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CRD 173272
FORT LAUDERDALE, FL
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••••• S••••••• | Certified Financial Planner|Chartered Financial Consultant | FORT LAUDERDALE, FL | WESTBROOK, CT | Guilford, CT | 11 | 30 | 2 | no |
| B••••• A••••• | n/a | Lumberton, NJ | FORT LAUDERDALE, FL | 11 | 28 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| S•••••••• D••••• J••••• | MANAGING MEMBER | Na | yes | 09/2014 | Jan 23, 2026 | Jan 23, 2026 |
| S•••• I••••• G•••• L•• | Owner | E | yes | 05/2019 | Jan 23, 2026 | Jan 23, 2026 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Westbrook | Ct | United States | 7 | no |
| H•••SVILLE | Al | United States | 6 | no |
| FORT LAUDERDALE | FL | United States | 6 | no |
| Cordova | Tn | United States | 6 | no |
| FT LAUDERDALE | FL | United States |
| 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 |
|---|---|---|---|---|---|---|---|---|
| 25 | 16 | 9 | 12.8% | 2 | 5 | 0 | 73 | 33 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $4.2B | $3.5B | 19.6% | $1.9B | 30.6% | 134 | 111 | 99 | 84 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| F••••••••• I••••••••• A••••••• L•• | 2 | Aug 29, 2025 | Sep 11, 2025 | NORMAN, OK | Team lift out | RIA to RIA | 1.8% |
| F••••••••• I••••••••• A••••••• L•• | 2 | May 15, 2025 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| P••••••••• C•••••• A••••••• | 2 | Apr 23, 2026 | Apr 24, 2026 | WESTLAKE, OH | Team lift out | RIA to RIA | 1.9% |
| W•• F•••••••• A•••••••• L•• | 2 | Oct 3, 2025 | Sep 30, 2025 |
| 1 |
| no |
| J••• E••••• M••••••• | n/a | FORT LAUDERDALE, FL | SAN DIEGO, CA | 11 | 27 | 6 | no |
| J•••• D••••• C•••••• | n/a | OLD SAYBROOK, CT | FORT LAUDERDALE, FL | Mystic, CT | Guilford, CT | 11 | 24 | n/a | no |
| M•••••• H••••• S•••••• | n/a | FORT LAUDERDALE, FL | Crystal Lake, IL | Madison, WI | 11 | 25 | 4 | no |
| V••••• G•••• | n/a | FORT LAUDERDALE, FL | Calumet City, IL | 11 | 12 | n/a | no |
| R••••• J•••••• S•••• | n/a | FORT LAUDERDALE, FL | Melbourne, FL | Fort Lauderdale, FL | 11 | 20 | n/a | no |
| M•••••• P•••• J•••••• | n/a | Clear Lake, IA | HUMBOLDT, IA | Ankeny, IA | FORT LAUDERDALE, FL | 11 | 27 | 2 | no |
| M••• W•••• G••••• | n/a | FORT LAUDERDALE, FL | Red Oak, IA | Omaha, NE | 10 | 29 | 1 | no |
| P•••••• C•••••• P••••• | n/a | FORT LAUDERDALE, FL | Staunton, VA | CHARLOTTESVILLE, VA | 10 | 18 | 3 | no |
| D•••• P••• S•••••• | n/a | FORT LAUDERDALE, FL | Alpharetta, GA | Watkinsville, GA | Braselton, GA | 10 | 20 | n/a | no |
| D•••• A••• E•••••• | Chartered Financial Consultant | FORT LAUDERDALE, FL | Kennesaw, GA | 10 | 25 | 2 | no |
| G••• R••••• K•••••• | Chartered Financial Consultant | FORT LAUDERDALE, FL | Libertyville, IL | 10 | 39 | 2 | no |
| B•••••• S••••• W••••••• | n/a | FORT LAUDERDALE, FL | Huntsville, AL | Guntersville, AL | 10 | 24 | 1 | no |
| D•• K••• C••••• | Chartered Financial Consultant | Midland, TX | FORT LAUDERDALE, FL | 10 | 42 | n/a | no |
| D•••• M••• W••••• | Chartered Financial Consultant | FORT LAUDERDALE, FL | Toledo, OH | 9 | 39 | 1 | no |
| J•••••• D••• B•••• | n/a | FORT LAUDERDALE, FL | Plantation, FL | 9 | 29 | 5 | no |
| N••• B••••• S••••••••• | n/a | FORT LAUDERDALE, FL | Knoxville, TN | 9 | 24 | 1 | no |
