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CRD 107732
CONCORD, 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 |
|---|---|---|---|---|---|---|
| P••••••• W•••••• W•••• | n/a | CONCORD, NH | 19 | 30 | n/a | no |
| S•••• A• B••••••• | n/a | Concord, NH | 7 | 25 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| W••••• P•••••••• W•••••• | PRESIDENT, CHIEF COMPLIANCE OFFICER AND SOLE SHAREHOLDER | E | yes | 12/2023 | Apr 2, 2012 | Jun 20, 2024 |
| 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 | 0 | 1 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $545M | $546M | -0.0% | $618M | -4.1% | 3 | 3 | 0 | 0 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| M•••••• | 3 | Jan 19, 2022 | Jan 5, 2022 | NEW LONDON, NH | Firm absorbed | RIA to ibd | 50.0% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| T•••••• C••••••• L•• | 2 | Dec 31, 2015 | Jan 14, 2016 | NEW LONDON, NH | Team lift out | Other | 100.0% |
| no |
| C•••• W• W•••• | n/a | CONCORD, NH | 2 | 10 | n/a | no |
| Mar 30, 2026 |
| $545M |
| $535M |
| 3 |
| 3 |
| 0 |
| n/a |
| n/a |
| 2024 | Mar 28, 2025 | $546M | $535M | 3 | 3 | 0 | n/a | n/a |
| 2023 | Jan 27, 2024 | $647M | $636M | 5 | 4 | 0 | n/a | n/a |
| 2022 | Mar 29, 2023 | $618M | $608M | 4 | 4 | 0 | n/a | n/a |
| 2021 | Mar 25, 2022 | $718M | $705M | 4 | 4 | 0 | n/a | n/a |
| 2020 | Mar 31, 2021 | $1.1B | $1.1B | 8 | 8 | 1 | n/a | n/a |
| 2019 | Mar 31, 2020 | $1.0B | $1000M | 9 | 7 | 1 | n/a | n/a |
| 2018 | Mar 29, 2019 | $846M | $839M | 9 | 8 | 1 | n/a | n/a |
| 2017 | Mar 29, 2018 | $869M | $864M | 8 | 8 | 1 | n/a | n/a |
| 2016 | Mar 28, 2017 | $784M | $740M | 8 | 7 | n/a | n/a | n/a |
| 2015 | Jan 16, 2016 | $738M | $685M | 9 | 8 | n/a | n/a | n/a |
| 2014 | Feb 20, 2015 | $438M | $435M | 3 | 3 | n/a | n/a | n/a |
| 2013 | Feb 18, 2014 | $412M | $407M | 3 | 3 | n/a | n/a | n/a |
| 2012 | Feb 15, 2013 | $333M | $329M | 3 | 3 | n/a | n/a | n/a |
| 2011 | Apr 2, 2012 | $289M | $284M | n/a | n/a | n/a | n/a | n/a |