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

ALTERITY FINANCIAL GROUP, LLC

CRD 153534

BANGOR, ME

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:07a88503-a43b-4bd2-8457-774ae94feed2

Data as of Jan 30, 2024 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:07 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 10
On other graphs: 0
Observed: Mar 18, 2014 to Jan 30, 2024
36 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

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: $121MItem 5.F on the latest filing (2024-01-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $109M
Private client RAUM: $119MderivedItem 5.D individuals plus high net worth individuals
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7
Advisory employees: 5
Offices: 4Schedule D 1.F, beyond the principal office
Accounts: 462
Individual clients: 208
High net worth clients: 21
Custody, client assets: $25.2M
SEC number: 801-79430
CRD: 153534
Filings on the tape: 36
First filed: Mar 18, 2014
Latest filed: Jan 30, 2024
Organised: Limited Liability Company, Maine

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
CGC, LLC	MANAGING MEMBER	E	yes	06/2010	Mar 18, 2014	Jan 30, 2024
Chapman, Sierra, Elaine	MANAGING MEMBER	E	yes	10/2022	Nov 29, 2022	Jan 30, 2024
Potter, Angie	CHIEF COMPLIANCE OFFICER	Na	no	03/2022	Mar 15, 2022	Jan 30, 2024

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Tampa	FL	United States	1	no
n/a	n/a	n/a	1	no

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
2023	Jan 30, 2024	$121M	$109M	7	5	4	n/a	n/a
2022	Mar 6, 2023	$119M	$101M	8	5	4	n/a	n/a
2021	Mar 15, 2022	$157M	$128M	8	7	1	n/a	n/a
2020	Feb 11, 2021	$136M	$112M	8	6	1	n/a	n/a
2019	Mar 10, 2020	$111M	$91.8M	8	6	1	n/a	n/a
2018	Mar 25, 2019	$101M	$81.4M	7	6	1	n/a	n/a
2017	Mar 19, 2018	$99.1M	$79.1M	8	7	1	n/a	n/a
2016	Mar 30, 2017	$128M	$92.6M	7	7	n/a	n/a	n/a
2015	Feb 23, 2016	$125M	$108M	9	7	n/a	n/a	n/a
2014	Mar 4, 2015	$114M	$93.0M	9	8	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
2023	$121M	$119M	1.3%	$136M	-3.8%	7	8	4	4

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
LPL FINANCIAL LLC	2	Jul 2, 2024	Mar 29, 2024	BANGOR, ME	Team lift out	RIA to ibd	100.0%

Relationships

Owns (1)

← Potter, AngieOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 15, 2022 to presentfactForm ADV

Controls (2)

← Chapman, Sierra, ElaineOwnerMANAGING MEMBER, ownership code E, individual
Nov 29, 2022 to presentfactForm ADV
← CGC, LLCOwnerMANAGING MEMBER, ownership code E, domestic entity
Mar 18, 2014 to presentfactForm ADV

Registered with (6)

← Timothy D. HaughAdvisorregistration: previous registration
Aug 25, 2021 to Jul 9, 2024factForm ADV
← DAVID ALLAN KRECHAdvisorregistration: previous registration
Jun 17, 2010 to Jul 2, 2024factForm ADV
← TORR EDWARDS STEINHILBERAdvisorregistration: previous registration
Nov 6, 2023 to Mar 28, 2024factForm ADV
← JUSTIN PAUL ELLIOTTAdvisorregistration: previous registration
Nov 28, 2017 to Mar 28, 2024factForm ADV
← Christopher MarshallAdvisorregistration: previous registration
Mar 7, 2016 to Jul 24, 2018factForm ADV
← STEVEN DUVAL HARRISONAdvisorregistration: previous registration
Dec 5, 2013 to Jul 6, 2015factForm ADV

Moved with (1)

→ LPL FINANCIAL LLCRegistered adviser2 advisors, team lift out
Jul 2, 2024 to Mar 29, 2024factForm ADV

