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CRD 109485
BOCA RATON, FL
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| ARETEC GROUP, INC. | SHAREHOLDER; 100% OF COMMON STOCK | E | yes | 06/2014 | May 24, 2016 | Apr 13, 2021 |
| Bowman, Timothy, Joseph | PRINCIPAL FINANCIAL OFFICER | Na | yes | 04/2021 | Apr 13, 2021 | Apr 13, 2021 |
| BREGOZZO, MATTHEW, GREGORY | ADVISORY CHIEF COMPLIANCE OFFICER | Na | yes | 10/2018 | Jan 4, 2019 | Apr 13, 2021 |
| HARRISON, BRETT, LAMAR | Director | Na | yes | 07/2016 | Dec 5, 2016 | Apr 13, 2021 |
| JACOBS, STEVEN, CRAIG | VICE PRESIDENT | Na | yes | 08/2003 | Mar 30, 2012 | Apr 13, 2021 |
| LEEDS, MARSHALL, TODD | CHIEF EXECUTIVE OFFICER, DIRECTOR | Na | yes | 08/2003 | Mar 30, 2012 | Apr 13, 2021 |
| NEARY, JOSEPH, DANIEL | Director | Na | yes | 10/2016 | Dec 5, 2016 | Apr 13, 2021 |
| OLSON, GREGORY, ALAN | ASSISTANT SECRETARY | Na | yes | 10/2016 | Dec 5, 2016 | Apr 13, 2021 |
| SMILEY, STANLEY, ROBERT | VICE PRESIDENT | Na | yes | 10/2016 | Dec 5, 2016 | Apr 13, 2021 |
| SUMMIT BROKERAGE SERVICES, INC. | SOLE SHAREHOLDER | E | yes | 12/1999 | Mar 30, 2012 | Apr 13, 2021 |
| SUMMIT FINANCIAL SERVICES GROUP, INC. | HOLDING COMPANY | E | yes | 02/2004 | Mar 30, 2012 | Apr 13, 2021 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| CETERA INVESTMENT ADVISERS LLC | n/a | Bd affiliated wealth | $257B | N | yes | n/a |
| CETERA ADVISOR NETWORKS LLC | n/a | Former SEC adviser | $47B | N | yes | n/a |
| CETERA ADVISORS LLC | n/a | Former SEC adviser | $22B | N | yes | n/a |
| CETERA INVESTMENT SERVICES LLC | n/a | Former SEC adviser | $1.2B | N | yes | n/a |
| CETERA ADVISORY SERVICES LLC | n/a | No RAUM reported | $0 | N | yes | n/a |
| CETERA INVESTMENT MANAGEMENT LLC | n/a | No RAUM reported | $0 | N | yes | n/a |
| CETERA ADVISOR NETWORKS INSURANCE SERVICES, LLC | n/a | n/a | n/a | N | yes | n/a |
| CETERA ADVISORS INSURANCE SERVICES LLC | n/a | n/a | n/a | N | yes | n/a |
| CETERA FINANCIAL SPECIALISTS LLC | n/a | n/a | n/a | N | yes | n/a |
| CETERA INSURANCE AGENCY | n/a | n/a | n/a | N | yes | n/a |
| FASI INSURANCE SERVICES, INC. | n/a | n/a | n/a | N | yes | n/a |
| FASI OF TX | n/a | n/a | n/a | N | yes | n/a |
| FIRST ALLIED RETIREMENT SERVICES, INC. | n/a | n/a | n/a | N | yes | n/a |
| FIRST ALLIED SECURITIES, INC. | n/a | Former SEC adviser | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Honolulu | Hi | United States | 10 | yes |
| Greensboro | Nc | United States | 6 | yes |
| GREENWOOD VILLAGE | Co | United States | 5 | yes |
| FT LAUDERDALE | FL | United States | 5 | yes |
| Annapolis | Md | United States | 5 | yes |
| Clemmons | Nc | United States | 5 | yes |
| Scottsdale | Az | United States | 4 | yes |
| Shorewood | IL | United States | 4 | yes |
| Grandville | Mi | United States | 4 | yes |
| Hanover | Pa | United States | 4 | yes |
| MARBLE FALLS | TX | United States | 4 | yes |
