DFX Intelligence
Data Factory
Reading the graph
Reading the graph
CRD 23224
SAN DIEGO, CA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| ERIC HARRIS | n/a | BEACHWOOD, OH | SAN DIEGO, CA | 17 | 34 | 2 | yes |
| RICHARD JAY GOPIN | Certified Financial Planner | SAN DIEGO, CA | OAK RIDGE, NJ | 17 | 36 | 1 | yes |
| JAMES ANDREW GEAKE | n/a | SKOKIE,, IL | SAN DIEGO, CA | SKOKIE, IL | 17 | 31 | 1 | yes |
| MARK WILKINSON RICHARDS | n/a | TIJERAS, NM | SAN DIEGO, CA | 17 | 30 | 2 | yes |
| LAMONT ADRIAN CHANDLER | n/a | Prairie Village, KS | 17 | 30 | 3 | yes |
| MARTIN WILLIAM MCNEES | n/a | SAN DIEGO, CA | 17 | 27 | 1 | yes |
| VILAYPHONE FIXSEN | n/a | SAN DIEGO, CA | 17 | 22 | 2 | yes |
| CHRISTOPHER MICHAEL LEAVERTON | n/a | KENNEWICK, WA | 17 | 20 | 1 | yes |
| DIMITRY TIKHONOV | n/a | SAN DIEGO, CA | Franklin, TN | 17 | 22 | 1 | yes |
| GEORGE EDWARD AROCHA | Certified Financial Planner|Chartered Financial Consultant | BOURBONNAIS, IL | SAN DIEGO, CA | 17 | 40 | 2 | yes |
| JAMES ARTHUR STOKES | Certified Financial Planner | ORLANDO, FL | SAN DIEGO, CA | 17 | 38 | 1 | yes |
| MEAGAN NICOLE PHELPS | Certified Financial Planner | SAN DIEGO, CA | Los Angeles, CA | 17 | 26 | 1 | yes |
| ROBERT PAUL SEAWRIGHT | n/a | SAN DIEGO, CA | 15 | 33 | n/a | yes |
| DANIEL ADAM NESMITH | n/a | SAN DIEGO, CA | Dublin, GA | Macon, GA | 15 | 17 | n/a | yes |
| MARY BOCKMAN HOLEVINSKI | n/a | SAN DIEGO, CA | LITTLE SILVER, NJ | 15 | 53 | n/a | yes |
| DENNIS ALAN CIRBO | Chartered Financial Consultant | SAN DIEGO, CA | LAKEWOOD, CO | 14 | 46 | 1 | yes |
| JOSEPH DAVID DUFFEY | n/a | Ft. Mitchell, KY | SAN DIEGO, CA | 14 | 30 | 1 | yes |
| BRIAN KEITH MIRAU | n/a | Albuquerque, NM | El Paso, TX | RUIDOSO, NM | SAN DIEGO, CA | Las Cruces , NM | 14 | 37 | n/a | yes |
| JOHN MICHAEL HOSE | n/a | GREENCASTLE, PA | SAN DIEGO, CA | 14 | 17 | n/a | yes |
| PAUL DENNIS SCHRETTE | n/a | SAN DIEGO, CA | LEWISTON, ID | COEUR D'ALENE, ID | 14 | 24 | 1 | yes |
| JOSEPH VERNON LEE | n/a | LEWISTON, ID | SAN DIEGO, CA | COEUR D'ALENE, ID | 14 | 38 | 1 | yes |
| KENNETH DAVID LOEBEL | n/a | Fontana, WI | SAN DIEGO, CA | SKOKIE,, IL | 12 | 30 | 3 | yes |
| ANNETTE VICTORIA SULLIVAN | n/a | SAN DIEGO, CA | 12 | 17 | n/a | yes |
| MICHAEL IAN OLSEN | n/a | SAN DIEGO, CA | 12 | 14 | n/a | yes |
| MICHAEL ALAN MARTIN | n/a | SAN DIEGO, CA | Palm Beach Gardens, FL | 10 | 16 | 1 | yes |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| FIXSEN, VILAYPHONE | CHIEF OPERATING OFFICER | Na | yes | 04/2025 | Sep 3, 2026 | Sep 3, 2026 |
| MCNEES, MARTIN WILLIAM | President | Na | yes | 09/2017 | Sep 3, 2026 | Sep 3, 2026 |
| PIERSON, MELISSA KAY | CHIEF COMPLIANCE OFFICER | Na | yes | 04/2025 | Sep 3, 2026 | Sep 3, 2026 |
