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CRD 130687
BROOKFIELD, WI
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| T•••••• M•••••• S•••• | n/a | BROOKFIELD, WI | 11 | 20 | n/a | no |
| M•••••• M• V••••• | Chartered Financial Consultant | BROOKFIELD, WI | 11 | 15 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| F••••••• M••••••• J••• | MEMBER, CHIEF COMPLIANCE OFFICER | D | yes | 02/2004 | Mar 9, 2012 | Mar 20, 2024 |
| D•••••••• C•••••••• H•••• | Member | A | no | 08/2008 | Mar 9, 2012 | Mar 20, 2024 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Oakdale | Mn | United States | 3 | no |
| Chesterfield | Mo | 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 |
|---|---|---|---|---|---|---|---|---|
| 0 | 1 | -1 | 5.9% | 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 | $0 | $0 | n/a | n/a | n/a | 26 | 27 | 1 | 3 |
| no |
| M•••••• J••• F•••••• | n/a | BROOKFIELD, WI | 10 | 41 | n/a | no |
| E•••••••• M•••• A•••• | n/a | BROOKFIELD, WI | 9 | 12 | n/a | no |
| J••••• A••••• V•••• | Certified Financial Planner | BROOKFIELD, WI | 8 | 28 | 1 | no |
| D•••• R••• M••••• | n/a | BROOKFIELD, WI | Lake Elmo, MN | 6 | 20 | n/a | no |
| P•••• J••••• C••••• | n/a | BROOKFIELD, WI | 6 | 11 | n/a | no |
| P•••• G• D•••••••• | n/a | BROOKFIELD, WI | 3 | 13 | n/a | no |
| K•••• D••••• S••• | n/a | Lake Elmo, MN | BROOKFIELD, WI | 3 | 22 | n/a | no |
| B•••• M•••••• T••••• | n/a | BROOKFIELD, WI | 2 | 10 | n/a | no |
| C••••••• H•••• D••••••• | n/a | BROOKFIELD, WI | 1 | 33 | n/a | no |
| J••••• J••• T••• | n/a | BROOKFIELD, WI | 1 | 26 | n/a | no |
| M••• M•••• F•••••• | n/a | BROOKFIELD, WI | 1 | 13 | n/a | no |
| M•••••• N• H•••••••• | Chartered Financial Analyst | BROOKFIELD, WI | Yukon, OK | 1 | 12 | n/a | no |
| K•••• B• S••• | Certified Financial Planner | BROOKFIELD, WI | 0 | 33 | n/a | no |
| J••••••• N• N•••• | Chartered Financial Analyst | BROOKFIELD, WI | 0 | 10 | n/a | no |
| D••• M••••• C•••••••• J•••••• | n/a | BROOKFIELD, WI | 0 | 10 | n/a | no |
| Member |
| B |
| no |
| 02/2004 |
| Mar 9, 2012 |
| Mar 20, 2024 |
| $0 |
| $0 |
| 26 |
| 20 |
| 1 |
| n/a |
| n/a |
| 2024 | Mar 31, 2025 | $0 | $0 | 27 | 21 | 3 | n/a | n/a |
| 2023 | Mar 20, 2024 | n/a | n/a | 22 | 18 | 2 | n/a | n/a |
| 2022 | Mar 23, 2023 | n/a | n/a | 22 | 18 | 1 | n/a | n/a |
| 2021 | Mar 30, 2022 | $177M | $177M | 18 | 16 | 1 | n/a | n/a |
| 2020 | Mar 11, 2021 | $163M | $163M | 20 | 16 | 1 | n/a | n/a |
| 2019 | Mar 18, 2020 | $170M | $170M | 18 | 15 | 1 | n/a | n/a |
| 2018 | Mar 14, 2019 | $144M | $144M | 18 | 15 | 0 | n/a | n/a |
| 2017 | Mar 13, 2018 | $177M | $177M | 16 | 15 | 0 | n/a | n/a |
| 2016 | Mar 16, 2017 | $130M | $130M | 15 | 13 | n/a | n/a | n/a |
| 2015 | Mar 9, 2016 | $120M | $120M | 16 | 14 | n/a | n/a | n/a |
| 2014 | Mar 12, 2015 | $116M | $116M | 14 | 12 | n/a | n/a | n/a |
| 2013 | Feb 27, 2014 | $128M | $128M | 14 | 12 | n/a | n/a | n/a |
| 2012 | Mar 22, 2013 | $111M | $111M | 15 | 6 | n/a | n/a | n/a |
| 2011 | Mar 9, 2012 | $81.4M | $81.4M | n/a | n/a | n/a | n/a | n/a |