AUM
Employee Count
Main Office
Discretion | AUM |
---|---|
Discretionary | $462.8 |
Non-Discretionary | $0.7 |
Total | $463.5 |
Client | AUM |
---|---|
Retail | $441.2 |
Pooled | $0.0 |
Institutional | $22.2 |
Total | $463.5 |
Retail | Accounts | AUM |
---|---|---|
Individual | 916,344 | $148.3 |
Average Individual AUM | $161,881 | |
HNW | 440,642 | $292.9 |
Average HNW AUM | $664,701 | |
Retail Total | 1,356,986 | $441.2 |
Average Retail AUM | $325,157 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
Custodian | Location | AUM |
---|
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Breakdown | AUM |
---|---|
Total SMA AUM | $463.5 |
Retail SMA AUM | $441.2 |
Institutional SMA AUM | $22.2 |
Asset Class | % | AUM |
---|---|---|
Equity Exch | 14% | $64.9 |
Equity Non-Exch | 0% | $0.0 |
Govt Agency | 1% | $4.6 |
Municipal | 0% | $0.0 |
Sovereign | 0% | $0.0 |
IG Credit | 0% | $0.0 |
HY Credit | 1% | $4.6 |
Derivatives | 0% | $0.0 |
Investment Companies | 77% | $356.9 |
Other Pools | 2% | $9.3 |
Cash | 4% | $18.5 |
Other | 1% | $4.6 |
Total | 100% | $463.5 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
Affiliates | AUM | Business Types | CRD Number |
---|---|---|---|
LPL INSURANCE ASSOCIATES, INC. | $0.0 | - | |
FIDUCIARY TRUST COMPANY OF NEW HAMPSHIRE | $0.0 | - | |
THE PRIVATE TRUST COMPANY, N.A. | $0.0 | - | |
LPL ENTERPRISE, LLC | $0.0 | broker-dealer | 8733 |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
15 active
Name | Title |
---|---|
ARNOLD, DAN HOGAN JR | PRESIDENT, CHIEF EXECUTIVE OFFICER AND DIRECTOR |
AUDETTE, MATTHEW JON | MANAGING DIRECTOR, CHIEF FINANCIAL OFFICER AND CHIEF ACCOUNTING OFFICER |
STEINMEIER, RICHARD C | MANAGING DIRECTOR AND DIVISIONAL PRESIDENT, BUSINESS DEVELOPMENT |
ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES |
RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER |
GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER |
SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER |
SETHI, KABIR | MANAGING DIRECTOR, CHIEF PRODUCT OFFICER |
JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP |
BROWN, ALTHEA ANN-MARIE | MANAGING DIRECTOR, CHIEF LEGAL OFFICER AND DIRECTOR |
MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER |
MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER |
DADYAR, LABKHAND SARA | MANAGING DIRECTOR, CHIEF HUMAN CAPITAL OFFICER |
ADVDB.CO • SOURCE: SEC
18,654 active representatives found, showing 20 random
Name | City | State | Exams | Designations | |||||
---|---|---|---|---|---|---|---|---|---|
ANDREW VILLAFRANCA | FORT MILL | SC | S66|2015-12-17 | CERTIFIED FINANCIAL PLANNER | |||||
ADOLFO SOTOMAYOR | FORT MILL | SC | S63|1998-04-04|S65|2001-06-29|S66|2016-02-06 | ||||||
TYLER CURTIS | FORT MILL | SC | S66|2009-06-11 | ||||||
JOSHUA MINKSTEIN | FORT MILL | SC | S63|2005-03-17|S65|2007-02-08 | ||||||
DEVIN TWEED | FORT MILL | SC | S66|2008-04-23 | ||||||
LISA MOSER | FORT MILL | SC | S66|2005-08-19 | ||||||
