Company profile
Website
Employees
Incorporated
Fiscal year end
SEC CIK
IRS number
940993720
SEC advisor number
801-126111
FINRA CRD number
908
AUM ?
$125.91 mm
(as of 18 Jul 22)
Accounts
132
(as of 18 Jul 22)
Employees
9
(3 investment advisory or research)
Office hours
Monday - Friday, 9-4
Brochures
Ownership
Owner | Title | From | %Ownership |
---|---|---|---|
Charles, Christopher Donald | President, CCO Chief Compliance Officer | 07/2002 | > 75% |
Steinkamp, Dennis Henry | Senior Vice President | 08/2000 | 5-10% |
Tu, Kim B | Cfo/poo for Regulatory Purposes Only | 10/2019 | < 5% |
Latest filings (excl ownership)
MA-A
Municipal Advisor registration (firm) (update)
18 Apr 24
MA-A
Municipal Advisor registration (firm) (update)
18 Apr 24
MA-A
Municipal Advisor registration (firm) (update)
30 Jan 24
MA-A
Municipal Advisor registration (firm) (update)
11 Jan 23
MA/A
Municipal Advisor registration (firm) (amended)
13 Sep 22
MA/A
Municipal Advisor registration (firm) (amended)
13 Sep 22
MA/A
Municipal Advisor registration (firm) (amended)
13 Sep 22
MA-I
Municipal Advisor registration (individual)
26 Aug 22
MA-I/A
Municipal Advisor registration (individual) (amended)
22 Jun 22
MA-A
Municipal Advisor registration (firm) (update)
20 Jan 22
Latest ownership filings
13F-HR
Quarterly holdings report by institutional manager
12 Feb 24
13F-HR
Quarterly holdings report by institutional manager
8 Nov 23
13F-HR
Quarterly holdings report by institutional manager
9 Aug 23
13F-HR
Quarterly holdings report by institutional manager
8 May 23
13F-HR
Quarterly holdings report by institutional manager
7 Feb 23
13F-HR
Quarterly holdings report by institutional manager
3 Nov 22
13F-HR
Quarterly holdings report by institutional manager
26 Jul 22
13F-HR
Quarterly holdings report by institutional manager
10 May 22
13F-HR
Quarterly holdings report by institutional manager
14 Feb 22