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CRD 128586
FOSTER CITY, CA
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 |
|---|---|---|---|---|---|---|
| KURT HOEFER | Chartered Financial Analyst | SAN MATEO, CA | 20 | 31 | 1 | no |
| MICHAEL KON | Chartered Financial Analyst | San Mateo, CA | 6 | 13 | n/a | no |
| THOMAS EMMETT GUINANE | n/a | FOSTER CITY, CA | 4 | 15 | 1 | no |
| DANIEL Spector-Franson | Certified Financial Planner | FOSTER CITY, CA | 3 | 16 | 2 | no |
| TYLER PATTERSON | Certified Financial Planner | FOSTER CITY, CA | 3 | 10 | 2 | no |
| KENNETH MARVIN VANDER KOOI | Certified Financial Planner | FOSTER CITY, CA | 2 | 13 | 1 | no |
| William Berg | n/a | FOSTER CITY, CA | 2 | 14 | n/a | no |
| Claire Michelle Shifren | Certified Financial Planner | FOSTER CITY, CA | PORTLAND, OR | 1 | 22 | n/a | no |
| THAO Da PHAM | Certified Financial Planner | San Mateo, CA | 1 | 11 | 2 | no |
| CYNTHIA WALLACE DUNCAN | n/a | FOSTER CITY, CA | 1 | 32 | 1 | no |
| COLIN MATTHEW HIGGINS | n/a | SAN MATEO, CA | 1 | 29 | 1 | no |
| ALEX BARTH KATZ | n/a | San Mateo, CA | 1 | 14 | 1 | no |
| Emily Kathryn Hazelroth | Certified Financial Planner | Foster City, CA | 1 | 12 | 4 | no |
| ALEXANDER SCOTT LEITZES | n/a | Foster City, CA | 1 | 12 | 1 | no |
| JOSEPH A MARTIN | n/a | SAN MATEO, CA | 1 | 28 | 1 | no |
| CHRISTOPHER DALMAR MOODY | n/a | FOSTER CITY, CA | 1 | 16 | 1 | no |
| Archana Ravindra Turaga | n/a | FOSTER CITY, CA | 1 | 10 | n/a | no |
| Allison Meili Uozumi | n/a | FOSTER CITY, CA | 0 | 10 | n/a | no |
| JACK SHUJIE ZHAO | Chartered Financial Analyst | FOSTER CITY, CA | San Francisco, CA | 0 | 10 | n/a | no |
| ROBERT CLIFTON HAMMACK | n/a | FOSTER CITY, CA | 0 | 18 | 3 | no |
| JAMES MICHAEL VANDEVOORDE | n/a | Pasadena, CA | FOSTER CITY, CA | 0 | 33 | 1 | no |
| ALEXANDER A TRAN | n/a | FOSTER CITY, CA | Pasadena, CA | 0 | 13 | 3 | no |
| LORI DELYNN RUSSELL | Certified Financial Planner | Pasadena, CA | FOSTER CITY, CA | 0 | 14 | 4 | no |
| Jacob Maxwell Kark | Certified Financial Planner | FOSTER CITY, CA | 0 | 11 | 2 | no |
| ShanTaya Cowan | n/a | FOSTER CITY, CA | 0 | 14 | 1 | no |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| ASPEN STANDARD GROUP, LLC | Member | E | yes | 11/2024 | Jun 30, 2026 | Jun 30, 2026 |
| KATZ, ALEX, BARTH | PRESIDENT, CEO | Na | yes | 04/2026 | Jun 30, 2026 | Jun 30, 2026 |
| WILKES, CONOR, PATRICK | COO, CEO | Na | yes | 04/2026 | Jun 30, 2026 | Jun 30, 2026 |
| ALPINE INVESTORS VIII-A SPLITTER I, LP | Member | E | yes | 06/2021 | Nov 27, 2024 | Dec 12, 2024 |
| ALPINE INVESTORS VIII, LP | Member | E | yes | 05/2021 | Nov 27, 2024 | Dec 12, 2024 |
| ASPEN STANDARD GROUP INTERMEDIATE CO. LLC | Member | E | yes | 11/2024 | Dec 12, 2024 | Dec 12, 2024 |
| ASPEN STANDARD GROUP TOPCO, LLC | Member | E | yes | 11/2024 | Nov 27, 2024 | Dec 12, 2024 |
| EVERGREEN SOLUTIONS GROUP TOPCO II, LLC | Member | E | yes | 11/2024 | Nov 27, 2024 | Dec 12, 2024 |
| HIGGINS, COLIN, MATTHEW | PRESIDENT, CEO | Na | yes | 09/2003 | Mar 29, 2012 | Dec 12, 2024 |
| ROUSE, JENNIFER, LYNN | CHIEF COMPLIANCE OFFICER | Na | no | 03/2009 | Jun 30, 2026 | Jun 30, 2026 |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 24, 2026 | $3.4B | $3.4B | 46 | 20 | 2 | n/a | n/a |
| 2024 | Mar 31, 2025 | $3.0B | $2.8B | 43 | 14 | 1 | n/a | n/a |
| 2023 | Mar 29, 2024 | $2.5B | $2.3B | 40 | 19 | 0 | n/a | n/a |
| 2022 | Mar 29, 2023 | $2.0B | $1.9B | 35 | 13 | 0 | n/a | n/a |
| 2021 | Mar 28, 2022 | $2.4B | $2.3B | 36 | 12 | 0 | n/a | n/a |
| 2020 | Mar 29, 2021 | $2.0B | $1.9B | 33 | 13 | 0 | n/a | n/a |
| 2019 | Jan 30, 2020 | $1.8B | $1.7B | 33 | 13 | 1 | n/a | n/a |
| 2018 | Mar 13, 2019 | $1.5B | $1.4B | 31 | 14 | 2 | n/a | n/a |
| 2017 | Feb 7, 2018 | $1.6B | $1.5B | 31 | 14 | 2 | n/a | n/a |
| 2016 | Mar 27, 2017 | $1.4B | $1.4B | 26 | 4 | n/a | n/a | n/a |
| 2015 | Mar 18, 2016 | $1.2B | $1.2B | 25 | 5 | n/a | n/a | n/a |
| 2014 | Mar 23, 2015 | $1.2B | $1.2B | 22 | 5 | n/a | n/a | n/a |
| 2013 | Jan 21, 2014 | $1.0B | $995M | 22 | 5 | n/a | n/a | n/a |
| 2012 | Feb 12, 2013 | $783M | $768M | 20 | 6 | n/a | n/a | n/a |
| 2011 | Mar 29, 2012 | $705M | $680M | n/a | n/a | n/a | 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 |
|---|---|---|---|---|---|---|---|---|
| 8 | 4 | 4 | 14.8% | 3 | 0 | 0 | 18 | 7 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $3.4B | $3.0B | 11.4% | $2.0B | 19.0% | 46 | 43 | 2 | 1 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| Mariner | 2 | Feb 10, 2026 | Mar 18, 2026 | FOSTER CITY, CA | Team lift out | RIA to ibd | 8.3% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| VANTAGE WEALTH | 2 | Apr 7, 2026 | Mar 5, 2026 | PASADENA, CA | Team lift out | RIA to RIA | 100.0% |