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CRD 111052
SUMMIT, NJ
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 |
|---|---|---|---|---|---|---|
| Donald Peter Monti | n/a | Wexford, PA | SUMMIT, NJ | 24 | 43 | n/a | yes |
| Zorah Jane Riley | n/a | Westminster, CO | SUMMIT, NJ | 24 | 28 | n/a | yes |
| Daniel James Thompson | n/a | PITTSBURGH, PA | 20 | 30 | n/a | yes |
| James Milton Raabe | n/a | SUMMIT, NJ | MERCER ISLAND, WA | 20 | 36 | n/a | yes |
| Barwick Odessa Barfield | Chartered Financial Consultant | SUMMIT, NJ | Baton Rouge, LA | 19 | 24 | 1 | yes |
| Joseph Weeks Guess | n/a | PICKENS, MS | SUMMIT, NJ | 19 | 35 | 1 | yes |
| PAUL BONNELL STEVENSON | n/a | SUMMIT, NJ | NORTH HAMPTON, NH | 18 | 47 | n/a | no |
| Edwin George Colvin | n/a | SUMMIT, NJ | Jacksonville, FL | 17 | 41 | 1 | yes |
| Sean David Wickersham | n/a | SUMMIT, NJ | Colts Neck, NJ | 17 | 26 | n/a | yes |
| Farid Mokhtarian | n/a | SUMMIT, NJ | TORRANCE, CA | 16 | 30 | 1 | yes |
| Donald Edward Garlikov | n/a | COLUMBUS, OH | SUMMIT, NJ | 16 | 48 | n/a | yes |
| Timothy Patrick Gelinas | n/a | Marietta, GA | SUMMIT, NJ | 15 | 26 | n/a | yes |
| Alexander Andreyevich Nikolenko | Chartered Financial Consultant | SUMMIT, NJ | Tarzana, CA | 14 | 27 | 1 | yes |
| MARY ELIZABETH SCHAAF | n/a | ERIE, PA | SUMMIT, NJ | 13 | 38 | 2 | no |
| Giacomo Salvatore Palazzolo | n/a | SUMMIT, NJ | ARLINGTON HEIGHTS, IL | 13 | 30 | 1 | yes |
| Phillip John Bucaro | n/a | SUMMIT, NJ | ARLINGTON HEIGHTS, IL | 13 | 34 | 1 | yes |
| Benjamin Ryan Tiller | n/a | Mesa, AZ | SUMMIT, NJ | 13 | 15 | n/a | yes |
| Van B Lam | n/a | SUMMIT, NJ | Parker, CO | 13 | 15 | n/a | yes |
| EUGENE CLAIR WOLFE | Chartered Financial Consultant | DULUTH, MN | SUMMIT, NJ | 12 | 40 | 2 | yes |
| JAMES ALLAN ROBERTS | n/a | SUMMIT, NJ | Excelsior, MN | 12 | 35 | 1 | yes |
| Brian Paul Hanson | n/a | Eden Prairie, MN | SUMMIT, NJ | 12 | 35 | 5 | no |
| MICHAEL AARON GUBIN | Certified Financial Planner | Deerfield, IL | SUMMIT, NJ | 12 | 14 | 1 | yes |
| Mark David Rosen | n/a | SUMMIT, NJ | Pittsburgh, PA | 10 | 47 | 1 | yes |
| Igor A Zey | Certified Financial Planner|Chartered Financial Consultant | Tarzana, CA | SUMMIT, NJ | 10 | 29 | 2 | yes |
| Andrea Lynn Dykes | Certified Financial Planner | CHEVY CHASE, MD | SUMMIT, NJ | 10 | 19 | 2 | yes |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| DONALDSON, BRUCE, GEORGE | BOARD MEMBER | Na | yes | 08/2023 | Mar 31, 2026 | Mar 31, 2026 |
| LEIDNER, MITCHELL, MARC | BOARD MEMBER | Na | yes | 08/2023 | Mar 31, 2026 | Mar 31, 2026 |
| Mann, Warren, Brennan | PRINCIPAL OPERATIONS OFFICER | Na | yes | 01/2022 | Mar 31, 2026 | Mar 31, 2026 |
| MCCANN, ERIN, BARTLETT | BOARD MEMBER | Na | yes | 08/2023 | Mar 31, 2026 | Mar 31, 2026 |
| RILEY, ZORAH, JANE | CHIEF COMPLIANCE OFFICER | Na | yes | 06/2001 | Mar 31, 2026 | Mar 31, 2026 |
| SIMPLICITY FINANCIAL MARKETING HOLDINGS INC | Owner | E | yes | 08/2023 | Mar 31, 2026 | Mar 31, 2026 |
