AUM
Employee Count
Main Office
| Discretion | AUM |
|---|---|
| Discretionary | $1.0 |
| Non-Discretionary | $0.0 |
| Total | $1.1 |
| Client | AUM |
|---|---|
| Retail | $1.1 |
| Pooled | $0.0 |
| Institutional | $0.0 |
| Total | $1.1 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 2,974 | $0.7 |
| Average Individual AUM | $226,263 | |
| HNW | 181 | $0.4 |
| Average HNW AUM | $2,159,783 | |
| Retail Total | 3,155 | $1.1 |
| Average Retail AUM | $337,188 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
| Custodian | Location | AUM |
|---|---|---|
| CHARLES SCHWAB & CO., INC. | LAURIUM-MI-USA | $0.4 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $1.1 |
| Retail SMA AUM | $1.1 |
| Institutional SMA AUM | $0.0 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 62% | $0.7 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 3% | $0.0 |
| Municipal | 1% | $0.0 |
| Sovereign | 0% | $0.0 |
| IG Credit | 3% | $0.0 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 0% | $0.0 |
| Other Pools | 25% | $0.3 |
| Cash | 6% | $0.1 |
| Other | 0% | $0.0 |
| Total | 100% | $1.1 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| REDWOOD PRIVATE WEALTH, LLC | $0.3 | 312942 | |
| BROOKWOOD INSURANCE GROUP | $0.0 | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
18 active representatives found
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| ROBERT RAIMONDO | PHOENIX | AZ | S63|2001-12-27|S65|2006-04-06 | ||||||
| TODD MANN | PHOENIX | AZ | S66|2018-11-28 | ||||||
| ZACHARY JONES | PHOENIX | AZ | S66|2015-06-15 | CERTIFIED FINANCIAL PLANNER|CHARTERED FINANCIAL CONSULTANT | |||||
| VINCENT YACKANIN | PHOENIX | AZ | S63|2018-05-11 | CERTIFIED FINANCIAL PLANNER | |||||
| CAROL PIPITONE | PHOENIX | AZ | S66|2004-07-28 | ||||||
| STEPHEN CARUSO | PHOENIX | AZ | S63|1999-10-15|S65|2001-01-18 | ||||||
| MARGARET KOOSA | PHOENIX | AZ | S63|2012-03-30|S65|2014-02-06 | ||||||
| CASSIE KANG | PHOENIX | AZ | S63|2005-08-25|S65|2007-02-12 | CERTIFIED FINANCIAL PLANNER | |||||
| CHRISTOPHER COOLIDGE | PHOENIX | AZ | CHARTERED FINANCIAL ANALYST | ||||||
| RICHARD ROGERS | PHOENIX | AZ | S63|1988-08-08|S65|1995-06-13 | ||||||
| ROSTAM ATEFI | PHOENIX | AZ | S66|2011-12-16 | ||||||
| DANIEL ANGELONE | PHOENIX | AZ | S66|2002-09-05 | ||||||
| STEVEN SCHIPPEL | PHOENIX | AZ | S63|1988-10-20|S65|1993-02-11 | ||||||
| TRACY COBB | PHOENIX | AZ | S65|2015-06-27 | ||||||
| SANDRA CROOK | PHOENIX | AZ | S63|1986-07-15|S65|1996-04-09 | ||||||
| ADAM KLEIN | PHOENIX | AZ | S63|1993-01-27|S65|2016-11-30 | ||||||
| BRENT BURGESSER | PHOENIX | AZ | S66|2000-12-28 | ||||||
| DAVID HENDERSHOTT | PHOENIX | AZ | S63|1980-10-06 | ||||||
ADVDB.CO • SOURCE: SEC
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-06-02 | $1.1 | $0.0 | 0% | 24 | 0 | 0% |
| 2025-04-21 | $1.1 | $0.0 | 0% | 24 | 0 | 0% |
| 2024-04-02 | $0.7 | $0.4 | 54% | 18 | 6 | 33% |
| 2023-04-04 | $0.0 | $0.0 | 0% | 4 | 20 | 500% |
| 2022-04-01 | $0.0 | $0.0 | 0% | 2 | 22 | 1100% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
| STATE REGISTRATIONS |
| AZ, AZ-10/18/2021, CA-05/03/2023, CO-03/28/2025, CT-01/19/2023, DE-03/28/2025, FL-01/19/2023, GA-01/19/2023, IA-03/28/2025, ID-04/01/2025, IL-04/10/2023, IN-03/28/2025, LA-03/28/2025, MA-03/28/2025, MD-03/28/2025, MI-03/28/2025, MN-03/28/2025, NC-03/28/2025, NH-03/28/2025, NJ-03/28/2025, NV-12/12/2024, NY-03/28/2025, OH-05/22/2023, OR-01/19/2023, PA-12/26/2023, RI-06/27/2023, SC-03/28/2025, TN-06/01/2023, TX-01/06/2025, VA-04/01/2025, VT-05/04/2023 |
| ADVISER ACTIVITIES |
|
FINANCIAL PLANNING PORTFOLIO MANAGEMENT PENSION CONSULTING MANAGER SELECTION EDUCATIONAL WORKSHOPS |
| OTHER ACTIVITIES |
ADVDB.CO • SOURCE: SEC FORM ADV