AUM
Employee Count
Main Office
Discretion | AUM |
---|---|
Discretionary | $1.7 |
Non-Discretionary | $1.2 |
Total | $2.9 |
Client | AUM |
---|---|
Retail | $2.9 |
Pooled | $0.0 |
Institutional | $0.0 |
Total | $2.9 |
Retail | Accounts | AUM |
---|---|---|
Individual | 13,834 | $2.2 |
Average Individual AUM | $161,181 | |
HNW | 366 | $0.6 |
Average HNW AUM | $1,705,942 | |
Retail Total | 14,200 | $2.9 |
Average Retail AUM | $200,997 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
Custodian | Location | AUM |
---|---|---|
PERSHING LLC | JERSEY CITY-NJ-USA | $2.9 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Breakdown | AUM |
---|---|
Total SMA AUM | $2.9 |
Retail SMA AUM | $2.9 |
Institutional SMA AUM | $0.0 |
Asset Class | % | AUM |
---|---|---|
Equity Exch | 0% | $0.0 |
Equity Non-Exch | 0% | $0.0 |
Govt Agency | 0% | $0.0 |
Municipal | 0% | $0.0 |
Sovereign | 0% | $0.0 |
IG Credit | 0% | $0.0 |
HY Credit | 0% | $0.0 |
Derivatives | 0% | $0.0 |
Investment Companies | 0% | $0.0 |
Other Pools | 0% | $0.0 |
Cash | 0% | $0.0 |
Other | 0% | $0.0 |
Total | 0% | $0.0 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
Affiliates | AUM | Business Types | CRD Number |
---|---|---|---|
GWN SECURITIES INC. | $3.1 | broker-dealer | 128929 |
WIN ADVISORS, INC | $0.2 | 300351 | |
MONEY CONCEPTS INTERNATIONAL | $0.0 | - | |
ABACUS INVESTMENTS, INC. | $0.0 | broker-dealer | 35127 |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
10 active
Name | Title |
---|---|
WALSH, DENIS STEPHEN | PRESIDENT | CHIEF EXECUTIVE OFFICER |
WALSH, MARY THERESE | SR VICE PRESIDENT | CHIEF COMPLIANCE OFFICER |
BARNETT, CHERYL MORRIS | VICE PRESIDENT | COMPLIANCE OFFICER |
PERLOW, LIZA MARIA | VICE PRESIDENT | COMPLIANCE OFFICER |
RITTMAN, BARRY RICHARD | VICE PRESIDENT | CHIEF FINANCIAL OFFICER |
WALSH, JAMES EDWARD | VICE PRESIDENT | ADVERTISING AND COMMUNICATIONS |
PORTER, WILLIAM ALLEN | VICE PRESIDENT | MARKETING AND BUSINESS DEVELOPMENT |
PARKER, KENNY RAY | SENIOR VICE PRESIDENT OF FINANCIAL INSTITUTIONS |
ADVDB.CO • SOURCE: SEC
409 active representatives found, showing 20 random
Name | City | State | Exams | Designations | |||||
---|---|---|---|---|---|---|---|---|---|
JEFFREY FINE | PALM BEACH GARDENS | FL | S63|2002-10-25|S65|2008-10-08 | ||||||
BARBARA GLOVER | PALM BEACH GARDENS | FL | S63|1988-08-05 | CHARTERED FINANCIAL CONSULTANT | |||||
KALE GENTRY | PALM BEACH GARDENS | FL | S66|2017-12-08 | ||||||
ROBERT BERGER | PALM BEACH GARDENS | FL | S63|1987-01-28|S65|1999-12-16 | CHARTERED FINANCIAL CONSULTANT | |||||
STEVE MOORE | PALM BEACH GARDENS | FL | S63|1987-01-06|S66|2005-02-21 | ||||||
PATRICK DODDS | PALM BEACH GARDENS | FL | |||||||
MICHAEL LANTZ | PALM BEACH GARDENS | FL | S65|2023-05-19|S63|2023-10-07 | ||||||
JOSEPH MARKER | PALM BEACH GARDENS | FL | S65|2024-01-05 | ||||||
HOLLY FRANCESCONE | PALM BEACH GARDENS | FL | S66|2020-12-11|S63|2020-11-02 | ||||||
MATTHEW APODACA | PALM BEACH GARDENS | FL | S66|2009-10-16 | ||||||
MARK FRAZIER | PALM BEACH GARDENS | FL | S63|2006-12-28 | ||||||
TYLER DAVIS | PALM BEACH GARDENS | FL | S65|2023-09-05 | ||||||
RODGER MCALISTER | PALM BEACH GARDENS | FL | S63|1997-08-16|S65|2007-03-10 | ||||||
MICHAEL DAVIS | PALM BEACH GARDENS | FL | S63|1995-12-15|S65|1999-12-18 | ||||||
PAUL KINGSLAND | PALM BEACH GARDENS | FL | S63|2003-05-09|S65|2003-05-23 | ||||||
DAVID HOMARD | PALM BEACH GARDENS | FL | S63|2001-03-09|S65|1995-03-03 | CERTIFIED FINANCIAL PLANNER|CHARTERED FINANCIAL ANALYST | |||||
MARK VINSON | PALM BEACH GARDENS | FL | S63|1993-01-18|S65|1993-01-18 | ||||||
MARION DELAPLAINE | PALM BEACH GARDENS | FL | S63|1996-05-31 | PERSONAL FINANCIAL SPECIALIST | |||||
JULIE DILLON | PALM BEACH GARDENS | FL | S63|1996-04-19|S66|2001-10-04 | CERTIFIED FINANCIAL PLANNER | |||||
STEVEN CONLEY | PALM BEACH GARDENS | FL | S63|1995-08-10 |
ADVDB.CO • SOURCE: SEC
Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
---|---|---|---|---|---|---|
2024-10-01 | $2.9 | $0.0 | 0% | 407 | 0 | 0% |
2024-04-02 | $2.9 | $0.0 | 0% | 407 | 0 | 0% |
2023-04-04 | $2.6 | $0.3 | 10% | 429 | -22 | -5% |
2022-04-01 | $3.1 | -$0.2 | -7% | 519 | -112 | -22% |
2021-04-05 | $3.3 | -$0.4 | -12% | 533 | -126 | -24% |
2020-04-01 | $2.8 | $0.1 | 4% | 538 | -131 | -24% |
2019-04-01 | $2.2 | $0.7 | 33% | 545 | -138 | -25% |
2018-04-02 | $2.0 | $0.9 | 44% | 537 | -130 | -24% |
2017-04-01 | $1.4 | $1.5 | 105% | 510 | -103 | -20% |
2016-04-01 | $1.2 | $1.7 | 146% | 524 | -117 | -22% |
2015-04-01 | $1.0 | $1.9 | 202% | 519 | -112 | -22% |
2014-04-01 | $1.0 | $1.9 | 204% | 575 | -168 | -29% |
2013-04-01 | $0.8 | $2.1 | 243% | 575 | -168 | -29% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
STATE REGISTRATIONS |
VI-10/28/2020 |
ADVISER ACTIVITIES |
FINANCIAL PLANNING PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (SMB) |
OTHER ACTIVITIES |
BROKER DEALER |
ADVDB.CO • SOURCE: SEC FORM ADV