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CRD 105375
CLEARWATER, FL
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| VINCENT RAYMOND FERRARA | Certified Financial Planner | CLEARWATER, FL | 38 | 55 | 3 | no |
| ERIC RUSSELL EBBERT | Certified Financial Planner | CLEARWATER, FL | 24 | 28 | 1 | no |
| JACK DEVON NILES | n/a | KEY WEST, FL | CLEARWATER, FL | 24 | 26 | n/a | no |
| JON MICHAEL BRETHAUER | Certified Financial Planner | CLEARWATER, FL | 18 | 20 | 2 | yes |
| SHANE D O'HARA | Certified Financial Planner | CLEARWATER, FL | 9 | 11 | 1 | yes |
| Susan Clementine Washburn | Certified Financial Planner | CLEARWATER, FL | 9 | 19 | 1 | no |
| DANIEL RAYMOND MANNIX | Chartered Financial Analyst | CLEARWATER, FL | 6 | 15 | n/a | yes |
| STEPHEN JAMES CSENGE | Certified Financial Planner | Tampa, FL | CLEARWATER, FL | 5 | 38 | 3 | yes |
| Russell James Campbell | Certified Financial Planner | CLEARWATER, FL | 5 | 34 | 1 | no |
| HOLLY ANN HARMAN | Certified Financial Planner | CLEARWATER, FL | 5 | 26 | n/a | no |
| Sandra Ann Risgaard | Certified Financial Planner | CLEARWATER, FL | 5 | 22 | 3 | no |
| THOMAS J HARRINGTON | Certified Financial Planner | CLEARWATER, FL | 4 | 25 | 4 | yes |
| Peter Vincent Seriano | Certified Financial Planner | CLEARWATER, FL | 4 | 19 | 5 | yes |
| JONATHAN RICHMOND | Certified Financial Planner | CLEARWATER, FL | Clearwater, FL | 2 | 11 | 2 | yes |
| Derek Robert Kelly | Certified Financial Planner | CLEARWATER, FL | 1 | 12 | n/a | no |
| Joseph Robert McFadden | Certified Financial Planner|Chartered Financial Analyst | CLEARWATER, FL | 1 | 20 | 2 | no |
| Justin Matthew Whitmer | n/a | CLEARWATER, FL | 0 | 10 | n/a | no |
| Ryan Patrick McCrerey | Certified Financial Planner | CLEARWATER, FL | 0 | 17 | 5 | yes |
| Oscar Grimsmo Skjaerpe | Certified Financial Planner | CLEARWATER, FL | 0 | 12 | 1 | no |
| Christiana Marie Dirks | Certified Financial Planner | CLEARWATER, FL | 0 | 17 | n/a | no |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| BRETHAUER, JON, MICHAEL | PRESIDENT/MANAGER | Na | yes | 07/2011 | Aug 17, 2026 | Aug 17, 2026 |
| EBBERT, ERIC, RUSSELL | CEO/MANAGER | Na | yes | 01/2005 | Aug 17, 2026 | Aug 17, 2026 |
| KESTRA FINANCIAL,INC | MANAGING MEMBER | E | yes | 10/2014 | Aug 17, 2026 | Aug 17, 2026 |
| O'HARA, SHANE, D | EXECUTIVE VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | Na | yes | 01/2021 | Aug 17, 2026 | Aug 17, 2026 |
| FERRARA, VINCENT, RAYMOND | EXECUTIVE CHAIR/MANAGER | Na | yes | 02/2002 | Mar 27, 2012 | Mar 28, 2024 |
| KESTRA ADVISOR SERVICES HOLDINGS A, INC. | Owner | E | yes | 06/2014 | Mar 14, 2017 | Mar 28, 2024 |
| KESTRA ADVISOR SERVICES HOLDINGS B, INC. | Owner | E | yes | 06/2014 | Mar 14, 2017 | Mar 28, 2024 |
| KESTRA ADVISOR SERVICES HOLDINGS C, INC. | Owner | E | yes | 06/2014 | Mar 14, 2017 | Mar 28, 2024 |
| KINGFISHER HOLDING A, INC. | Owner | E | yes | 06/2019 | Jul 1, 2019 | Mar 28, 2024 |
| KINGFISHER HOLDING B, INC. | Owner | E | yes | 06/2019 | Jul 1, 2019 | Mar 28, 2024 |
| KINGFISHER HOLDING GP, LLC | GENERAL PARTNER | F | yes | 06/2019 | Jul 1, 2019 | Mar 28, 2024 |
| KINGFISHER HOLDING, L.P. | Owner | E | yes | 06/2019 | Jul 1, 2019 | Mar 28, 2024 |
| OAK HILL CAPITAL PARTNERS VI (ONSHORE), L.P. | Owner | C | yes | 02/2023 | Mar 29, 2023 | Mar 28, 2024 |
| OAK HILL CAPITAL PARTNERS VI (TE 892), L.P. | Owner | C | yes | 02/2023 | Mar 29, 2023 | Mar 28, 2024 |
| OHCP VI ENZO AGGREGATOR, L.P. | Owner | C | yes | 02/2023 | Mar 29, 2023 | Mar 28, 2024 |
| WARBURG PINCUS FINANCIAL SECTOR, L.P. | LIMITED PARTNER | C | yes | 06/2019 | Jul 1, 2019 | Mar 28, 2024 |
