AUM
Employee Count
Main Office
| Discretion | AUM |
|---|---|
| Discretionary | $35.2 |
| Non-Discretionary | $5.3 |
| Total | $40.4 |
| Client | AUM |
|---|---|
| Retail | $39.0 |
| Pooled | $0.0 |
| Institutional | $1.4 |
| Total | $40.4 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 129,802 | $24.4 |
| Average Individual AUM | $188,186 | |
| HNW | 8,086 | $14.6 |
| Average HNW AUM | $1,801,067 | |
| Retail Total | 137,888 | $39.0 |
| Average Retail AUM | $282,768 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
| Custodian | Location | AUM |
|---|---|---|
| NATIONAL FINANCIAL SERVICES LLC | BOSTON-MA-USA | $25.3 |
| PERSHING LLC | JERSEY CITY-NJ-USA | $6.7 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $40.4 |
| Retail SMA AUM | $39.0 |
| Institutional SMA AUM | $1.4 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 45% | $18.2 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 2% | $0.8 |
| Municipal | 1% | $0.4 |
| Sovereign | 0% | $0.0 |
| IG Credit | 0% | $0.0 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 48% | $19.4 |
| Other Pools | 0% | $0.0 |
| Cash | 4% | $1.6 |
| Other | 0% | $0.0 |
| Total | 100% | $40.4 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| OSAIC WEALTH, INC. | $94.6 | broker-dealer | 23131 |
| AMERICAN PORTFOLIOS ADVISORS. INC | $13.1 | 112697 | |
| ARBOR POINT ADVISORS, LLC | $6.9 | 165127 | |
| OSAIC ADVISORY SERVICES, LLC | $4.9 | 171070 | |
| LADENBURG THALMANN ASSET MANAGEMENT INC | $4.3 | 108604 | |
| OSAIC INSTITUTIONS, INC. | $3.6 | broker-dealer | 35371 |
| TRIAD ADVISORS, LLC | $1.1 | broker-dealer | 25803 |
| BLACK DIAMOND FINANCIAL, LLC | $0.2 | 314622 | |
| SECURITIES AMERICA, INC. | $0.0 | broker-dealer | 10205 |
| VISION2020 WEALTH MANAGEMENT CORP. | $0.0 | 154149 | |
| AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC. | $0.0 | broker-dealer | 18487 |
| PREMIER TRUST, INC. | $0.0 | trust company | - |
| HIGHLAND CAPITAL BROKERAGE | $0.0 | - | |
| LADENBURG THALMANN & CO. INC. | $0.0 | broker-dealer | 505 |
| OSAIC SERVICES, INC. | $0.0 | broker-dealer | 133763 |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
25 active
| Name | Title |
|---|---|
| HULETT, KIRK, JESSE | EXECUTIVE VP, STRATEGY AND PRACTICE MANAGEMENT /DIRECTOR |
| PRICE, JAMES, DALE | CHAIRMAN |
| SCHLUETER, MATTHEW, ADAM | EXECUTIVE VICE PRESIDENT/DIRECTOR |
| RCP OPP FUND II GP, LP | LIMITED PARTNER |
| BERLINSKI, MILTON, RALPH | TRUSTEE, GENERAL PARTNER, MEMBER, INVESTMENT MEMBER |
| SCHMIDT, DAVID, MARTIN | TREASURER |
| NORTHRIP, IRYNA, YAKOVLEVNA | SVP, CHIEF COMPLIANCE OFFICER |
| FORD, ERINN, JUNE | INTERIM CHIEF EXECUTIVE OFFICER, PRESIDENT |
ADVDB.CO • SOURCE: SEC