| WEST MINSTER | Co | United States | 3 | yes |
| Sarasota | FL | United States | 3 | yes |
| Johnston | Ia | United States | 3 | yes |
| NORTH KANSAS CITY | Mo | United States | 3 | yes |
| Fairmont | Wv | United States | 3 | yes |
| PLEASANT HILL | CA | United States | 2 | yes |
| BOCA RATON | FL | United States | 2 | yes |
| FORT MYERS | FL | United States | 2 | yes |
| ST CHARLES | IL | United States | 2 | yes |
| Brighton | Mi | United States | 2 | yes |
| Fenton | Mi | United States | 2 | yes |
| Kirkwood | Mo | United States | 2 | yes |
| Oakhurst | Nj | United States | 2 | yes |
| Wheeling | Wv | United States | 2 | yes |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2020 | Mar 30, 2021 | $4.5B | $2.3B | 324 | 294 | 237 | n/a | n/a |
| 2019 | Mar 28, 2020 | $3.6B | $1.2B | 342 | 321 | 237 | n/a | n/a |
| 2018 | Mar 29, 2019 | $2.9B | $916M | 353 | 321 | 244 | n/a | n/a |
| 2017 | Mar 30, 2018 | $3.3B | $888M | 374 | 337 | 260 | n/a | n/a |
| 2016 | Mar 31, 2017 | $3.8B | $809M | 423 | 379 | n/a | n/a | n/a |
| 2015 | Mar 30, 2016 | $1.7B | $349M | 60 | 6 | n/a | n/a | n/a |
| 2014 | Mar 31, 2015 | $1.6B | $313M | 60 | 6 | n/a | n/a | n/a |
| 2013 | Mar 31, 2014 | $1.4B | $282M | 60 | 6 | n/a | n/a | n/a |
| 2012 | Mar 28, 2013 | $1.2B | $247M | 60 | 6 | n/a | n/a | n/a |
| 2011 | Mar 30, 2012 | $988M | $376M | n/a | n/a | n/a | n/a | n/a |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2020 | $4.5B | $3.6B | 26.2% | $3.3B | 10.6% | 324 | 342 | 237 | 237 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| CETERA ADVISOR NETWORKS LLC | 2 | May 20, 2021 | May 20, 2021 | CAMARILLO, CA | Channel change | Ibd to ibd | 0.8% |
| CETERA ADVISOR NETWORKS LLC | 2 | May 20, 2021 | May 20, 2021 | GREENWOOD VILLAGE, CO | Channel change | Ibd to ibd | 0.8% |
| CETERA ADVISOR NETWORKS LLC | 12 | May 20, 2021 | May 20, 2021 | BOCA RATON, FL | Channel change | Ibd to ibd | 4.6% |
| CETERA ADVISOR NETWORKS LLC | 3 | May 20, 2021 | Mar 22, 2021 | ATLANTA, GA | Channel change | Ibd to ibd | 1.2% |
| CETERA ADVISOR NETWORKS LLC | 2 | May 20, 2021 | May 20, 2021 | OVERLAND PARK, KS | Channel change | Ibd to ibd | 0.8% |
| CETERA ADVISOR NETWORKS LLC | 4 | May 20, 2021 | May 20, 2021 | LUTHERVILLE, MD | Channel change | Ibd to ibd | 1.5% |
| CETERA ADVISOR NETWORKS LLC | 5 | May 20, 2021 | May 20, 2021 | GRANDVILLE, MI | Channel change | Ibd to ibd | 1.9% |
| CETERA ADVISOR NETWORKS LLC | 6 | May 20, 2021 | May 20, 2021 | GREENSBORO, NC | Channel change | Ibd to ibd | 2.3% |
| CETERA ADVISOR NETWORKS LLC | 2 | May 20, 2021 | May 20, 2021 | BEND, OR | Channel change | Ibd to ibd | 0.8% |
| CETERA ADVISOR NETWORKS LLC | 2 | May 20, 2021 | May 20, 2021 | COLLIERVILLE, TN | Channel change | Ibd to ibd | 0.8% |
| CETERA ADVISOR NETWORKS LLC | 2 | May 20, 2021 | May 20, 2021 | WHEELING, WV | Channel change | Ibd to ibd | 0.8% |
