Company profile
Website
Employees
Incorporated
Fiscal year end
SEC CIK
IRS number
203587254
SEC advisor number
801-69884
FINRA CRD number
137481
AUM ?
$1.38 bn
(as of 21 Jun 23)
Accounts
3,581
(as of 21 Jun 23)
Employees
38
(37 investment advisory or research)
Office hours
Monday - Friday, 9:00AM - 5:00PM
Ownership
Owner | Title | From | %Ownership |
---|---|---|---|
Augenblick, John, Robert | Member | 12/2008 | 50-75% |
Kelly, Mark, Theodore | Member | 01/2016 | 10-25% |
Feldbaum, Samuel, Whitaker | Member | 01/2018 | 10-25% |
Lottier, Megan, Jane | Chief Compliance Officer | 01/2018 | < 5% |
Bauer, Kenny, Brian | Member | 07/2020 | 5-10% |
Stephenson, Robert, Thomas | Member | 01/2023 | < 5% |
Gilbert, Alaina, Masler | Member | 01/2023 | < 5% |
Latest filings (excl ownership)
Latest ownership filings
13F-HR
Quarterly holdings report by institutional manager
21 Jan 25
13F-HR
Quarterly holdings report by institutional manager
16 Oct 24
13F-HR
Quarterly holdings report by institutional manager
26 Jul 24
13F-HR
Quarterly holdings report by institutional manager
22 Apr 24
13F-HR
Quarterly holdings report by institutional manager
17 Jan 24
13F-HR
Quarterly holdings report by institutional manager
10 Oct 23
13F-HR
Quarterly holdings report by institutional manager
20 Jul 23
13F-HR
Quarterly holdings report by institutional manager
20 Jul 23
13F-HR
Quarterly holdings report by institutional manager
20 Jul 23
13F-HR
Quarterly holdings report by institutional manager
20 Jul 23