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Overview

Articles

Insights

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

Assets

Assets

Last updated on July 30, 2017
    • $1.7B
      Total Assets Under Management
    • N/A
      Total Assets Under Advisement
    • 2K
      Accounts
    • $987.7K
      Estimated Average Account Balance

Services

Firm Services

  • Portfolio Management
    • -Individuals and/or Small Businesses
    • -Investment Companies
    • -Businesses or Institutional Clients
    • -Other Portfolio Management

Firm Client types

Advisors

Current Advisors

# of advisors

10

name start date
Pan Yen Lin
March 2016
Stephen Armfield Curley
July 2008
Gregory J Mendoza
June 2013
Lance Clarke Lemons
February 2007
Vivien Johnson
July 2019

    Leadership

    Ownership

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

    Executives and Control Persons

    Name Title Tenure Date % Ownership
    Lance Clarke Lemons President May, 2006 75% or more
    Stephen Armfield Curley Chief Investment Officer / Principal February, 2010 5% to 10%
    Scott Joseph Macaione Head Of Advisory Services / Principal May, 2011 5% to 10%
    Gregory Joseph Mendoza Chief Compliance Officer/Manager Of Operations March, 2016 less than 5%
      Source: SEC

      Fees

      Types of Compensation Arrangements

      • Percentage Of Assets
      • Fixed Fees
      • Performance-Based Fees