AUM
Employee Count
Main Office
| Discretion | AUM |
|---|---|
| Discretionary | $7.1 |
| Non-Discretionary | $9.0 |
| Total | $16.2 |
| Client | AUM |
|---|---|
| Retail | $14.8 |
| Pooled | $0.0 |
| Institutional | $1.4 |
| Total | $16.2 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 212,836 | $14.8 |
| Average Individual AUM | $69,425 | |
| HNW | 0 | $0.0 |
| Average HNW AUM | $0 | |
| Retail Total | 212,836 | $14.8 |
| Average Retail AUM | $69,425 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
| Custodian | Location | AUM |
|---|---|---|
| PERSHING LLC | JERSEY CITY-NJ-USA | $6.8 |
| STATE STREET BANK AND TRUST COMPANY | BOSTON-MA-USA | $5.4 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $16.2 |
| Retail SMA AUM | $14.8 |
| Institutional SMA AUM | $1.4 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 26% | $4.2 |
| 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 | 51% | $8.2 |
| Other Pools | 17% | $2.7 |
| Cash | 1% | $0.2 |
| Other | 5% | $0.8 |
| Total | 100% | $16.2 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| AEGON USA INVESTMENT MANAGEMENT, LLC | $86.3 | 114537 | |
| TRANSAMERICA ASSET MANAGEMENT, INC. | $65.2 | 107376 | |
| TRANSAMERICA LIFE INSURANCE COMPANY | $0.0 | - | |
| TRANSAMERICA FINANCIAL LIFE INSURANCE COMPANY | $0.0 | - | |
| TRANSAMERICA CAPITAL, INC. | $0.0 | broker-dealer | 8217 |
| TRANSAMERICA RETIREMENT INSURANCE AGENCY, INC. | $0.0 | - | |
| TRANSAMERICA INVESTORS SECURITIES CORPORATION | $0.0 | broker-dealer | 32205 |
| TRANSAMERICA TRUST COMPANY | $0.0 | trust company | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
10 active
| Name | Title |
|---|---|
| CARUSONE, JOSEPH, PETER | VICE PRESIDENT, MANAGER AND TREASURER |
| HEWITT, JAY, ALLEN | VICE PRESIDENT AND MANAGER |
| RESNIK, RICKY, BART | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER |
| JUNG, KERRY, ANNE | VICE PRESIDENT, GENERAL COUNSEL AND ASSISTANT SECRETARY |
| RUNDLE, JOSHUA | PRESIDENT AND MANAGER |
ADVDB.CO • SOURCE: SEC
269 active representatives found, showing 20 random
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| BRAD SHARP | ST PAUL | MN | S63|2001-11-20|S65|2020-08-10 | ||||||
| CHARLES LYMANGOOD | ST PAUL | MN | S66|2014-10-09|S63|2009-07-22 | ||||||
| MICHAEL BOROTA | ST PAUL | MN | S65|2019-08-29|S63|2019-08-09 | ||||||
| JOHN MYERS | ST PAUL | MN | S66|2010-12-22 | ||||||
| BRICE DAVIS | ST PAUL | MN | S65|2016-05-21|S63|2014-10-22 | CERTIFIED FINANCIAL PLANNER | |||||
| JOSHUA SMITH | ST PAUL | MN | S63|2023-09-29|S65|2024-01-19 | ||||||
| EUGENE MUSSELWHITE | ST PAUL | MN | S63|1994-06-24|S65|1994-06-22 | ||||||
| BRUCE ANDERSON | ST PAUL | MN | S63|1999-03-11|S65|2005-12-15 | ||||||
