Back to top

Overview

Articles

Insights

There are no insights from this firm to display at this time.

Holdings

Assets

Assets

Last updated on March 15, 2017
    • $1.0B
      Total Assets Under Management
    • N/A
      Total Assets Under Advisement
    • 956
      Accounts
    • $1.1M
      Estimated Average Account Balance

Services

Firm Services

There is no Services data available to display at this time.

Firm Client types

Advisors

Current Advisors

# of advisors

6

name start date
Roy Michael Cain
March 2004
Gregory Michael Herman
March 2004
Robert Andrew Jordan
March 2004
Andrew St. John Reid
March 2015
Derek Christopher Bland
January 2009

    Affiliated Investment Advisors and Broker Dealers

    Name Type Total Assets
    Certified Public Accountants -- --

      Leadership

      Ownership

      There is no ownership data available to display at this time.

      Executives and Control Persons

      Name Title Tenure Date % Ownership
      Gregory Michael Herman President, Director September, 2000 10% to 25%
      Roy Michael Cain Treasurer, Director January, 1998 less than 5%
      David Kenneth Morgan Secretary, Director January, 1998 less than 5%
      Robert Andrew Jordan Operations Mgr./Chief Compliance Officer October, 2004 less than 5%
      Derek Christopher Bland Investment Adviser December, 2014 less than 5%
        Source: SEC

        Fees

        Types of Compensation Arrangements

        • Percentage Of Assets