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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

DAVID VAUGHAN INVESTMENTS, LLC

CRD 105990

PEORIA, IL

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:1cda52ab-4d2d-2086-3179-5209d126bbb2

Data as of Jul 20, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:56 PM UTC and rebuilt at most every 15 minutes.

Relationships: 45
Dated events: 14
On other graphs: 0
Observed: Dec 15, 2011 to Jul 20, 2026
46 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: independent wealth managerderivedprivate_client_share=0.73 fund_share=0.0 institutional_share=0.15 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $5.3BItem 5.F on the latest filing (2026-07-20); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $5.3B
Private client RAUM: $3.9BderivedItem 5.D individuals plus high net worth individuals
Private client share: 73%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 23
RAUM per advisor: $232Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 48
Advisory employees: 48
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 4,288
Individual clients: 443
High net worth clients: 721
Custody, client assets: $3.4B
SEC number: 801-12642
CIK: 1063571
CRD: 105990
Filings on the tape: 46
First filed: Dec 15, 2011
Latest filed: Jul 20, 2026
Organised: Limited Liability Company, DE

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
BRIAN A CHRISTENSEN	n/a	Winter Park, FL \| PEORIA, IL	28	35	n/a	no
LAWRENCE WILLIAMS IV	n/a	PEORIA, IL	28	35	n/a	no
STEPHEN K HINRICHS	n/a	PEORIA, IL	28	28	n/a	no
PATRICK JOSEPH SMARJESSE	n/a	PEORIA, IL	27	41	n/a	no
TODD MICHAEL SHERIDAN	n/a	PEORIA, IL	26	33	n/a	no
DEANNA MARIE BAELE	Certified Financial Planner	PEORIA, IL	24	31	n/a	no
ANDREW JAMES LISTER	Chartered Financial Analyst	PEORIA, IL	20	20	n/a	no
STEPHANIE ANNE RICKETTS	n/a	PEORIA, IL	18	27	2	no
DALTON MICHAEL MELLON	n/a	PEORIA, IL	13	13	n/a	no
MEGHAN J. JACKSON	n/a	PEORIA, IL	12	22	n/a	no
JEFFREY JOHN HUIZENGA	Certified Financial Planner\|Chartered Financial Consultant	PEORIA, IL	11	32	2	no
JOHNATHAN PIERCE TIMKO	Certified Financial Planner	Winter Park, FL \| PEORIA, IL	9	19	2	no
DARRIN ATTIS AUTRY	Certified Financial Planner	East Peoria, IL \| PEORIA, IL	9	10	n/a	no
GLENN JAMES MAXEY	Chartered Financial Analyst	PEORIA, IL	8	11	n/a	no
MICHAEL MARTIN FLAHERTY	Certified Financial Planner\|Chartered Financial Consultant	PEORIA, IL	8	18	2	no
Zachery Morgenstern	Certified Financial Planner	PEORIA, IL	4	14	1	no
MICHAEL E ARMISTEAD	Certified Financial Planner	PEORIA, IL \| WINTER PARK, FL	4	16	2	no
Alexis Laure Morey	n/a	PEORIA, IL	2	15	1	no
Christopher Kent	n/a	PEORIA, IL \| Winter Park, FL	2	11	n/a	no
Devin James Shaffer	n/a	PEORIA, IL \| WINTER PARK, FL	1	21	n/a	no
JADE MARIE LAVERDIERE	n/a	WINTER PARK, FL \| PEORIA, IL	1	11	n/a	no
Ryan David Sewell	n/a	PEORIA, IL \| WINTER PARK, FL	0	15	3	no
Cody John Behrens	Chartered Financial Consultant\|Chartered Financial Analyst	PEORIA, IL	0	11	2	no

