AUM
Employee Count
Main Office
Discretion | AUM |
---|---|
Discretionary | $3.1 |
Non-Discretionary | $0.0 |
Total | $3.1 |
Client | AUM |
---|---|
Retail | $3.1 |
Pooled | $0.0 |
Institutional | $0.0 |
Total | $3.1 |
Retail | Accounts | AUM |
---|---|---|
Individual | 32,605 | $2.8 |
Average Individual AUM | $84,435 | |
HNW | 1,216 | $0.3 |
Average HNW AUM | $259,266 | |
Retail Total | 33,821 | $3.1 |
Average Retail AUM | $90,721 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
Custodian | Location | AUM |
---|---|---|
FIDELITY BROKERAGE SERVICES LLC | SMITHFIELD-RI-USA | $1.5 |
PERSHING LLC | JERSEY CITY-NJ-USA | $0.3 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Breakdown | AUM |
---|---|
Total SMA AUM | $3.1 |
Retail SMA AUM | $3.1 |
Institutional SMA AUM | $0.0 |
Asset Class | % | AUM |
---|---|---|
Equity Exch | 1% | $0.0 |
Equity Non-Exch | 0% | $0.0 |
Govt Agency | 1% | $0.0 |
Municipal | 0% | $0.0 |
Sovereign | 0% | $0.0 |
IG Credit | 1% | $0.0 |
HY Credit | 0% | $0.0 |
Derivatives | 0% | $0.0 |
Investment Companies | 95% | $2.9 |
Other Pools | 0% | $0.0 |
Cash | 1% | $0.0 |
Other | 1% | $0.0 |
Total | 100% | $3.1 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
Affiliates | AUM | Business Types | CRD Number |
---|---|---|---|
MONEY CONCEPTS CAPITAL CORP | $2.9 | broker-dealer | 12963 |
WIN ADVISORS, INC | $0.2 | 300351 | |
GWN MARKETING, INC. | $0.0 | - | |
ABACUS INVESTMENTS, INC. | $0.0 | broker-dealer | 35127 |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
7 active
Name | Title |
---|---|
WALSH, DENIS STEPHEN | CEO/EXEC DIRECTOR/ MUNICIPAL PRINCIPAL, PRESIDENT |
WALSH, MARY THERESE | SECRETARY |
BORNHEIMER, LAURA JEANETTE | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER/ROSFP |
CORBIN, BRAD JEFFREY | SENIOR VICE PRESIDENT OF BUSINESS DEVELOPMENT AND MARKETING |
RITTMAN, BARRY RICHARD | CFO FINOP VP |
ADVDB.CO • SOURCE: SEC
433 active representatives found, showing 20 random
Name | City | State | Exams | Designations | |||||
---|---|---|---|---|---|---|---|---|---|
LAURIE ALLEN | PALM BEACH GARDENS | FL | S66|2008-04-14 | CERTIFIED FINANCIAL PLANNER | |||||
MILES BRESEE | PALM BEACH GARDENS | FL | S63|2006-05-24|S65|2021-07-06 | ||||||
JAMES GATES | PALM BEACH GARDENS | FL | S65|2020-09-17|S63|2021-08-26 | ||||||
MARK SCHINDLER | PALM BEACH GARDENS | FL | S63|1986-07-14|S65|1997-09-02 | CERTIFIED FINANCIAL PLANNER | |||||
DAVID DONOVAN | PALM BEACH GARDENS | FL | S63|2006-01-27|S65|2007-02-07 | ||||||
CHARLES LOCHER | PALM BEACH GARDENS | FL | S63|1986-02-14|S66|2008-01-25 | ||||||
DAVID SCHWENDTNER | PALM BEACH GARDENS | FL | S63|2013-10-01|S65|2014-01-29 | ||||||
ODOLL WILLIAMS | PALM BEACH GARDENS | FL | S63|1997-12-29|S65|1999-12-23 | ||||||
ALAN MENDLOWITZ | PALM BEACH GARDENS | FL | S63|2012-11-05|S66|2015-01-20 | ||||||
