AUM
Employee Count
Main Office
| Discretion | AUM |
|---|---|
| Discretionary | $2.8 |
| Non-Discretionary | $0.0 |
| Total | $2.8 |
| Client | AUM |
|---|---|
| Retail | $2.8 |
| Pooled | $0.0 |
| Institutional | $0.0 |
| Total | $2.8 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 275 | $0.1 |
| Average Individual AUM | $499,720 | |
| HNW | 662 | $2.7 |
| Average HNW AUM | $4,031,840 | |
| Retail Total | 937 | $2.8 |
| Average Retail AUM | $2,995,198 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
| Custodian | Location | AUM |
|---|---|---|
| CHARLES SCHWAB & CO., INC. | SAN FRANCISCO-CA-USA | $2.2 |
| NATIONAL FINANCIAL SERVICES LLC | BOSTON-MA-USA | $0.5 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $2.8 |
| Retail SMA AUM | $2.8 |
| Institutional SMA AUM | $0.0 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 37% | $1.0 |
| 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 | 60% | $1.7 |
| Other Pools | 1% | $0.0 |
| Cash | 2% | $0.1 |
| Other | 0% | $0.0 |
| Total | 100% | $2.8 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| NFP RETIREMENT INC. | $118.0 | 121254 | |
| WEALTHSPIRE ADVISORS LLC | $25.8 | 106181 | |
| GM ADVISORY GROUP, LLC | $3.7 | 147592 | |
| ACG ADVISORY SERVICES, LLC | $0.5 | 106259 | |
| NEWPORT PRIVATE WEALTH INC. | $0.0 | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
21 active
| Name | Title |
|---|---|
| SCHNEIDER, BRETT, RONALD | DIRECTOR |
| LIESER, LORI, MICHELL | VICE PRESIDENT |
| SONTAG, ERIC, MATTHEW | PRESIDENT & CHIEF OPERATIONS OFFICER |
| O'MALLEY, EDWARD, GEORGE | DIRECTOR |
| MOO, VERONICA, EI CHUN | DIRECTOR |
| STASTNEY, HOYT, RONALD | CHIEF LEGAL OFFICER |
| LAMENA, MICHAEL, ANTHONY | CHIEF EXECUTIVE OFFICER |
| DEL PRIORE, MICHAEL, J | CHIEF COMPLIANCE OFFICER |
| POWERS, BRIAN, DAVID | CHIEF FINANCIAL OFFICER |
| MORIARTY, MICHAEL, JOSEPH | CHIEF INVESTMENT OFFICER |
ADVDB.CO • SOURCE: SEC
22 active representatives found, showing 20 random
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| AMANDA FOX | SAN RAFAEL | CA | S65|2017-03-07 | CERTIFIED FINANCIAL PLANNER | |||||
| T. BRANTON | SAN RAFAEL | CA | S65|2008-08-27 | CERTIFIED FINANCIAL PLANNER | |||||
| SHEILA SCHROEDER | SAN RAFAEL | CA | S63|1988-06-21 | ||||||
| LISA GRAHAM | SAN RAFAEL | CA | S66|2018-09-16 | CERTIFIED FINANCIAL PLANNER | |||||
| JUSTIN HULT | SAN RAFAEL | CA | CHARTERED FINANCIAL ANALYST | ||||||
| TIERNEY HENDERSON | SAN RAFAEL | CA | S65|2022-10-27 | ||||||
| JULIE BACK | SAN RAFAEL | CA | S63|1987-08-03|S65|1998-10-08 | CERTIFIED FINANCIAL PLANNER | |||||
| CHARLES PYFER | SAN RAFAEL | CA | S63|1999-12-13|S65|2001-02-12 | CERTIFIED FINANCIAL PLANNER | |||||
| RYAN MOORE | SAN RAFAEL | CA | S66|2019-10-23 | ||||||
| JULIA PENWELL | SAN RAFAEL | CA | CERTIFIED FINANCIAL PLANNER | ||||||
| JOHN THIEL | SAN RAFAEL | CA | S66|2015-03-30 | CERTIFIED FINANCIAL PLANNER | |||||
| GREGORY FRIEDMAN | SAN RAFAEL | CA | S63|1990-09-20 | CERTIFIED FINANCIAL PLANNER | |||||
| SEAN HEYMAN | SAN RAFAEL | CA | S66|2020-03-05 | ||||||
| BRIANA KEYDEL | SAN RAFAEL | CA | S63|1996-10-18|S65|1996-11-05 | CERTIFIED FINANCIAL PLANNER | |||||
| MICHAEL MANGELS | SAN RAFAEL | CA | CERTIFIED FINANCIAL PLANNER | ||||||
| KEVIN GAHAGAN | SAN RAFAEL | CA | S63|1995-03-20 | CERTIFIED FINANCIAL PLANNER | |||||
| GLENDA SCHMIDT | SAN RAFAEL | CA | S63|1993-12-09|S65|1994-08-08 | ||||||
| WILLIAM BOCKWOLDT | SAN RAFAEL | CA | S65|2013-09-27 | ||||||
| TIMOTHY TALBOTT | SAN RAFAEL | CA | CERTIFIED FINANCIAL PLANNER | ||||||
| SARAH WOTHERSPOON | SAN RAFAEL | CA | S66|2002-11-20 | CERTIFIED FINANCIAL PLANNER | |||||
ADVDB.CO • SOURCE: SEC
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
| STATE REGISTRATIONS |
| CA, AZ-09/28/2017, CA-01/24/1990, CO-03/29/2019, FL-09/28/2017, HI-03/31/2023, ID-03/31/2023, NV-03/29/2019, NY-01/31/2018, OR-09/28/2017, TX-01/25/2010, WA-03/16/2011 |
| ADVISER ACTIVITIES |
|
FINANCIAL PLANNING PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (SMB) PENSION CONSULTING MANAGER SELECTION |
| OTHER ACTIVITIES |
ADVDB.CO • SOURCE: SEC FORM ADV