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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

STERNE AGEE INVESTMENT ADVISOR SERVICES, INC.

CRD 7365

YOUNGSTOWN, OH

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:06d55ac4-1e63-9403-bb12-cb94cbf5ddcf

Data as of Oct 10, 2014 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:03 PM UTC and rebuilt at most every 15 minutes.

Relationships: 217
Dated events: 1
On other graphs: 1
Observed: Mar 29, 2012 to Oct 10, 2014
7 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

WRP Investments, Inc.

Intermediary · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $462MItem 5.F on the latest filing (2014-10-10); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $77.2M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 335
Advisory employees: 210
Accounts: 3,594
SEC number: 801-39365
CRD: 7365
Filings on the tape: 7
First filed: Mar 29, 2012
Latest filed: Oct 10, 2014
Organised: Corporation, Delaware

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
PINTARIC, DAVID MICHAEL	President	Na	yes	01/2003	Mar 29, 2012	Oct 10, 2014
PINTARIC, WILLIAM RICHARD	CHAIRMAN EMERITAS	Na	yes	01/2003	Mar 29, 2012	Oct 10, 2014
PINTARIC, WILLIAM RICHARD JR	CHIEF COMPLIANCE OFFICER	Na	yes	01/1986	Mar 29, 2012	Oct 10, 2014
STERNE AGEE FINANCIAL SERVICES, INC.	Owner	E	yes	07/2014	Oct 10, 2014	Oct 10, 2014

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
SAL FINANCIAL SERVICES, INC.	n/a	n/a	n/a	N	yes	Al

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2013	Mar 31, 2014	$462M	$77.2M	335	210	n/a	n/a	n/a
2012	Mar 28, 2013	$396M	$61.7M	355	210	n/a	n/a	n/a
2011	Mar 29, 2012	$363M	$42.5M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2013	$462M	$396M	16.8%	n/a	n/a	335	355	n/a	n/a

Relationships

showing 80 of 217

Controls (4)

← PINTARIC, DAVID MICHAELOwnerPRESIDENT, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← STERNE AGEE FINANCIAL SERVICES, INC.OwnerOWNER, ownership code E, domestic entity
Oct 10, 2014 to presentfactForm ADV
← PINTARIC, WILLIAM RICHARDOwnerCHAIRMAN EMERITAS, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← PINTARIC, WILLIAM RICHARD JROwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV

Registered with (76)