| WOODS, SANDRA ANN | Finop | Na | yes | 10/2025 | Sep 3, 2026 | Sep 3, 2026 |
| JENSEN, GAIL MARIE | CHIEF COMPLIANCE OFFICER | Na | yes | 09/2018 | Sep 17, 2018 | Oct 17, 2024 |
| KT EQUITY PARTNERS II, LLC | DIRECT OWNER | E | yes | 02/2015 | Mar 19, 2015 | Oct 17, 2024 |
| MALECHUK, LAURA ANN | Finop | Na | yes | 05/2021 | Mar 14, 2022 | Oct 17, 2024 |
| CALLANAN, DAVID JAMES | Manager | Na | no | 03/2015 | Sep 3, 2026 | Sep 3, 2026 |
| CALLANAN, DAVID JAMES | LLC MEMBER | C | no | 12/2016 | Mar 19, 2015 | Oct 17, 2024 |
| DDC HOLDINGS, LLC | INDIRECT OWNER | E | no | 12/2016 | Jan 23, 2017 | Oct 17, 2024 |
| FOSTER, CODY GRANT | LLC MEMBER | C | no | 12/2016 | Jan 10, 2017 | Oct 17, 2024 |
| FOSTER, CODY GRANT | Member | Na | no | 12/2016 | Jan 10, 2017 | Oct 17, 2024 |
| METCALFE, INC. | Owner | Na | no | 02/2015 | Feb 20, 2015 | Oct 17, 2024 |
| SCHENDEL, JENNIFER | Member | Na | no | 11/2012 | Nov 28, 2012 | Oct 17, 2024 |
| THE DEREK J THOMPSON TRUST, UTA DATED JANUARY 25, 2015 | INDIRECT OWNER | C | no | 01/2018 | Feb 8, 2018 | Oct 17, 2024 |
| THOMPSON, DEREK JAMES | TRUSTEE AND LLC MEMBER | C | no | 01/2018 | Mar 19, 2015 | Oct 17, 2024 |
| THOMPSON, DEREK JAMES | Member | Na | no | 03/2015 | Mar 19, 2015 | Oct 17, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| AE WEALTH MANAGEMENT, LLC | n/a | Bd affiliated wealth | $50B | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| WINTER PARK | FL | United States | 12 | no |
| Greenville | Sc | United States | 11 | no |
| Skokie | IL | United States | 10 | no |
| Atlanta | Ga | United States | 4 | yes |
| Dublin | Ga | United States | 4 | yes |
| Macon | Ga | United States | 4 | yes |
| BLOOMFIELD HILLS | Mi | United States | 3 | yes |
| OCEAN VIEW | Nj | United States | 3 | yes |
| Albuquerque | Nm | United States | 3 | yes |
| Ruidoso | Nm | United States | 3 | yes |
| EL PASO | TX | United States | 3 | yes |
| SANTA ROSA BEACH | FL | United States | 2 | yes |
| Suwanee | Ga | United States | 2 | yes |
| COEUR D'ALENE | Id | United States | 2 | yes |
| Lewiston | Id | United States | 2 | yes |
| Evansville | In | United States | 2 | yes |
| Mountaintop | Pa | United States | 2 | yes |
| Clover | Sc | United States | 2 | yes |
| Brentwood | Tn | United States | 2 | yes |
| Atascadero | CA | United States | 1 | yes |
| LOS ANGELES | CA | United States | 1 | yes |
| RANCHO SANTA FE | CA | United States | 1 | yes |
| SAN DIEGO | CA | United States | 1 | yes |
| Lakewood | Co | United States | 1 | yes |
| BOCA RATON | FL | United States | 1 | yes |
| Orlando | FL | United States | 1 | yes |
| WEST PALM BEACH | FL | United States | 1 | yes |
| Bourbonnais | IL | United States | 1 | yes |