GREGORY TONNON | FORT MILL | SC | S63|1984-04-25 | CHARTERED FINANCIAL CONSULTANT | |||||
ARA FREEDMAN | FORT MILL | SC | S66|2012-04-06 | ||||||
JAMES PETTIGREW | FORT MILL | SC | S66|2009-06-24 | ||||||
PAUL LA BANC | FORT MILL | SC | S63|1995-10-05 | CERTIFIED FINANCIAL PLANNER | |||||
FRANCIS ASTORINO | FORT MILL | SC | S63|1990-11-15 | CERTIFIED FINANCIAL PLANNER | |||||
BROOKE DUCHANEY | FORT MILL | SC | S66|2015-03-23 | ||||||
JOANNE MANTEL | FORT MILL | SC | S65|1999-02-08|S63|2022-02-14 | ||||||
KAREN CLEVELAND | FORT MILL | SC | S63|2006-01-07|S65|2008-12-08 | ||||||
JEFFREY VANDIVER | FORT MILL | SC | S63|1993-09-10|S65|1999-10-12 | ||||||
PETER HOLLAND | FORT MILL | SC | S66|2015-01-08 | ||||||
JESSIE MOROTTO | FORT MILL | SC | S66|2018-03-11 | ||||||
THOMAS QUINN | FORT MILL | SC | S63|1992-10-01|S65|2009-10-02 | ||||||
MICHAEL SCOTT | FORT MILL | SC | S63|1998-03-13|S65|1999-04-30 | ||||||
JULIA EARLE | FORT MILL | SC | S63|1997-05-16|S65|2007-06-19 |
ADVDB.CO • SOURCE: SEC
Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
---|---|---|---|---|---|---|
2024-10-01 | $463.5 | $0.0 | 0% | 35,841 | 0 | 0% |
2024-04-02 | $463.5 | $0.0 | 0% | 35,841 | 0 | 0% |
2023-04-04 | $368.0 | $95.5 | 26% | 31,366 | 4,475 | 14% |
2022-04-01 | $404.2 | $59.3 | 15% | 28,744 | 7,097 | 25% |
2021-04-05 | $268.8 | $194.6 | 72% | 24,427 | 11,414 | 47% |
2020-04-01 | $207.8 | $255.7 | 123% | 23,035 | 12,806 | 56% |
2019-04-01 | $159.1 | $304.4 | 191% | 22,790 | 13,051 | 57% |
2018-04-02 | $152.5 | $310.9 | 204% | 22,703 | 13,138 | 58% |
2017-04-01 | $117.2 | $346.2 | 295% | 20,199 | 15,642 | 77% |
2016-04-01 | $112.1 | $351.4 | 313% | 20,529 | 15,312 | 75% |
2015-04-01 | $116.6 | $346.9 | 297% | 20,311 | 15,530 | 76% |
2014-04-01 | $109.7 | $353.8 | 323% | 19,916 | 15,925 | 80% |
2013-04-01 | $94.9 | $368.6 | 388% | 17,499 | 18,342 | 105% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
STATE REGISTRATIONS |
SC, AK-09/17/1991, AL-07/08/1991, AR-05/07/1991, AZ-02/07/1996, CA-07/08/1997, CO-01/01/1999, CT-07/10/1997, DC-12/19/1993, DE-08/04/2003, FL-08/28/1991, GA-04/05/1991, HI-09/26/1991, IA-01/01/1999, ID-07/08/1991, IL-04/12/1991, IN-02/06/2001, KS-07/28/1997, KY-04/03/1991, LA-10/10/2001, MA-04/14/1994, MD-04/12/1991, ME-05/18/1991, MI-01/19/2001, MN-04/19/1991, MO-03/12/1991, MS-10/04/1997, MT-10/30/1997, NC-01/19/2001, ND-05/01/1991, NE-07/31/1997, NH-02/15/1991, NJ-06/09/1994, NM-04/22/1991, NV-03/18/1991, NY-04/01/1991, OH-10/18/1999, OK-01/01/1998, OR-04/07/2003, PA-11/06/1980, PR-04/04/2001, RI-01/01/1993, SC-07/03/1991, SD-04/24/1991, TN-04/15/1998, TX-04/30/1983, UT-02/14/1991, VA-04/08/1991, VI-04/11/2008, VT-11/30/1994, WA-07/05/1991, WI-01/08/1992, WV-03/15/1991, WY-07/17/2017 |
ADVISER ACTIVITIES |
FINANCIAL PLANNING PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (SMB) PENSION CONSULTING MANAGER SELECTION EDUCATIONAL WORKSHOPS |
OTHER ACTIVITIES |
BROKER DEALER REP BROKER DEALER INSURANCE AGENT |
ADVDB.CO • SOURCE: SEC FORM ADV