| Tiller, Benjamin, Ryan | DIRECTOR OF ADVISORY SERVICES | Na | yes | 01/2024 | Mar 31, 2026 | Mar 31, 2026 |
| WICKERSHAM, SEAN, DAVID | President | Na | yes | 02/2018 | Mar 31, 2026 | Mar 31, 2026 |
| LEE EQUITY PARTNERSIII GP,LLC | GENERAL PARTNER | F | yes | 12/2020 | Aug 25, 2023 | Mar 29, 2024 |
| LEP PEQUOD GP, LLC | GENERAL PARTNER | F | yes | 12/2020 | Aug 25, 2023 | Mar 29, 2024 |
| LEP PEQUOD HOLDINGS, LP | Shareholder | E | yes | 12/2020 | Aug 25, 2023 | Mar 29, 2024 |
| LEP SIMPLICITY HOLDINGS, LP | Member | E | yes | 12/2020 | Aug 25, 2023 | Mar 29, 2024 |
| PEQUOD MIDCO INC | Shareholder | E | yes | 12/2020 | Aug 25, 2023 | Mar 29, 2024 |
| PEQUOD TOPCO INC | Shareholder | E | yes | 12/2020 | Aug 25, 2023 | Mar 29, 2024 |
| SIMPLICITY FINANCIAL MARKETING GROUP HOLDINGS INC. | Shareholder | E | yes | 02/2018 | Aug 25, 2023 | Mar 29, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| GIDEON STRATEGIC PARTNERS LLC | n/a | n/a | n/a | N | no | n/a |
| THE LEADERS GROUP, INC. | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Pittsburgh | Pa | United States | 13 | yes |
| Indianapolis | In | United States | 6 | yes |
| SHERMAN OAKS | CA | United States | 3 | yes |
| Jacksonville | FL | United States | 3 | yes |
| ARLINGTON HEIGHTS | IL | United States | 3 | yes |
| Northbrook | IL | United States | 3 | yes |
| Colliersville | Tn | United States | 3 | yes |
| SANTA MONICA | CA | United States | 2 | yes |
| Denver | Co | United States | 2 | yes |
| Boston | Me | United States | 2 | yes |
| Lincoln | Ne | United States | 2 | yes |
| Spring | TX | United States | 2 | yes |
| Norfolk | Va | United States | 2 | yes |
| Guntersville | Al | United States | 1 | yes |
| Cloverdale | CA | United States | 1 | yes |
| LAGUNA HILLS | CA | United States | 1 | yes |
| LOS ANGELES | CA | United States | 1 | no |
| SAN DIEGO | CA | United States | 1 | yes |
| Sunnyvale | CA | United States | 1 | yes |
| Torrance | CA | United States | 1 | yes |
| Visalia | CA | United States | 1 | yes |
| Arvada | Co | United States | 1 | yes |
| Stamford | Ct | United States | 1 | yes |
| DEWEY BEACH | De | United States | 1 | yes |
| Newark | De | United States | 1 | yes |
| Maitland | FL | United States | 1 | yes |
| Miami | FL | United States | 1 | yes |
| Naples | FL | United States | 1 | yes |
| Sarasota | FL | United States | 1 | yes |
| Dublin | Ga | United States | 1 | yes |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 31, 2026 | $2.3B | $1.8B | 290 | 155 | 120 | n/a | n/a |
| 2024 | Apr 10, 2025 | $1.9B | $1.5B | 280 | 147 | 107 | 10 | n/a |
| 2023 | Mar 29, 2024 | $1.7B | $1.1B | 264 | 137 | 96 | n/a | n/a |
| 2022 | Mar 16, 2023 | $1.6B | $1.3B | 264 | 140 | 96 | n/a | n/a |
| 2021 | Mar 30, 2022 | $1.1B | $1.1B | 244 | 129 | 90 | n/a | n/a |
| 2020 | Mar 30, 2021 | $1.2B | $893M | 175 | 88 | 59 | n/a | n/a |
| 2019 | Mar 30, 2020 | $524M | $524M | 175 | 88 | 59 | n/a | n/a |
| 2018 | Mar 26, 2019 | $405M | $405M | 130 | 85 | 54 | n/a | n/a |
