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CRD 329496
SOMERS, NY
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
Dated 2026-08-26 (filing); first seen by DFX 2026-09-15.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| M••••••• N•••••••• J•••••• | MANAGING MEMBER, CHIEF COMPLIANCE OFFICER | E | yes | 09/2023 | Jan 4, 2024 | Dec 5, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| B••••••••• G••••• A•••••••• I••• | n/a | Mixed wealth | $367M | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| n/a | n/a | n/a | 2 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Apr 15, 2026 |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 0 | 5 | -5 | n/a | 0 | 5 | 0 | 5 | 5 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $65.8M | $21.5M | 205.9% | n/a | n/a | 8 | 6 | 7 | 2 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| I••••••••• P•••••• W••••• M••••••••• I••• | 3 | Aug 26, 2026 | Jul 16, 2026 | SOMERS, NY | Team lift out | RIA to RIA | 37.5% |
| $65.8M |
| $65.8M |
| 8 |
| 8 |
| 7 |
| n/a |
| n/a |
| 2024 | Mar 24, 2025 | $21.5M | $21.5M | 6 | 6 | 2 | n/a | n/a |