| STEPHANIE SHARP | ST PAUL | MN | S65|2010-03-22|S63|2018-03-05 | ||||||
| TIMOTHY WINTEMUTE | ST PAUL | MN | S63|2018-06-14|S65|2023-09-13 | ||||||
| CHRISTIAN DEVEER | ST PAUL | MN | S66|2020-09-01 | ||||||
| JASON KAHLE | ST PAUL | MN | S63|2015-11-24|S66|2021-08-01 | ||||||
| ZACHARY HOWES | ST PAUL | MN | S66|2017-07-31 | ||||||
| MARTHA REYNOSO | ST PAUL | MN | S66|2016-09-12 | ||||||
| VERONICA MALONE | ST PAUL | MN | S63|1993-07-16|S65|2021-02-27 | ||||||
| ELISABETH HENDERSON | ST PAUL | MN | S63|2018-01-17|S65|2018-02-15 | ||||||
| JARED WILSON | ST PAUL | MN | S63|2019-09-11|S65|2022-08-29 | ||||||
| ANTHONY VANDETTE | ST PAUL | MN | S63|2015-02-13|S65|2016-11-29 | ||||||
| RYAN CRIDER | ST PAUL | MN | S66|2015-07-24 | ||||||
| MATTHEW LEEKE | ST PAUL | MN | S66|2013-11-05 | ||||||
ADVDB.CO • SOURCE: SEC
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-05-02 | $16.2 | $0.0 | 0% | 383 | 0 | 0% |
| 2025-04-21 | $16.2 | $0.0 | 0% | 383 | 0 | 0% |
| 2024-04-02 | $12.7 | $3.5 | 27% | 333 | 50 | 15% |
| 2023-04-04 | $10.4 | $5.8 | 56% | 311 | 72 | 23% |
| 2022-04-01 | $11.5 | $4.6 | 40% | 262 | 121 | 46% |
| 2021-04-05 | $8.8 | $7.4 | 84% | 379 | 4 | 1% |
| 2020-04-01 | $6.3 | $9.9 | 156% | 415 | -32 | -8% |
| 2019-04-01 | $5.4 | $10.7 | 198% | 416 | -33 | -8% |
| 2018-04-02 | $5.1 | $11.0 | 214% | 387 | -4 | -1% |
| 2017-04-01 | $3.8 | $12.4 | 325% | 208 | 175 | 84% |
| 2016-04-01 | $3.5 | $12.6 | 357% | 170 | 213 | 125% |
| 2015-04-01 | $3.8 | $12.4 | 328% | 112 | 271 | 242% |
| 2014-04-01 | $3.6 | $12.6 | 349% | 41 | 342 | 834% |
| 2013-04-01 | $3.5 | $12.6 | 361% | 15 | 368 | 2453% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
| STATE REGISTRATIONS |
| IA, AK-11/01/2013, AL-05/30/2013, AR-11/01/2013, AZ-05/30/2013, CA-11/01/2013, CO-11/01/2013, CT-05/30/2013, DC-11/01/2013, DE-11/01/2013, FL-05/31/2013, GA-11/01/2013, HI-11/01/2013, IA-05/30/2013, ID-05/30/2013, IL-11/04/2013, IN-05/30/2013, KS-06/17/2013, KY-11/01/2013, LA-11/01/2013, MA-03/29/2007, MD-05/30/2013, ME-11/01/2013, MI-05/30/2013, MN-11/01/2013, MO-05/30/2013, MS-11/01/2013, MT-11/01/2013, NC-11/01/2013, ND-11/01/2013, NE-11/01/2013, NH-11/01/2013, NJ-11/20/2013, NM-11/01/2013, NV-11/01/2013, NY-03/29/2007, OH-11/01/2013, OK-11/01/2013, OR-11/01/2013, PA-11/01/2013, PR-11/01/2013, RI-11/01/2013, SC-11/01/2013, SD-11/01/2013, TN-05/30/2013, TX-05/30/2013, UT-11/01/2013, VA-11/01/2013, VI-11/01/2013, VT-11/01/2013, WA-11/01/2013, WI-05/30/2013, WV-11/01/2013, WY-03/30/2018 |
| ADVISER ACTIVITIES |
|
PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (SMB) PENSION CONSULTING EDUCATIONAL WORKSHOPS |
| OTHER ACTIVITIES |
ADVDB.CO • SOURCE: SEC FORM ADV