | yes | 01/2021 | Jan 14, 2021 | Sep 11, 2024 |
| M•••••• A•••••• B•••• | MANAGING DIRECTOR/ CHIEF FINANCIAL OFFICER | B | yes | 01/2021 | Jan 14, 2021 | Sep 11, 2024 |
| K••••• G••••••• L•• | CHAIRMAN EMERITUS | Na | no | 01/2021 | Mar 29, 2012 | Sep 11, 2024 |
| Apr 13, 2026 |
| $771M |
| $771M |
| 12 |
| 11 |
| 1 |
| n/a |
| n/a |
| 2024 | Mar 20, 2025 | $610M | $610M | 12 | 10 | 1 | n/a | n/a |
| 2023 | Mar 21, 2024 | $434M | $434M | 11 | 8 | 1 | n/a | n/a |
| 2022 | Mar 29, 2023 | $375M | $375M | 11 | 8 | 1 | n/a | n/a |
| 2021 | Mar 16, 2022 | $422M | $422M | 10 | 7 | 1 | n/a | n/a |
| 2020 | Mar 25, 2021 | $402M | $402M | 9 | 6 | 1 | 1 | $26.2M |
| 2019 | Mar 28, 2020 | $443M | $443M | 11 | 8 | 1 | 1 | $55.7M |
| 2018 | Mar 27, 2019 | $407M | $407M | 11 | 8 | 1 | 1 | $50.6M |
| 2017 | Mar 28, 2018 | $667M | $667M | 11 | 8 | 1 | 1 | $62.4M |
| 2016 | Mar 31, 2017 | $611M | $611M | 14 | 10 | n/a | 1 | $46.6M |
| 2015 | Mar 30, 2016 | $643M | $643M | 15 | 11 | n/a | 1 | $47.2M |
| 2014 | Mar 30, 2015 | $736M | $736M | 17 | 12 | n/a | 1 | $62.3M |
| 2013 | Mar 27, 2014 | $689M | $689M | 17 | 11 | n/a | 2 | $74.1M |
| 2012 | Mar 26, 2013 | $539M | $539M | 18 | 11 | n/a | 2 | $81.5M |
| 2011 | Mar 29, 2012 | $418M | $418M | n/a | n/a | n/a | 2 | $67.2M |