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CRD 129656
PORTSMOUTH, NH
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•••••••• H•••• T••••••• P•••••• | Certified Financial Planner | PORTSMOUTH, NH | PORTLAND, ME | 12 | 16 | 1 | no |
| C•••••••• C•••• T•••••• | Certified Financial Planner | PORTSMOUTH, NH | 9 | 12 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| A••••••••• M•••••••• | MEMBER/PRINCIPAL | D | yes | 07/2022 | Jul 26, 2022 | May 2, 2024 |
| T••••••• C••••••••• C•••• | CHIEF COMPLIANCE OFFICER/MEMBER/PRINCIPAL | D | yes | 07/2022 | Jul 26, 2022 | May 2, 2024 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Portland | Me | United States | 3 | 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 | 1 | -1 | 14.3% | 0 | 0 | 0 | 1 | 3 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $401M | $336M | 19.2% | $254M | 16.4% | 6 | 7 | 1 | 1 |
| no |
| S••• A••• C••••• | Certified Financial Planner | PORTLAND, ME | PORTSMOUTH, NH | 5 | 12 | 1 | no |
| B•••• K••• B•••••• | Certified Financial Planner | PORTSMOUTH, NH | 5 | 15 | 2 | no |
| D••••••• S• P•••••••• | Certified Financial Planner | Portland, ME | PORTSMOUTH, NH | 4 | 12 | n/a | no |
| D•••• B•••••• | n/a | PORTSMOUTH, NH | 0 | 12 | n/a | no |
| J•••••• E•••••••• W••••• | n/a | PORTSMOUTH, NH | 0 | 10 | n/a | no |
| Mar 23, 2026 |
| $401M |
| $398M |
| 6 |
| 6 |
| 1 |
| n/a |
| n/a |
| 2024 | Mar 26, 2025 | $336M | $328M | 7 | 6 | 1 | n/a | n/a |
| 2023 | Feb 7, 2024 | $306M | $300M | 7 | 7 | 1 | n/a | n/a |
| 2022 | Mar 23, 2023 | $254M | $249M | 7 | 6 | 2 | n/a | n/a |
| 2021 | Mar 21, 2022 | $267M | $257M | 8 | 8 | 2 | n/a | n/a |
| 2020 | Mar 19, 2021 | $238M | $215M | 5 | 5 | 2 | n/a | n/a |
| 2019 | Mar 11, 2020 | $206M | $183M | 5 | 5 | 1 | n/a | n/a |
| 2018 | Mar 15, 2019 | $165M | $153M | 4 | 4 | 1 | n/a | n/a |
| 2017 | Feb 28, 2018 | $176M | $159M | 4 | 4 | 1 | n/a | n/a |
| 2016 | Feb 15, 2017 | $130M | $107M | 3 | 3 | n/a | n/a | n/a |
| 2011 | Jan 19, 2012 | $63.4M | $9.7M | n/a | n/a | n/a | n/a | n/a |