| Crestwood | IL | United States | 1 | yes |
| LOVES PARK | IL | United States | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 31, 2026 | $2.0B | $1.6B | 125 | 81 | 56 | n/a | n/a |
| 2024 | Apr 15, 2025 | $2.0B | $1.2B | 93 | 76 | 58 | n/a | n/a |
| 2023 | Feb 9, 2024 | $1.8B | $1.2B | 102 | 75 | 58 | n/a | n/a |
| 2022 | Mar 13, 2023 | $1.6B | $931M | 99 | 77 | 58 | n/a | n/a |
| 2021 | Mar 14, 2022 | $1.8B | $857M | 96 | 80 | 56 | n/a | n/a |
| 2020 | Mar 26, 2021 | $1.4B | $814M | 93 | 85 | 60 | n/a | n/a |
| 2019 | Mar 9, 2020 | $1.0B | $400M | 85 | 78 | 60 | n/a | n/a |
| 2018 | Mar 19, 2019 | $894M | $389M | 100 | 87 | 69 | n/a | n/a |
| 2017 | Feb 6, 2018 | $785M | $244M | 106 | 80 | 69 | n/a | n/a |
| 2016 | Jan 23, 2017 | $485M | $144M | 111 | 86 | n/a | n/a | n/a |
| 2015 | Feb 19, 2016 | $330M | $75.4M | 106 | 90 | n/a | n/a | n/a |
| 2014 | Jan 7, 2015 | $314M | $8.5M | 102 | 80 | n/a | n/a | n/a |
| 2013 | Jan 24, 2014 | $313M | $0 | 89 | 76 | n/a | n/a | n/a |
| 2012 | Jan 17, 2013 | $243M | $0 | 102 | 86 | n/a | n/a | n/a |
| 2011 | Mar 2, 2012 | $252M | $0 | n/a | n/a | n/a | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 9 | 6 | 3 | 6.2% | 6 | 1 | 0 | 23 | 14 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $2.0B | $2.0B | -1.0% | $1.6B | 7.6% | 125 | 93 | 56 | 58 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| FOUNDATIONS INVESTMENT ADVISORS LLC | 2 | Jul 1, 2024 | Jul 2, 2024 | INDIANAPOLIS, IN | Team lift out | Ibd to RIA | 2.5% |
| AE WEALTH MANAGEMENT, LLC | 2 | Dec 31, 2022 | Jan 4, 2023 | NAPLES, FL | Team lift out | Ibd to ibd | 2.4% |
| AE WEALTH MANAGEMENT, LLC | 3 | Aug 3, 2020 | Jun 24, 2019 | CLACKAMAS, OR | Team lift out | Ibd to RIA | 3.7% |
| COMMONWEALTH FINANCIAL NETWORK | 2 | May 31, 2019 | May 31, 2019 | WALNUT CREEK, CA | Team lift out | RIA to ibd | 2.9% |
| AE WEALTH MANAGEMENT, LLC | 2 | Nov 12, 2018 | Jul 10, 2020 | TOPEKA, KS | Team lift out | RIA to RIA | 2.8% |
| AMERITAS ADVISORY SERVICES | 2 | Mar 15, 2018 | Dec 3, 2019 | ATLANTA, GA | Team lift out | Other | 3.0% |
| REDHAWK WEALTH ADVISORS, INC. | 2 | Jan 8, 2018 | Jan 8, 2018 | TULSA, OK | Team lift out | Other | 3.0% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| ONEAMERICA SECURITIES, INC. | 3 | Jun 26, 2026 | Sep 1, 2026 | INDIANAPOLIS, IN | Team lift out | Ibd to ibd | 0.9% |
| CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | 2 | Jul 21, 2022 | Jul 15, 2022 | BLOOMFIELD HILLS, MI | Team lift out | Ibd to ibd | 0.1% |
| USA FINANCIAL SECURITIES LLC | 2 | Sep 26, 2019 | Oct 13, 2019 | FISHERS, IN | Team lift out | RIA to RIA | 1.5% |
| PLANMEMBER SECURITIES CORPORATION | 2 | Jul 28, 2016 | Aug 2, 2016 | CLERMONT, FL | Team lift out | Other | 1.0% |