| G••••• J•••• C••••• | n/a | FORT LAUDERDALE, FL | Bartlett, TN | 9 | 12 | 2 | no |
| D•••• W••••• M•••••• | n/a | CORDOVA, TN | FORT LAUDERDALE, FL | 8 | 31 | 4 | no |
| A•••• D••••• | n/a | Westbrook, CT | FORT LAUDERDALE, FL | 8 | 27 | 3 | no |
| A••••• J••••• F••••• | n/a | Concord, CA | Walnut Creek, CA | FORT LAUDERDALE, FL | 8 | 32 | 1 | no |
| B•••• D•••••• R••••••• | n/a | Leominster, MA | FORT LAUDERDALE, FL | 8 | 35 | n/a | no |
| J•••• F•••••• L•••• | n/a | FORT LAUDERDALE, FL | Wilmington, DE | 8 | 21 | 2 | no |
| R••• A•••• P•••••• | n/a | Weirton, WV | FORT LAUDERDALE, FL | 7 | 27 | 1 | no |
| Owner |
| E |
| yes |
| 05/2019 |
| Sep 26, 2014 |
| Jun 6, 2024 |
| C••••••• R••• | CHIEF OPERATING OFFICER | Na | no | 01/2022 | Jan 23, 2026 | Jan 23, 2026 |
| R•••••••• C••••••• B••••• | CHIEF COMPLIANCE OFFICER | Na | no | 08/2018 | Jan 23, 2026 | Jan 23, 2026 |
| no |
| Murfreesboro | Tn | United States | 5 | no |
| Guilford | Ct | United States | 4 | no |
| Melbourne | FL | United States | 4 | no |
| Chatanooga | Tn | United States | 4 | no |
| Nashville | Tn | United States | 4 | no |
| Tullahoma | Tn | United States | 4 | no |
| Sarasota | FL | United States | 3 | yes |
| CRYSTAL LAKE | IL | United States | 3 | no |
| Madison | Wi | United States | 3 | no |
| SAN JOSE | CA | United States | 2 | no |
| Wilmington | De | United States | 2 | no |
| FORT MYERS | FL | United States | 2 | no |
| Kennesaw | Ga | United States | 2 | no |
| Watkinsvilles | Ga | United States | 2 | no |
| CLEAR LAKE | Ia | United States | 2 | no |
| Humboldt | Ia | United States | 2 | no |
| Waretown | Nj | United States | 2 | no |
| Toledo | Oh | United States | 2 | no |
| Norman | Ok | United States | 2 | no |
| Weirton | Wv | United States | 2 | no |
| SAN DIEGO | CA | United States | 1 | no |
| SAN RAMON | CA | United States | 1 | no |
| Cheshire | Ct | United States | 1 | no |
| SOUTH WINDSOR | Ct | United States | 1 | no |
| BOCA RATON | FL | United States | 1 | no |
| Jan 23, 2026 |
| $4.2B |
| $3.9B |
| 134 |
| 134 |
| 99 |
| n/a |
| n/a |
| 2024 | Jan 28, 2025 | $3.5B | $3.3B | 111 | 111 | 84 | n/a | n/a |
| 2023 | Jan 29, 2024 | $2.7B | $2.4B | 95 | 95 | 68 | n/a | n/a |
| 2022 | Jan 19, 2023 | $1.9B | $1.7B | 70 | 70 | 68 | n/a | n/a |
| 2021 | Feb 11, 2022 | $1.7B | $1.6B | 69 | 62 | 63 | n/a | n/a |
| 2020 | Jan 20, 2021 | $1.3B | $1.2B | 69 | 62 | 59 | n/a | n/a |
| 2019 | Jan 17, 2020 | $1.2B | $1.1B | 54 | 54 | 31 | n/a | n/a |
| 2018 | Jan 22, 2019 | $707M | $655M | 43 | 43 | 31 | n/a | n/a |
| 2017 | Feb 8, 2018 | $449M | $408M | 39 | 39 | 28 | n/a | n/a |
| 2016 | Mar 16, 2017 | $218M | $202M | 34 | 33 | n/a | n/a | n/a |
| 2015 | Mar 18, 2016 | $102M | $97.6M | 14 | 12 | n/a | n/a | n/a |
| 2014 | Feb 19, 2015 | $25.5M | $22.1M | 7 | 5 | n/a | n/a | n/a |
| WARETOWN, NJ |
| Team lift out |
| RIA to RIA |
| 2.0% |
| M••••••••• W••••• A••••••• G•••• | 2 | Nov 4, 2020 | Nov 12, 2020 | TOPEKA, KS | Team lift out | Other | 4.2% |
| CHATTANOOGA, TN |
| Team lift out |
| RIA to RIA |
| 14.3% |
| W•• A•••••••• L• | 2 | Sep 22, 2017 | Jan 9, 2025 | CORDOVA, TN | Team lift out | Other | 100.0% |
| C• A••••••• S••••••• | 2 | Feb 20, 2017 | Jan 19, 2017 | W•••••••TON, MI | Team lift out | Other | 3.5% |
| S••••• W••••• P•••••••• L•• | 2 | Dec 23, 2016 | Dec 20, 2016 | ORLANDO, FL | Team lift out | Other | 15.4% |