AUM
Employee Count
Main Office
Discretion | AUM |
---|---|
Discretionary | $1.7 |
Non-Discretionary | $0.0 |
Total | $1.7 |
Client | AUM |
---|---|
Retail | $1.6 |
Pooled | $0.0 |
Institutional | $0.1 |
Total | $1.7 |
Retail | Accounts | AUM |
---|---|---|
Individual | 631 | $0.3 |
Average Individual AUM | $466,947 | |
HNW | 446 | $1.3 |
Average HNW AUM | $2,862,118 | |
Retail Total | 1,077 | $1.6 |
Average Retail AUM | $1,458,819 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
Custodian | Location | AUM |
---|---|---|
CHARLES SCHWAB & CO., INC. | ORLANDO-FL-USA | $0.8 |
NATIONAL FINANCIAL SERVICES LLC | SMITHFIELD-RI-USA | $0.7 |
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 | $1.6 |
Institutional SMA AUM | $0.1 |
Asset Class | % | AUM |
---|---|---|
Equity Exch | 60% | $1.0 |
Equity Non-Exch | 0% | $0.0 |
Govt Agency | 9% | $0.2 |
Municipal | 9% | $0.2 |
Sovereign | 0% | $0.0 |
IG Credit | 16% | $0.3 |
HY Credit | 1% | $0.0 |
Derivatives | 0% | $0.0 |
Investment Companies | 0% | $0.0 |
Other Pools | 0% | $0.0 |
Cash | 6% | $0.1 |
Other | 0% | $0.0 |
Total | 101% | $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 |
---|---|---|---|
ANDREA M. GRAY | $0.0 | law firm | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
5 active
Name | Title |
---|---|
CAIRNS, CRAIG, DOUGLAS | PRESIDENT, CEO |
RYAN, CASEY, D. | VICE PRESIDENT |
SISSON, MARY, LISA | VICE PRESIDENT |
LAMBERT, EMILY, THERESE | CHIEF COMPLIANCE OFFICER, VP OPERATIONS |
LESTER, BRIAN, WILLIAM | CHIEF INVESTMENT OFFICER |
ADVDB.CO • SOURCE: SEC
10 active representatives found
Name | City | State | Exams | Designations | |||||
---|---|---|---|---|---|---|---|---|---|
CRAIG CAIRNS | ROCHESTER | NY | S63|1997-01-06|S65|1997-09-23 | ||||||
DYLAN POTTER | ROCHESTER | NY | CERTIFIED FINANCIAL PLANNER | ||||||
RYAN TOMKO | ROCHESTER | NY | S63|2011-06-28 | CERTIFIED FINANCIAL PLANNER | |||||
SARAH SWAN | ROCHESTER | NY | S65|2021-06-10 | ||||||
ELIZABETH PERRY | ROCHESTER | NY | CERTIFIED FINANCIAL PLANNER | ||||||
GREGORY FARRELL | ROCHESTER | NY | S66|2005-04-29 | ||||||
ERIC UDVARI | ROCHESTER | NY | S66|2015-06-18 | CERTIFIED FINANCIAL PLANNER | |||||
MARY PAOLETTI | ROCHESTER | NY | CERTIFIED FINANCIAL PLANNER | ||||||
CASEY RYAN | ROCHESTER | NY | S63|1994-03-18 | ||||||
MICHAEL CARRICO | ROCHESTER | NY | S63|2016-04-28|S66|2017-11-20 | CERTIFIED FINANCIAL PLANNER |
ADVDB.CO • SOURCE: SEC
Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
---|---|---|---|---|---|---|
2024-10-01 | $1.7 | $0.0 | 0% | 23 | 0 | 0% |
2024-04-02 | $1.7 | $0.0 | 0% | 23 | 0 | 0% |
2023-04-04 | $1.5 | $0.2 | 15% | 24 | -1 | -4% |
2022-04-01 | $1.5 | $0.2 | 14% | 21 | 2 | 10% |
2021-04-05 | $1.4 | $0.3 | 21% | 18 | 5 | 28% |
2020-04-01 | $1.3 | $0.3 | 25% | 18 | 5 | 28% |
2019-04-01 | $1.2 | $0.5 | 42% | 19 | 4 | 21% |
2018-04-02 | $1.1 | $0.5 | 46% | 18 | 5 | 28% |
2017-04-01 | $0.9 | $0.7 | 77% | 16 | 7 | 44% |
2016-04-01 | $0.9 | $0.8 | 93% | 16 | 7 | 44% |
2015-04-01 | $0.8 | $0.9 | 106% | 16 | 7 | 44% |
2014-04-01 | $0.8 | $0.9 | 110% | 16 | 7 | 44% |
2013-04-01 | $0.7 | $1.0 | 134% | 15 | 8 | 53% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
STATE REGISTRATIONS |
NY, AZ-08/01/1994, CA-06/09/1992, CO-06/16/2008, CT-07/07/1997, FL-09/12/1988, GA-11/20/2018, HI-04/29/2024, ID-09/27/2021, IL-11/20/2015, KY-03/31/2006, LA-11/20/2018, MA-04/15/1994, MD-03/19/2018, ME-03/31/2006, MI-02/10/2016, NC-12/05/2000, NH-10/23/2000, NJ-05/16/1996, NY-01/17/1992, OH-03/23/2015, PA-03/05/1993, SC-03/23/2015, TN-01/01/1998, TX-02/14/1996, VA-02/14/1996, VT-04/19/1996, WA-10/12/1998 |
ADVISER ACTIVITIES |
FINANCIAL PLANNING PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (SMB) MANAGER SELECTION NEWSLETTERS |
OTHER ACTIVITIES |
ADVDB.CO • SOURCE: SEC FORM ADV