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CRD 290735
WILMINGTON, DE
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 |
|---|---|---|---|---|---|---|
| D••••• J•••• K•••• | n/a | WILMINGTON, DE | 8 | 41 | 1 | no |
| J•••• E•••• H••• | Certified Financial Planner | WILMINGTON, DE | 8 | 36 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| S••••••••• M••••••• J••••• | CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER | Na | yes | 06/2021 | Nov 29, 2017 | Nov 18, 2024 |
| S••••••••• M••••••• J••••• | President | E | yes | 11/2017 | Nov 29, 2017 | Nov 18, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| A••••••• T•• L•• | n/a | n/a | n/a | N | yes | n/a |
| 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 | 1 | 0 | 14.3% | 0 | 0 | 0 | 2 | 4 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $873M | $760M | 14.8% | $605M | 13.0% | 17 | 15 | 0 | 0 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| A••••••• W••••• M••••••••• L•• | 4 | Feb 9, 2018 | Feb 9, 2018 | WILMINGTON, DE | Firm absorbed | RIA to new firm | 80.0% |
| no |
| M•••••• J••••• S•••••••• | Certified Financial Planner | WILMINGTON, DE | 8 | 30 | 4 | no |
| A•••••• R•••••• M•••••••• | Certified Financial Planner | WILMINGTON, DE | 7 | 14 | n/a | no |
| B•••• W•••••• T•••••• | Certified Financial Planner | WILMINGTON, DE | 6 | 11 | n/a | no |
| C••••• D•••• S•••• | Certified Financial Planner | WILMINGTON, DE | 4 | 12 | 1 | no |
| J•••• R••••• N••••• | Certified Financial Planner | WILMINGTON, DE | 0 | 14 | 2 | no |
| Member |
| E |
| yes |
| 11/2017 |
| Nov 29, 2017 |
| Nov 18, 2024 |
| $873M |
| $873M |
| 17 |
| 11 |
| 0 |
| n/a |
| n/a |
| 2024 | Mar 17, 2025 | $760M | $740M | 15 | 9 | 0 | n/a | n/a |
| 2023 | Mar 21, 2024 | $700M | $676M | 15 | 9 | 0 | n/a | n/a |
| 2022 | Mar 29, 2023 | $605M | $587M | 16 | 10 | 0 | n/a | n/a |
| 2021 | Mar 23, 2022 | $657M | $611M | 15 | 11 | 0 | n/a | n/a |
| 2020 | Mar 24, 2021 | $575M | $517M | 13 | 8 | 0 | n/a | n/a |
| 2019 | Mar 21, 2020 | $502M | $470M | 16 | 9 | 2 | n/a | n/a |
| 2018 | Mar 26, 2019 | $431M | $431M | 16 | 10 | 2 | n/a | n/a |