AUM
Employee Count
Main Office
| Discretion | AUM |
|---|---|
| Discretionary | $0.6 |
| Non-Discretionary | $0.0 |
| Total | $0.6 |
| Client | AUM |
|---|---|
| Retail | $0.6 |
| Pooled | $0.0 |
| Institutional | $0.0 |
| Total | $0.6 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 7 | $0.0 |
| Average Individual AUM | $322,890 | |
| HNW | 113 | $0.6 |
| Average HNW AUM | $5,682,745 | |
| Retail Total | 120 | $0.6 |
| Average Retail AUM | $5,370,087 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
| Custodian | Location | AUM |
|---|---|---|
| PERSHING LLC | JERSEY CITY-NJ-USA | $0.4 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $0.6 |
| Retail SMA AUM | $0.6 |
| Institutional SMA AUM | $0.0 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 61% | $0.4 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 20% | $0.1 |
| Municipal | 15% | $0.1 |
| Sovereign | 0% | $0.0 |
| IG Credit | 0% | $0.0 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 3% | $0.0 |
| Other Pools | 0% | $0.0 |
| Cash | 1% | $0.0 |
| Other | 0% | $0.0 |
| Total | 100% | $0.6 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
| No control persons found |
ADVDB.CO • SOURCE: SEC
6 active representatives found
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| ROBERT SEARLE | GREENWICH | CT | S66|2002-10-20 | ||||||
| RICHARD BELL | GREENWICH | CT | S63|1986-03-18|S65|2000-05-25 | ||||||
| GRANT KUPHALL | GREENWICH | CT | S63|1980-08-08|S65|2001-02-09 | ||||||
| BOB SUNNESS | GREENWICH | CT | S63|1980-08-08|S65|2007-03-29 | ||||||
| JOHN EBERLY | GREENWICH | CT | S63|1988-12-02 | CHARTERED FINANCIAL ANALYST | |||||
| VIRGINIA GRAY | GREENWICH | CT | S66|2003-02-26 | ||||||
ADVDB.CO • SOURCE: SEC
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-06-02 | $0.6 | $0.0 | 0% | 11 | 0 | 0% |
| 2025-04-21 | $0.6 | $0.0 | 0% | 11 | 0 | 0% |
| 2024-04-02 | $0.4 | $0.3 | 63% | 12 | -1 | -8% |
| 2023-04-04 | $0.4 | $0.2 | 61% | 12 | -1 | -8% |
| 2022-04-01 | $0.4 | $0.3 | 79% | 12 | -1 | -8% |
| 2021-04-05 | $0.3 | $0.3 | 112% | 12 | -1 | -8% |
| 2020-04-01 | $0.3 | $0.4 | 135% | 12 | -1 | -8% |
| 2019-04-01 | $0.3 | $0.3 | 92% | 8 | 3 | 38% |
| 2018-04-02 | $0.3 | $0.3 | 112% | 12 | -1 | -8% |
| 2017-04-01 | $0.3 | $0.4 | 135% | 10 | 1 | 10% |
| 2016-04-01 | $0.3 | $0.4 | 140% | 13 | -2 | -15% |
| 2015-04-01 | $0.3 | $0.3 | 112% | 14 | -3 | -21% |
| 2014-04-01 | $0.2 | $0.4 | 163% | 14 | -3 | -21% |
| 2013-04-01 | $0.2 | $0.4 | 225% | 14 | -3 | -21% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
| STATE REGISTRATIONS |
| CT, CA-06/04/2021, CT-11/30/2007, FL-10/12/2016, IL-06/04/2021, NJ-10/25/2016, NY-11/05/2013, TX-10/28/2024 |
| ADVISER ACTIVITIES |
|
PORTFOLIO MANAGEMENT |
| OTHER ACTIVITIES |
|
BROKER DEALER |
ADVDB.CO • SOURCE: SEC FORM ADV