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CRD 107553
W•••••••••, DC
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.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| C•••••• S••••• W••••••• | CHIEF COMPLIANCE OFFICER | F | yes | 06/1996 | Mar 28, 2012 | Mar 31, 2021 |
| C•••••• S••••• W••••••• | CHIEF COMPLIANCE OFFICER | Na | yes | 06/1996 | Mar 28, 2012 | Mar 31, 2021 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Naples | FL | United States | 2 | no |
| Devon | Pa | United States | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2020 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2020 | $1.9B | $1.9B | 0.4% | $1.5B | 8.1% | 13 | 14 | 2 | 3 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| H•••••••• A•••••••• L•• | 9 | Jun 30, 2022 | Jan 1, 2025 | W•••••••••, DC | Firm absorbed | RIA to ibd | 81.8% |
| PRESIDENT/ CHIEF EXECUTIVE OFFICER |
| Na |
| yes |
| 06/1996 |
| Mar 28, 2012 |
| Mar 31, 2021 |
| F•••• M••••••• K•••• | PRESIDENT/ CHIEF EXECUTIVE OFFICER | E | yes | 06/1996 | Mar 28, 2012 | Mar 31, 2021 |
| F••• M••••••• C••••••••• | CHIEF FINANCIAL OFFICER/ PORTFOLIO MANAGER | F | yes | 01/2008 | Mar 28, 2012 | Mar 31, 2021 |
| F••• M••••••• C••••••••• | CHIEF FINANCIAL OFFICER/PORTFOLIO MANAGER | Na | yes | 11/2003 | Mar 28, 2012 | Mar 31, 2021 |
| M••••••• T•••••• D••• | CHIEF INVESTMENT OFFICER | F | yes | 06/2005 | Mar 28, 2012 | Mar 31, 2021 |
| M••••••• T•••••• D••• | CHIEF INVESTMENT OFFICER | Na | yes | 02/2015 | Mar 28, 2012 | Mar 31, 2021 |
| D••••• K••••• B•••• | RESEARCH ANALYST/ PORTFOLIO MANAGER | F | no | 07/2007 | Mar 28, 2012 | Mar 31, 2021 |
| F•• H••••••• L•• | Owner | E | no | 01/2009 | Mar 28, 2012 | Mar 31, 2021 |
| S•••••• C••••••• | Principal | F | no | 05/2001 | Mar 28, 2012 | Mar 31, 2021 |
| $1.9B |
| $1.9B |
| 13 |
| 13 |
| 2 |
| n/a |
| n/a |
| 2019 | Mar 28, 2020 | $1.9B | $1.8B | 14 | 14 | 3 | n/a | n/a |
| 2018 | Mar 29, 2019 | $1.5B | $1.5B | 14 | 14 | 3 | n/a | n/a |
| 2017 | Mar 29, 2018 | $1.5B | $1.5B | 13 | 13 | 3 | n/a | n/a |
| 2016 | Mar 29, 2017 | $1.3B | $1.2B | 16 | 16 | n/a | n/a | n/a |
| 2015 | Mar 30, 2016 | $1.2B | $1.1B | 16 | 16 | n/a | n/a | n/a |
| 2014 | Mar 31, 2015 | $1.2B | $1.2B | 17 | 17 | n/a | n/a | n/a |
| 2013 | Mar 31, 2014 | $1.0B | $1.0B | 14 | 14 | n/a | n/a | n/a |
| 2012 | Mar 28, 2013 | $804M | $796M | 14 | 14 | n/a | n/a | n/a |
| 2011 | Mar 28, 2012 | $825M | $817M | n/a | n/a | n/a | n/a | n/a |