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CRD 289891
CENTENNIAL, CO
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 |
|---|---|---|---|---|---|---|
| S•••••• W••••• | Certified Financial Planner | CENTENNIAL, CO | Asheville, NC | 8 | 16 | 2 | no |
| L•••• P•••• P••••••• | Certified Financial Planner|Chartered Financial Consultant | CENTENNIAL, CO | 8 | 36 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| P•••••••• L••••• P•••• | MANAGING MEMBER, CHIEF COMPLIANCE OFFICER | E | yes | 02/2002 | Aug 30, 2017 | Feb 21, 2024 |
| W•••••• S•••••• | Partner | B | yes | 12/2020 | May 27, 2021 | Feb 21, 2024 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Hilo | Hi | United States | 1 | no |
| Asheville | Nc | United States | 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 |
|---|---|---|---|---|---|---|---|---|
| 1 | 0 | 1 | 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 | $710M | $651M | 9.1% | $230M | 45.5% | 11 | 10 | 4 | 3 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| R•••••• J•••• F•••••••• S••••••• A•••••••• I•• | 2 | Oct 5, 2017 | May 23, 2018 | GREENWOOD VILLAGE, CO | Team lift out | Other | 0.1% |
| no |
| D•••• L•• H••• | n/a | Hilo, HI | CENTENNIAL, CO | 3 | 28 | 1 | no |
| J•••••• M•••• S•••• | Certified Financial Planner | Raleigh, NC | 2 | 11 | 2 | no |
| S•••••• L•••••• R••••••• | n/a | Raleigh, NC | 2 | 26 | 2 | no |
| A••• R••• O•••• | n/a | RALEIGH, NC | CENTENNIAL, CO | 0 | 11 | 3 | no |
| A•••••• D• G•••• | Certified Financial Planner | CENTENNIAL, CO | ASHEVILLE, NC | 0 | 13 | n/a | no |
| D•••• D•••• W••••• | n/a | FISHTAIL, MT | CENTENNIAL, CO | 0 | 15 | n/a | no |
| $710M |
| $707M |
| 11 |
| 7 |
| 3 |
| n/a |
| n/a |
| 2024 | Apr 7, 2025 | $651M | $648M | 10 | 5 | 3 | n/a | n/a |
| 2023 | Feb 21, 2024 | $272M | $271M | 6 | 3 | 2 | n/a | n/a |
| 2022 | Mar 24, 2023 | $230M | $230M | 3 | 2 | 2 | n/a | n/a |
| 2021 | Mar 31, 2022 | $255M | $253M | 3 | 2 | 1 | n/a | n/a |
| 2020 | May 27, 2021 | $215M | $215M | 6 | 3 | 1 | n/a | n/a |
| 2019 | Mar 30, 2020 | $124M | $122M | 2 | 2 | 1 | n/a | n/a |
| 2018 | Jun 17, 2019 | $109M | $103M | 2 | 2 | 1 | n/a | n/a |