| VSR ADVISORY SERVICES | 4 | May 20, 2021 | Sep 2, 2016 | GREENWOOD VILLAGE, CO | Channel change | Other | 1.5% |
| VSR ADVISORY SERVICES | 2 | May 20, 2021 | Sep 2, 2016 | HONOLULU, HI | Channel change | Other | 0.8% |
| LEXAURUM ADVISORS | 2 | Apr 20, 2021 | Jan 1, 2025 | WASHINGTON, DC | Team lift out | Ibd to RIA | 0.8% |
| PROSPERA FINANCIAL SERVICES, INC. | 3 | Apr 19, 2021 | Apr 28, 2021 | SOUTHGATE, MI | Team lift out | Ibd to RIA | 1.1% |
| RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | 2 | Apr 8, 2021 | Apr 1, 2021 | OAKHURST, NJ | Team lift out | Ibd to ibd | 0.7% |
| PROSPERA FINANCIAL SERVICES, INC. | 2 | Mar 3, 2021 | Mar 4, 2021 | CINCINNATI, OH | Team lift out | Ibd to RIA | 0.7% |
| NATIONS FINANCIAL GROUP, INC. | 2 | Feb 5, 2021 | Feb 11, 2021 | SILVERDALE, WA | Team lift out | Ibd to RIA | 0.7% |
| PROSPERA FINANCIAL SERVICES, INC. | 2 | Jan 26, 2021 | Jan 25, 2021 | CLARKSTON, MI | Team lift out | Ibd to RIA | 0.7% |
| EQUILIBRIA WEALTH MANAGEMENT, LLC | 2 | Dec 31, 2020 | Dec 15, 2020 | DRIPPING SPRINGS, TX | Team lift out | Ibd to new firm | 0.7% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| PRINCIPAL SECURITIES, INC. | 2 | Dec 17, 2020 | Dec 11, 2020 | ATLANTA, GA | Team lift out | Ibd to ibd | 0.2% |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | 2 | Jun 4, 2020 | Jun 4, 2020 | HILTON HEAD ISLAND, SC | Team lift out | Wirehouse to ibd | 0.0% |
| VOYA FINANCIAL ADVISORS, INC. | 2 | Apr 1, 2020 | Mar 26, 2020 | BRIDGEWATER, NJ | Team lift out | Ibd to ibd | 0.2% |
| LPL FINANCIAL LLC | 2 | Mar 13, 2020 | Mar 5, 2020 | SCOTTSDALE, AZ | Team lift out | Ibd to ibd | 0.0% |
| CETERA INVESTMENT ADVISERS LLC | 8 | Feb 10, 2020 | Oct 30, 2015 | DENVER, CO | Team lift out | Ibd to ibd | 0.4% |
| INDEPENDENT ADVISOR ALLIANCE, LLC | 3 | Nov 27, 2019 | Dec 2, 2019 | GREENSBORO, NC | Team lift out | RIA to ibd | 1.6% |
| WELLS FARGO ADVISORS | 3 | Jun 18, 2019 | Jun 14, 2019 | OAKHURST, NJ | Team lift out | Wirehouse to ibd | 0.2% |
| CETERA INVESTMENT ADVISERS LLC | 2 | Oct 8, 2018 | Nov 14, 2018 | MIRAMAR BEACH, FL | Team lift out | Ibd to ibd | 0.1% |
| INVESTMENT ADVISORS CORP | 2 | Sep 10, 2018 | Sep 10, 2018 | BROOMFIELD, CO | Team lift out | Ibd to ibd | 3.6% |
| WELLS FARGO ADVISORS | 2 | Dec 6, 2017 | Dec 1, 2017 | SILVERDALE, WA | Team lift out | Other | 0.1% |
| VSR ADVISORY SERVICES | 2 | Nov 2, 2016 | Sep 7, 2016 | HONOLULU, HI | Channel change | Other | 4.8% |
| VSR ADVISORY SERVICES | 3 | Nov 2, 2016 | Sep 1, 2016 | HOUSTON, TX | Channel change | Other | 7.1% |
| VSR ADVISORY SERVICES | 11 | Oct 31, 2016 | Sep 9, 2016 | OVERLAND PARK, KS | Channel change | Other | 25.0% |
| WELLS FARGO ADVISORS | 2 | Aug 25, 2015 | Aug 24, 2015 | ODESSA, TX | Team lift out | Other | 0.2% |
| WELLS FARGO ADVISORS | 3 | Jun 15, 2015 | Jun 11, 2015 | MARBLE FALLS, TX | Team lift out | Other | 0.3% |