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CRD 315959
RANCHO SANTA FE,, CA
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 |
|---|---|---|---|---|---|---|
| NICK ANTHONY BARTOLO | Chartered Financial Analyst | RANCHO SANTA FE,, CA | 4 | 16 | n/a | no |
| Brendan Michael White | Certified Financial Planner | Denver, CO | RANCHO SANTA FE,, CA | 1 | 15 | 3 | no |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| BARTOLO, NICK, ANTHONY | MANAGING MEMBER AND CCO | E | yes | 07/2021 | Jul 16, 2021 | Mar 28, 2024 |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 30, 2026 | $401M | $401M | 2 | 2 | 1 | n/a | n/a |
| 2024 | Mar 31, 2025 | $325M | $325M | 1 | 1 | 0 | n/a | n/a |
| 2023 | Mar 28, 2024 | $225M | $194M | 1 | 1 | 0 | n/a | n/a |
| 2022 | Mar 10, 2023 | $408M | $61.0M | 1 | 1 | 0 | n/a | n/a |
| 2021 | Jan 19, 2022 | $4.3M | $4.3M | 1 | 1 | 0 | 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 |
|---|---|---|---|---|---|---|---|---|
| 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 | $401M | $325M | 23.4% | $408M | -0.6% | 2 | 1 | 1 | 0 |