AUM
Employee Count
Main Office
Discretion | AUM |
---|---|
Discretionary | $1.7 |
Non-Discretionary | $0.0 |
Total | $1.7 |
Client | AUM |
---|---|
Retail | $1.5 |
Pooled | $0.0 |
Institutional | $0.2 |
Total | $1.7 |
Retail | Accounts | AUM |
---|---|---|
Individual | 327 | $0.2 |
Average Individual AUM | $471,254 | |
HNW | 416 | $1.4 |
Average HNW AUM | $3,311,298 | |
Retail Total | 743 | $1.5 |
Average Retail AUM | $2,061,373 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
Custodian | Location | AUM |
---|---|---|
PERSHING LLC | JERSEY CITY-NJ-USA | $1.1 |
CHARLES SCHWAB & CO., INC. | SAN FRANCISCO-CA-USA | $0.2 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Breakdown | AUM |
---|---|
Total SMA AUM | $1.7 |
Retail SMA AUM | $1.5 |
Institutional SMA AUM | $0.2 |
Asset Class | % | AUM |
---|---|---|
Equity Exch | 79% | $1.4 |
Equity Non-Exch | 0% | $0.0 |
Govt Agency | 5% | $0.1 |
Municipal | 1% | $0.0 |
Sovereign | 0% | $0.0 |
IG Credit | 2% | $0.0 |
HY Credit | 1% | $0.0 |
Derivatives | 0% | $0.0 |
Investment Companies | 2% | $0.0 |
Other Pools | 1% | $0.0 |
Cash | 9% | $0.2 |
Other | 0% | $0.0 |
Total | 100% | $1.7 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
Affiliates | AUM | Business Types | CRD Number |
---|---|---|---|
ONCOREV, LLC | $0.0 | - | |
SPECTRUM VALUE PARTNERS, LLC | $0.0 | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
13 active representatives found
Name | City | State | Exams | Designations | |||||
---|---|---|---|---|---|---|---|---|---|
KIRSTIN MOBYED | STAMFORD | CT | S63|1995-02-15|S65|2007-09-05 | ||||||
JEB ARMSTRONG | STAMFORD | CT | S63|2006-08-31|S65|2014-08-13 | ||||||
MATTHEW SEXTON | STAMFORD | CT | S63|2004-11-13|S66|2013-12-26 | CERTIFIED FINANCIAL PLANNER | |||||
JOSEPH RIZZO | STAMFORD | CT | S63|1996-11-01 | ||||||
JAMES TALIAFERRO | STAMFORD | CT | |||||||
HENRIK BRUN | STAMFORD | CT | S63|1997-01-16|S66|2001-07-02 | ||||||
STEVEN SHAW | STAMFORD | CT | S63|1984-08-21|S65|2011-05-23 | ||||||
ALEXANDER RUSSELL | STAMFORD | CT | S65|2023-07-17 | ||||||
JACQUES CATTIER | STAMFORD | CT | |||||||
DONALD ROGER LIDDELL | STAMFORD | CT | S63|1981-07-10 | ||||||
MICHAEL SCHOLTEN | STAMFORD | CT | S63|1994-08-16|S66|2005-09-27 | CHARTERED FINANCIAL ANALYST | |||||
AARON KENNON | STAMFORD | CT | S63|2000-07-26 | ||||||
IAN ARMSTRONG | STAMFORD | CT | S63|2005-09-22|S65|2004-07-06 |
ADVDB.CO • SOURCE: SEC
Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
---|---|---|---|---|---|---|
2025-06-02 | $1.7 | $0.0 | 0% | 26 | 0 | 0% |
2025-04-21 | $1.7 | $0.0 | 0% | 26 | 0 | 0% |
2024-04-02 | $1.5 | $0.3 | 19% | 19 | 7 | 37% |
2023-04-04 | $1.0 | $0.7 | 67% | 20 | 6 | 30% |
2022-04-01 | $1.2 | $0.6 | 48% | 22 | 4 | 18% |
2021-04-05 | $0.9 | $0.8 | 89% | 18 | 8 | 44% |
2020-04-01 | $0.8 | $1.0 | 120% | 17 | 9 | 53% |
2019-04-01 | $0.6 | $1.1 | 171% | 15 | 11 | 73% |
2018-04-02 | $0.7 | $1.0 | 135% | 15 | 11 | 73% |
2017-04-01 | $0.7 | $1.1 | 167% | 15 | 11 | 73% |
2016-04-01 | $0.6 | $1.1 | 188% | 13 | 13 | 100% |
2015-04-01 | $0.7 | $1.1 | 167% | 13 | 13 | 100% |
2014-04-01 | $0.5 | $1.2 | 253% | 10 | 16 | 160% |
2013-04-01 | $0.4 | $1.3 | 310% | 11 | 15 | 136% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
STATE REGISTRATIONS |
CT, AK-03/29/2010, AZ-12/11/2024, CA-06/10/2010, CO-03/30/2022, CT-01/06/2010, FL-06/11/2010, IL-08/17/2010, LA-03/27/2025, MA-01/06/2010, MD-06/22/2010, ME-03/11/2013, NC-03/27/2025, NH-09/24/2013, NJ-04/05/2010, NY-01/06/2010, PA-06/10/2010, RI-03/27/2025, TN-12/11/2024, TX-02/16/2010, VA-06/10/2010, WA-12/07/2018 |
ADVISER ACTIVITIES |
FINANCIAL PLANNING PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (POOLS) PORTFOLIO MANAGEMENT (SMB) MANAGER SELECTION |
OTHER ACTIVITIES |
ADVDB.CO • SOURCE: SEC FORM ADV