| MANNIX, DANIEL, RAYMOND | SENIOR PORTFOLIO MANAGER | Na | no | 01/2026 | Aug 17, 2026 | Aug 17, 2026 |
| NORWOOD, ROBERT, BREDT | Secretary | Na | no | 04/2016 | Aug 17, 2026 | Aug 17, 2026 |
| YIN, YIN | Controller | Na | no | 09/2007 | Aug 17, 2026 | Aug 17, 2026 |
| Washburn, Susan, Clementine | SENIOR FINANCIAL PLANNER | Na | no | 01/2022 | Mar 28, 2022 | Mar 28, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| KESTRA ADVISORY SERVICES, LLC | n/a | Bd affiliated wealth | $80B | N | yes | n/a |
| KESTRA PRIVATE WEALTH SERVICES, LLC | n/a | Bd affiliated wealth | $13B | N | yes | n/a |
| KESTRA INVESTMENT SERVICES, LLC | n/a | Former SEC adviser | $12B | N | yes | n/a |
| SNS FINANCIAL GROUP, LLC | n/a | Independent wealth | $5.4B | N | yes | n/a |
| KESTRA INVESTMENT MANAGEMENT, LLC. | n/a | Asset manager | $4.3B | N | yes | n/a |
| CAPITAL PLANNING ADVISORS LLC | n/a | Former SEC adviser | $1.5B | N | yes | n/a |
| BEACON RETIREMENT PLANNING SERVICES INC. | n/a | Independent wealth | $1.3B | N | yes | n/a |
| GOLDSTEIN ADVISORS, LLC | n/a | Independent wealth | $1.1B | N | yes | n/a |
| BEDELL FRAZIER INVESTMENT COUNSELLING, LLC. | n/a | Former SEC adviser | $872M | N | yes | n/a |
| HUGHES FINANCIAL SERVICES, LLC | n/a | Independent wealth | $760M | N | yes | n/a |
| HEDEKER WEALTH LLC | n/a | Independent wealth | $595M | N | yes | n/a |
| RITTER DANIHER FINANCIAL ADVISORY LLC | n/a | Former SEC adviser | $493M | N | yes | n/a |
| JOULE FINANCIAL, LLC | n/a | Former SEC adviser | $479M | N | yes | n/a |
| HICKORY ASSET MANAGEMENT, INC. | n/a | Former SEC adviser | $249M | N | yes | n/a |
| KESTRA INSTITUTIONAL SERVICES, LLC | n/a | No RAUM reported | $0 | N | yes | n/a |
| AMERICAN FINANCIAL SOLUTIONS, INC. | n/a | n/a | n/a | N | yes | n/a |
| ARDEN TRUST COMPANY | n/a | n/a | n/a | N | yes | n/a |
| BERNARD R. WOLFE & ASSOCIATES, INC. | n/a | n/a | n/a | N | yes | n/a |
| COMPASS CAPITAL MANAGEMENT, LLC | n/a | n/a | n/a | N | yes | n/a |
| JACK D. NILES JR. | n/a | n/a | n/a | Y | no | n/a |
| KESTRA INSURANCE SERVICES, LLC | n/a | n/a | n/a | N | yes | n/a |
| OKLAHOMA FINANCIAL CENTER, INC. | n/a | n/a | n/a | N | yes | n/a |
| VECTOR INSURANCE SERVICES, LLC | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Tampa | FL | United States | 6 | yes |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 31, 2026 | $2.0B | $2.0B | 22 | 16 | 1 | n/a | n/a |
| 2024 | Mar 28, 2025 | $1.8B | $1.8B | 19 | 16 | 1 | n/a | n/a |
| 2023 | Mar 21, 2024 | $1.9B | $1.9B | 21 | 17 | 1 | n/a | n/a |
| 2022 | Mar 29, 2023 | $1.6B | $1.6B | 21 | 17 | 1 | n/a | n/a |
| 2021 | Mar 28, 2022 | $1.8B | $1.8B | 19 | 16 | 1 | n/a | n/a |
| 2020 | Mar 31, 2021 | $1.5B | $1.5B | 19 | 17 | 1 | n/a | n/a |
| 2019 | Mar 30, 2020 | $1.5B | $1.5B | 18 | 14 | 1 | n/a | n/a |
| 2018 | Mar 28, 2019 | $1.3B | $1.3B | 20 | 15 | 1 | n/a | n/a |
| 2017 | Mar 29, 2018 | $1.4B | $1.4B | 19 | 16 | 1 | n/a | n/a |
| 2016 | Mar 14, 2017 | $1.3B | $1.3B | 21 | 19 | n/a | n/a | n/a |
| 2015 | Mar 25, 2016 | $1.2B | $1.2B | 25 | 17 | n/a | n/a | n/a |
| 2014 | Mar 26, 2015 | $1.2B | $1.2B | 25 | 16 | n/a | n/a | n/a |
| 2013 | Mar 26, 2014 | $983M | $977M | 16 | 9 | n/a | n/a | n/a |
| 2012 | Mar 28, 2013 | $758M | $753M | 16 | 9 | n/a | n/a | n/a |
| 2011 | Mar 27, 2012 | $706M | $701M | 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 |
|---|---|---|---|---|---|---|---|---|
| 1 | 0 | 1 | 0.0% | 0 | 0 | 0 | 3 | 2 |
| 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 | $1.8B | 12.7% | $1.6B | 7.9% | 22 | 19 | 1 | 1 |