← MICHAEL STEVEN WELGERAdvisorregistration: previous registration
Jan 24, 2014 to Jan 30, 2015factForm ADV
← Robert Hall LaneAdvisorregistration: previous registration
Mar 1, 2013 to Jan 30, 2015factForm ADV
← TED ALAN BISKINDAdvisorregistration: previous registration
Jan 20, 2010 to Jan 30, 2015factForm ADV
← MARK STEPHAN MCCURRYAdvisorregistration: previous registration
Jun 30, 2003 to Jan 30, 2015factForm ADV
← RODNEY ANDREW MACINTYREAdvisorregistration: previous registration
May 6, 2004 to Jan 30, 2015factForm ADV
← RICHARD DENNIS MAGGIOAdvisorregistration: previous registration
Jan 9, 2001 to Jan 30, 2015factForm ADV
← STEVEN PERRY SCHWEFELAdvisorregistration: previous registration
Mar 3, 2004 to Jan 30, 2015factForm ADV
← ALAN EDWARD RUNKELAdvisorregistration: previous registration
Jul 7, 2000 to Jan 30, 2015factForm ADV
← WILLIAM ANTHONY EATONAdvisorregistration: previous registration
Feb 2, 2004 to Jan 30, 2015factForm ADV
← KEVIN MICHAEL BROWNAdvisorregistration: previous registration
Jan 9, 2001 to Jan 30, 2015factForm ADV
← JACQUELINE NOVECKAdvisorregistration: previous registration
Jan 18, 2007 to Jan 30, 2015factForm ADV
← JOHN JOSEPH MCCAULEYAdvisorregistration: previous registration
Mar 8, 2006 to Jan 30, 2015factForm ADV
← EDWARD FRANK PUTNOKYAdvisorregistration: previous registration
Nov 15, 2000 to Jan 30, 2015factForm ADV
← BRIAN EDWARD FEUERAdvisorregistration: previous registration
Jan 9, 2001 to Jan 30, 2015factForm ADV
← JERRY LEE CLINEAdvisorregistration: previous registration
Mar 13, 2012 to Jan 30, 2015factForm ADV
← DANIEL THOMAS MURPHYAdvisorregistration: previous registration
Jan 21, 2009 to Jan 30, 2015factForm ADV
← SCOTT CURTIS BUTLERAdvisorregistration: previous registration
Nov 16, 2007 to Jan 30, 2015factForm ADV
← KENT ANDREW BEHNKENAdvisorregistration: previous registration
Jan 14, 2002 to Jan 30, 2015factForm ADV
← MICHAEL ANDREW MORANAdvisorregistration: previous registration
Feb 2, 2004 to Jan 30, 2015factForm ADV
← KEVIN SCOTT DICKAdvisorregistration: previous registration
Jan 2, 2002 to Jan 30, 2015factForm ADV
← ROBERT JAMES CAPLINGERAdvisorregistration: previous registration
May 20, 2003 to Jan 30, 2015factForm ADV
← THOMAS JOHN NEESSAdvisorregistration: previous registration
Oct 3, 2000 to Jan 30, 2015factForm ADV
← DAVID MICHAEL PINTARICAdvisorregistration: previous registration
Dec 16, 2014 to Jan 30, 2015factForm ADV
← ALISTAIR MCKEE KELLYAdvisorregistration: previous registration
Jul 7, 2000 to Jan 30, 2015factForm ADV
← WILLIAM ALBERT MARTINAdvisorregistration: previous registration
Feb 4, 2011 to Jan 30, 2015factForm ADV
← DANIEL JOSEPH MITTLESTEADTAdvisorregistration: previous registration
Jan 9, 2001 to Jan 30, 2015factForm ADV
← RAJEEV S PANDITAdvisorregistration: previous registration
Oct 1, 2013 to Jan 30, 2015factForm ADV
← LINWOOD LAMAR GEHRISAdvisorregistration: previous registration
Sep 23, 2013 to Jan 30, 2015factForm ADV
← JONATHAN ALAN ROSENTHALAdvisorregistration: previous registration
Oct 19, 2011 to Jan 30, 2015factForm ADV
← WILLIAM EWALT DESHURKOAdvisorregistration: previous registration
Nov 8, 2007 to Jan 30, 2015factForm ADV
and 46 more

Dated events

Occurred
Oct 10, 2014
Succession filed (Item 4)
Wrp Investments, Inc. reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:06d55ac4-1e63-9403-bb12-cb94cbf5ddcf
First observed: Mar 29, 2012
Last observed: Oct 10, 2014 145 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

STERNE AGEE INVESTMENT ADVISOR SERVICES, INC.

CRD 7365

YOUNGSTOWN, OH

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:06d55ac4-1e63-9403-bb12-cb94cbf5ddcf

Data as of Oct 10, 2014 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:03 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

PINTARIC, DAVID MICHAEL

President

yes

01/2003

Mar 29, 2012

Oct 10, 2014

PINTARIC, WILLIAM RICHARD

CHAIRMAN EMERITAS

yes

01/2003

Mar 29, 2012

Oct 10, 2014

PINTARIC, WILLIAM RICHARD JR

CHIEF COMPLIANCE OFFICER

yes

01/1986

Mar 29, 2012

Oct 10, 2014

STERNE AGEE FINANCIAL SERVICES, INC.

Owner

yes

07/2014

Oct 10, 2014

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

SAL FINANCIAL SERVICES, INC.

n/a

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2013

Mar 31, 2014

$462M

$77.2M

335

210

n/a

2012

Mar 28, 2013

$396M

$61.7M

355

210

n/a

2011

Mar 29, 2012

$363M

$42.5M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2013

$462M

$396M

16.8%

n/a

335

355

n/a