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CRD 114114
BERWYN, PA
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 |
|---|---|---|---|---|---|---|
| BRUNDAGE, JUSTIN, KEYES | CHIEF OPERATIONS OFFICER | B | yes | 12/2007 | Mar 22, 2012 | Apr 28, 2017 |
| KEYES, LAURIE | SHAREHOLDER,TREASURER,SECRETARY,CFO | D | yes | 02/2002 | Mar 22, 2012 | Apr 28, 2017 |
| KING, JEFFRY, HOWARD | CEO, SHAREHOLDER,CHAIRMAN,DIRECTOR, | D | yes | 05/2001 | Mar 22, 2012 | Apr 28, 2017 |
| RICHARDS, TIMOTHY, EDWARD | CHIEF COMPLIANCE OFFICER | Na | yes | 03/2004 | Mar 22, 2012 | Apr 28, 2017 |
| KIRCHNER, THOMAS, FELIX | PORTFOLIO MANAGER | B | no | 07/2010 | Mar 29, 2016 | Apr 28, 2017 |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2016 | Mar 30, 2017 | $154M | $154M | 6 | 2 | n/a | n/a | n/a |
| 2015 | Mar 29, 2016 | $215M | $215M | 10 | 3 | n/a | n/a | n/a |
| 2014 | Feb 24, 2015 | $334M | $334M | 12 | 3 | n/a | n/a | n/a |
| 2013 | Mar 26, 2014 | $325M | $325M | 12 | 3 | n/a | n/a | n/a |
| 2012 | Apr 1, 2013 | $263M | $263M | 12 | 3 | n/a | n/a | n/a |
| 2011 | Mar 22, 2012 | $339M | $339M | n/a | n/a | n/a | n/a | n/a |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2016 | $154M | $215M | -28.7% | $325M | -22.1% | 6 | 10 | n/a | n/a |