LARRY PHAM | PALM BEACH GARDENS | FL | S63|2015-04-23|S65|2021-04-30 | CHARTERED FINANCIAL CONSULTANT | |||||
THOMAS KOPSIE | PALM BEACH GARDENS | FL | S63|1994-08-01|S66|2007-01-05 | CHARTERED FINANCIAL CONSULTANT | |||||
PAUL CARNAHAN | PALM BEACH GARDENS | FL | S66|2008-10-24 | ||||||
VINCENT BATYR | PALM BEACH GARDENS | FL | S63|1993-06-21|S65|2017-12-15 | ||||||
NANCY WILKINS | PALM BEACH GARDENS | FL | S63|2002-04-29|S65|2022-05-13 | ||||||
GREGORY CLEARE | PALM BEACH GARDENS | FL | S63|2004-06-30|S65|2006-02-25 | ||||||
CRAIG HANCOCK | PALM BEACH GARDENS | FL | S63|1987-08-05 | CERTIFIED FINANCIAL PLANNER | |||||
KAREN HO | PALM BEACH GARDENS | FL | S63|2000-10-13|S65|2002-12-12 | CERTIFIED FINANCIAL PLANNER | |||||
JOHN BANNAN | PALM BEACH GARDENS | FL | S63|1994-01-28|S65|2016-05-05 | ||||||
JEFFREY KENYON | PALM BEACH GARDENS | FL | S63|2003-07-15|S65|2007-09-27 | ||||||
GLENN MAYO | PALM BEACH GARDENS | FL | S63|1994-10-19|S65|2006-06-22 |
ADVDB.CO • SOURCE: SEC
Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
---|---|---|---|---|---|---|
2024-10-01 | $3.1 | $0.0 | 0% | 755 | 0 | 0% |
2024-04-02 | $3.1 | $0.0 | 0% | 755 | 0 | 0% |
2023-04-04 | $2.8 | $0.2 | 8% | 755 | 0 | 0% |
2022-04-01 | $3.1 | -$0.1 | -2% | 759 | -4 | -1% |
2021-04-05 | $2.7 | $0.4 | 15% | 650 | 105 | 16% |
2020-04-01 | $2.3 | $0.8 | 35% | 650 | 105 | 16% |
2019-04-01 | $2.0 | $1.0 | 52% | 675 | 80 | 12% |
2018-04-02 | $1.8 | $1.3 | 68% | 650 | 105 | 16% |
2017-04-01 | $1.5 | $1.5 | 101% | 200 | 555 | 278% |
2016-04-01 | $1.4 | $1.7 | 122% | 200 | 555 | 278% |
2015-04-01 | $1.2 | $1.8 | 148% | 200 | 555 | 278% |
2014-04-01 | $0.8 | $2.2 | 268% | 200 | 555 | 278% |
2013-04-01 | $0.8 | $2.3 | 309% | 200 | 555 | 278% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
STATE REGISTRATIONS |
FL, AK-01/11/2010, AL-04/11/2007, AR-04/13/2007, AZ-04/23/2004, CA-03/16/2004, CO-08/13/2008, CT-01/11/2010, DC-01/11/2010, DE-03/16/2004, FL-01/07/2004, GA-03/16/2004, HI-03/01/2007, IA-03/22/2004, ID-11/02/2005, IL-08/13/2004, IN-04/11/2007, KS-01/11/2010, KY-05/25/2004, LA-04/10/2007, MA-01/11/2010, MD-03/16/2004, ME-01/11/2010, MI-03/16/2004, MN-01/11/2010, MO-04/23/2004, MS-01/11/2010, MT-01/11/2010, NC-04/23/2004, ND-01/11/2010, NE-05/02/2008, NH-01/11/2010, NJ-02/03/2004, NM-01/11/2010, NV-03/16/2004, NY-03/16/2004, OH-04/23/2004, OK-04/11/2007, OR-01/11/2010, PA-01/28/2004, RI-01/11/2010, SC-04/11/2007, SD-03/17/2004, TN-04/30/2004, TX-01/14/2005, UT-01/11/2010, VA-03/16/2004, VI-01/11/2010, VT-01/11/2010, WA-09/18/2009, WI-01/14/2005, WV-01/11/2010, WY-07/18/2017 |
ADVISER ACTIVITIES |
FINANCIAL PLANNING PORTFOLIO MANAGEMENT MANAGER SELECTION MARKET TIMING |
OTHER ACTIVITIES |
BROKER DEALER |
ADVDB.CO • SOURCE: SEC FORM ADV