1,917 active representatives found, showing 20 random
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| ERIC BROWN | LA VISTA | NE | S65|2020-11-14|S66|2020-08-08 | ||||||
| DENISE DOWNS | LA VISTA | NE | S63|1991-01-21|S65|2006-07-05 | ||||||
| ANDREW HUNT | LA VISTA | NE | S66|2020-06-20 | ||||||
| ELLIS FATTIZZI | LA VISTA | NE | S66|2024-04-12 | ||||||
| DAVID SCHAAL | LA VISTA | NE | S63|1980-04-24|S65|1994-03-29|S66|2012-08-09 | ||||||
| GIOVANNI MIGLIACCIO | LA VISTA | NE | S63|1996-05-16 | ||||||
| LILY LU | LA VISTA | NE | S63|1998-03-26|S66|2003-02-13 | CERTIFIED FINANCIAL PLANNER | |||||
| TIMOTHY GARDNER | LA VISTA | NE | S63|1996-05-09|S65|1998-04-07 | ||||||
| BRANDON KATZ | LA VISTA | NE | S66|2010-04-05 | ||||||
| SCOTT FRIEL | LA VISTA | NE | S63|1992-01-07|S65|1998-04-15 | ||||||
| JOSEPH DEPAOLA | LA VISTA | NE | S63|2019-04-02|S66|2021-08-17 | ||||||
| JASON SMITH | LA VISTA | NE | S63|1998-10-15|S65|2006-12-22 | ||||||
| DAVID SEIBEL | LA VISTA | NE | S63|1998-07-15|S65|1999-12-30 | ||||||
| MICHAEL KORTZ | LA VISTA | NE | S66|2000-01-24 | ||||||
| CLAIRE BESANT | LA VISTA | NE | S63|2021-07-08|S65|2022-04-16 | ||||||
| ERIC MACLEAN | LA VISTA | NE | S63|2012-03-05|S65|2012-08-11 | CHARTERED FINANCIAL CONSULTANT | |||||
| PAUL MICHALUK | LA VISTA | NE | S66|2007-11-20 | ||||||
| BROOKE HASKINS | LA VISTA | NE | S63|2000-11-13|S66|2007-11-20 | ||||||
| BERNARD BARROW | LA VISTA | NE | S63|2001-03-29|S66|2012-11-26 | CERTIFIED FINANCIAL PLANNER | |||||
| ROBERT UTSEY | LA VISTA | NE | S63|1991-01-24|S66|2012-09-17 | ||||||
ADVDB.CO • SOURCE: SEC
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
| STATE REGISTRATIONS |
| NE, AK-05/12/1995, AL-06/08/1995, AR-10/07/1994, AZ-08/30/1994, CA-06/27/1994, CO-01/01/1999, CT-12/30/1997, DC-09/22/1994, DE-08/05/2003, FL-04/12/1994, GA-02/24/1994, HI-02/25/1998, IA-01/01/1999, ID-05/03/1995, IL-04/18/1994, IN-03/07/1994, KS-04/08/1994, KY-09/09/1994, LA-10/16/2001, MA-04/14/1994, MD-10/07/1994, ME-01/01/1995, MI-12/02/1997, MN-06/24/1994, MO-07/27/1994, MS-12/01/1997, MT-11/09/1994, NC-03/29/2001, ND-03/15/2004, NE-03/24/1994, NH-02/06/1998, NJ-04/18/1994, NM-10/06/1994, NV-08/18/1994, NY-03/11/1994, OH-05/11/2000, OK-01/01/1998, OR-08/03/1994, PA-01/03/1995, PR-05/08/2013, RI-10/12/1994, SC-09/09/1994, SD-04/24/1995, TN-06/12/1998, TX-04/01/1994, UT-03/11/1994, VA-03/21/1994, VI-05/21/2010, VT-02/20/1995, WA-07/12/1994, WI-03/04/1994, WV-10/12/1994, WY-08/16/2017 |
| ADVISER ACTIVITIES |
|
FINANCIAL PLANNING PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (SMB) PENSION CONSULTING MANAGER SELECTION EDUCATIONAL WORKSHOPS |
| OTHER ACTIVITIES |
ADVDB.CO • SOURCE: SEC FORM ADV