| 2017 | Mar 23, 2018 | $381M | $192M | 120 | 65 | 34 | n/a | n/a |
| 2016 | Mar 28, 2017 | $311M | $311M | 120 | 65 | n/a | n/a | n/a |
| 2015 | Mar 24, 2016 | $297M | $297M | 100 | 60 | n/a | n/a | n/a |
| 2014 | Mar 27, 2015 | $338M | $337M | 96 | 50 | n/a | n/a | n/a |
| 2013 | Mar 24, 2014 | $283M | $283M | 90 | 35 | n/a | n/a | n/a |
| 2012 | Mar 6, 2013 | $205M | $205M | 75 | 35 | n/a | n/a | n/a |
| 2011 | Mar 7, 2012 | $158M | $158M | 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 |
|---|---|---|---|---|---|---|---|---|
| 56 | 35 | 21 | 11.5% | 6 | 10 | 0 | 126 | 70 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $2.3B | $1.9B | 17.9% | $1.6B | 12.3% | 290 | 280 | 120 | 107 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| USA FINANCIAL SECURITIES LLC | 4 | Dec 31, 2025 | Feb 19, 2026 | MINNEAPOLIS, MN | Team lift out | Ibd to RIA | 1.5% |
| USA FINANCIAL SECURITIES LLC | 2 | Dec 31, 2025 | Mar 10, 2026 | SUMMIT, NJ | Team lift out | Ibd to RIA | 0.7% |
| VALMARK ADVISERS, INC. | 2 | Oct 18, 2021 | Oct 18, 2021 | SUMMIT, NJ | Team lift out | Ibd to ibd | 1.2% |
| CETERA ADVISOR NETWORKS LLC | 2 | Nov 13, 2018 | Nov 13, 2018 | AUGUSTA, GA | Team lift out | Ibd to ibd | 2.3% |
| GREAT VALLEY ADVISOR GROUP, LLC | 4 | Aug 31, 2017 | Sep 16, 2017 | SUMMIT, NJ | Team lift out | Other | 5.1% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| CONCOURSE FINANCIAL GROUP ADVISORS | 3 | Dec 2, 2024 | Dec 2, 2024 | BIRMINGHAM, AL | Team lift out | Ibd to ibd | 1.2% |
| AMERITAS ADVISORY SERVICES, LLC | 4 | Jun 6, 2024 | Jan 1, 2025 | LOS ANGELES, CA | Team lift out | Ibd to ibd | 0.8% |
| OSAIC FA, INC. | 6 | May 8, 2024 | Jan 27, 2026 | FORT WAYNE, IN | Team lift out | Ibd to ibd | 0.6% |
| MAS ADVISORS LLC | 2 | Apr 12, 2023 | Jan 6, 2026 | COLLERVILLE, TN | Team lift out | Other | 33.3% |
| CONCOURSE FINANCIAL GROUP ADVISORS | 2 | Dec 31, 2021 | Jan 4, 2022 | HOUSTON, TX | Team lift out | Ibd to ibd | 0.7% |
| M HOLDINGS SECURITIES, INC. | 2 | Jul 16, 2021 | Sep 28, 2021 | PORTLAND, OR | Team lift out | Ibd to ibd | 1.1% |
| NATIONWIDE SECURITIES, LLC | 2 | Jul 1, 2020 | Aug 18, 2020 | MC DONOUGH, GA | Team lift out | Other | 5.9% |
| QUESTAR ASSET MANAGEMENT, INC. | 2 | May 2, 2019 | Sep 23, 2019 | SACRAMENTO, CA | Team lift out | Ibd to ibd | 11.1% |
| QUESTAR ASSET MANAGEMENT, INC. | 2 | May 2, 2019 | Nov 16, 2020 | ANN ARBOR, MI | Team lift out | Ibd to ibd | 11.1% |
| QUESTAR ASSET MANAGEMENT, INC. | 4 | May 2, 2019 | Jan 12, 2026 | MINNEAPOLIS, MN | Team lift out | Ibd to ibd | 22.2% |
| NATIONWIDE SECURITIES, LLC | 2 | Jan 4, 2019 | Jan 2, 2026 | RALEIGH, NC | Team lift out | Other | 2.2% |
| M HOLDINGS SECURITIES, INC. | 3 | Dec 31, 2018 | Feb 7, 2019 | INDIANAPOLIS, IN | Team lift out | Ibd to ibd | 1.7% |
| M HOLDINGS SECURITIES, INC. | 2 | Dec 31, 2018 | Jan 18, 2019 | PORTLAND, OR | Team lift out | Ibd to ibd | 1.2% |
| PRUCO SECURITIES, LLC | 2 | Jan 11, 2017 | Feb 3, 2017 | WARRINGTON, PA | Team lift out | Other | 0.2% |