Dated events

Occurred
Jul 9, 2024
Advisor changed firm
Timothy D. Haugh left Alterity Financial Group, Llc for Lpl Financial Llc (registered 2024-03-29)
Form ADVobserved 4 days ago
Occurred
Jul 2, 2024
Team lift-out
2 advisors left Alterity Financial Group, LLC (Bangor, ME) for LPL Financial LLC within 7 days
Form ADVobserved 3 days ago
2 advisors
Occurred
Jul 2, 2024
Advisor changed firm
David Allan Krech left Alterity Financial Group, Llc for Lpl Financial Llc (registered 2024-03-28)
Form ADVobserved 4 days ago
Occurred
Mar 28, 2024
Advisor changed firm
Justin Paul Elliott left Alterity Financial Group, Llc for Walser Wealth Management Company, A Limited Liability Company (registered 2025-12-22)
Form ADVobserved 4 days ago
Occurred
Mar 28, 2024
Advisor changed firm
Torr Edwards Steinhilber left Alterity Financial Group, Llc for Munro Asset Management L.L.C. (registered 2025-12-12)
Form ADVobserved 4 days ago
Occurred
Mar 6, 2023
Control person left
Lee Janice Grindle (Chief Operations Officer) no longer on Schedule A of Alterity Financial Group, Llc (listed 2022-11-29, absent 2023-03-06)
Form ADVobserved 4 days ago
Occurred
Nov 29, 2022
Control person joined
Elaine Sierra Chapman (Managing Member) appeared on Schedule A of Alterity Financial Group, Llc
Form ADVobserved 4 days ago
Occurred
Nov 29, 2022
Control person left
Matthew Jeffrey Chapman (President, Ceo And Cio) no longer on Schedule A of Alterity Financial Group, Llc (listed 2022-03-29, absent 2022-11-29)
Form ADVobserved 4 days ago
Occurred
Sep 29, 2021
Control person left
Grindle Dudley Gray (Managing Member) no longer on Schedule A of Alterity Financial Group, Llc (listed 2021-02-11, absent 2021-09-29)
Form ADVobserved 4 days ago
Occurred
Mar 18, 2014
First Form ADV filing
Maine Asset Management, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:07a88503-a43b-4bd2-8457-774ae94feed2
First observed: Mar 18, 2014
Last observed: Jan 30, 2024 32 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.

ALTERITY FINANCIAL GROUP, LLC

CRD 153534

BANGOR, ME

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:07a88503-a43b-4bd2-8457-774ae94feed2

Data as of Jan 30, 2024 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:07 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CGC, LLC

MANAGING MEMBER

yes

06/2010

Mar 18, 2014

Jan 30, 2024

Chapman, Sierra, Elaine

MANAGING MEMBER

yes

10/2022

Nov 29, 2022

Jan 30, 2024

Potter, Angie

CHIEF COMPLIANCE OFFICER

03/2022

Mar 15, 2022

Jan 30, 2024

City

State

Country

Employees

Also broker-dealer

Tampa

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2023

Jan 30, 2024

$121M

$109M

n/a

2022

Mar 6, 2023

$119M

$101M

n/a

2021

Mar 15, 2022

$157M

$128M

n/a

2020

Feb 11, 2021

$136M

$112M

n/a

2019

Mar 10, 2020

$111M

$91.8M

n/a

2018

Mar 25, 2019

$101M

$81.4M

n/a

2017

Mar 19, 2018

$99.1M

$79.1M

n/a

2016

Mar 30, 2017

$128M

$92.6M

n/a

2015

Feb 23, 2016

$125M

$108M

n/a

2014

Mar 4, 2015

$114M

$93.0M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2023

$121M

$119M

1.3%

$136M

-3.8%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

LPL FINANCIAL LLC

Jul 2, 2024

Mar 29, 2024

BANGOR, ME

Team lift out

RIA to ibd

100.0%