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
AUTRY, DARRIN, ATTIS	ELECTED MANAGER	Na	yes	03/2021	Jul 20, 2026	Jul 20, 2026
DEWALT, MICHAEL, L	ELECTED MANAGER	Na	yes	04/2016	Jul 20, 2026	Jul 20, 2026
DVI CAPITAL CORP.	Member	B	yes	07/2017	Jul 20, 2026	Jul 20, 2026
HINRICHS, STEPHEN, K	SENIOR VICE PRESIDENT OF INVESTMENT RESEARCH	Na	yes	03/2018	Jul 20, 2026	Jul 20, 2026
HOMETOWN COMMUNITY	Member	E	yes	09/2017	Jul 20, 2026	Jul 20, 2026
HONEGGER, ANDREW, ALAN	ELECTED MANAGER	Na	yes	09/2017	Jul 20, 2026	Jul 20, 2026
HUIZENGA, JEFFREY, JOHN	DIRECTOR OF WEALTH STRATEGIES	Na	yes	03/2025	Jul 20, 2026	Jul 20, 2026
MAXEY, GLENN, JAMES	DIRECTOR & SENIOR PORTFOLIO MANAGER	Na	yes	03/2024	Jul 20, 2026	Jul 20, 2026
MCCLURE, JOHN, VANNORDEN	ELECTED MANAGER	Na	yes	01/2008	Jul 20, 2026	Jul 20, 2026
PRICE, MICHAEL, ALLEN	CHIEF COMPLIANCE OFFICER, VICE PRESIDENT OF RISK MANAGEMENT & CORPORATE SECRETARY	Na	yes	07/2014	Jul 20, 2026	Jul 20, 2026
RICKETTS, STEPHANIE, ANNE	SENIOR RELATIONSHIP MANAGER & DIRECTOR OF CLIENT SERVICES	Na	yes	03/2025	Jul 20, 2026	Jul 20, 2026
RISI, ALFREDO, ARMANDO	CHIEF OPERATING OFFICER	Na	yes	10/2023	Jul 20, 2026	Jul 20, 2026
SALMON, ELIZABETH, W	VICE PRESIDENT OF OPERATIONS	Na	yes	06/2017	Jul 20, 2026	Jul 20, 2026
SCHOEPLEIN, KEVIN, D	ELECTED MANAGER	Na	yes	03/2018	Jul 20, 2026	Jul 20, 2026
SHERIDAN, TODD, MICHAEL	VICE PRESIDENT	Na	yes	09/2006	Jul 20, 2026	Jul 20, 2026
SMARJESSE, PATRICK, JOSEPH	SENIOR VICE PRESIDENT OF RELATIONSHIP MANAGEMENT	Na	yes	09/2006	Jul 20, 2026	Jul 20, 2026
SPEARS, CHRISTOPHER, CLARK	ELECTED MANAGER	Na	yes	03/2025	Jul 20, 2026	Jul 20, 2026
VAUGHAN JR, DAVID, JOHN	ELECTED MANAGER	Na	yes	09/2006	Jul 20, 2026	Jul 20, 2026
WILLIAMS IV, LAWRENCE	ELECTED MANAGER, CHAIRMAN, PRESIDENT & CEO	Na	yes	12/2017	Jul 20, 2026	Jul 20, 2026
ZIPPAY, MITCHELL, A	DIRECTOR & SENIOR ACCOUNTING MANAGER	Na	yes	03/2025	Jul 20, 2026	Jul 20, 2026
BAUM, WAYNE, E	ELECTED MANAGER	Na	yes	06/2012	Feb 8, 2013	Mar 28, 2024
CHRISTENSEN, BRIAN, ANDREW	ELECTED MANAGER & SR VICE PRESIDENT & CHIEF INVESTMENT OFFICER	Na	yes	09/2006	Dec 15, 2011	Mar 28, 2024
HOMETOWN COMMUNITY BANCORP, INC.	Member	E	yes	09/2017	Jun 8, 2018	Mar 28, 2024
HOMETOWN COMMUNITY BANCORP, INC. EMPLOYEE STOCK OWNERSHIP PLAN & TRUST	Owner	C	yes	12/1999	Mar 28, 2024	Mar 28, 2024
PILLMAN, VIRGINIA, JOHNSON	ELECTED MANAGER	Na	yes	06/2011	Mar 27, 2012	Mar 28, 2024
DUVALL, ERIN, L	CHIEF PEOPLE OFFICER	Na	no	01/2026	Jul 20, 2026	Jul 20, 2026

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
HOMETOWN COMMUNITY BANCORP, INC.	n/a	n/a	n/a	Y	no	n/a
MORTON COMMUNITY BANK	n/a	n/a	n/a	N	yes	n/a

Offices

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

City	State	Country	Employees	Also broker-dealer
WINTER PARK	FL	United States	7	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
2025	Mar 30, 2026	$5.3B	$5.3B	48	48	1	n/a	n/a
2024	Apr 10, 2025	$4.9B	$4.9B	46	46	1	n/a	n/a
2023	Mar 28, 2024	$4.3B	$4.3B	44	44	1	n/a	n/a
2022	Mar 31, 2023	$3.9B	$3.9B	41	41	1	n/a	n/a
2021	Mar 31, 2022	$3.9B	$3.9B	38	38	1	n/a	n/a
2020	Mar 31, 2021	$3.2B	$3.2B	35	35	1	n/a	n/a
2019	Mar 30, 2020	$3.0B	$3.0B	33	33	1	n/a	n/a
2018	Mar 30, 2019	$2.4B	$2.4B	29	15	1	n/a	n/a
2017	Mar 13, 2018	$2.6B	$2.6B	26	15	1	n/a	n/a
2016	Feb 28, 2017	$2.2B	$2.2B	23	13	n/a	n/a	n/a
2015	Mar 30, 2016	$2.0B	$2.0B	22	12	n/a	n/a	n/a
2014	Mar 31, 2015	$2.0B	$2.0B	21	11	n/a	n/a	n/a
2013	Mar 26, 2014	$1.8B	$1.8B	19	10	n/a	n/a	n/a
2012	Feb 8, 2013	$1.5B	$1.5B	18	9	n/a	n/a	n/a
2011	Mar 27, 2012	$1.4B	$1.4B	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
2	1	1	4.3%	0	1	0	4	2

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
2025	$5.3B	$4.9B	8.1%	$3.9B	10.6%	48	46	1	1

Relationships

Registered with (26)

← Cody John BehrensAdvisorregistration: current employment
Mar 16, 2026 to presentfactForm ADV
← Ryan David SewellAdvisorregistration: current employment
Dec 16, 2025 to presentfactForm ADV
← JADE MARIE LAVERDIEREAdvisorregistration: current employment
Aug 20, 2025 to presentfactForm ADV
← Devin James ShafferAdvisorregistration: current employment
Feb 24, 2025 to presentfactForm ADV
← Christopher KentAdvisorregistration: current employment
Jan 4, 2024 to presentfactForm ADV
← Alexis Laure MoreyAdvisorregistration: current employment
Dec 7, 2023 to presentfactForm ADV
← MICHAEL E ARMISTEADAdvisorregistration: current employment
Aug 1, 2022 to presentfactForm ADV
← Zachery MorgensternAdvisorregistration: current employment
Feb 9, 2022 to presentfactForm ADV
← MICHAEL MARTIN FLAHERTYAdvisorregistration: current employment
Feb 20, 2018 to presentfactForm ADV
← GLENN JAMES MAXEYAdvisorregistration: current employment
Nov 16, 2017 to presentfactForm ADV
← DARRIN ATTIS AUTRYAdvisorregistration: current employment
Mar 10, 2017 to presentfactForm ADV
← JOHNATHAN PIERCE TIMKOAdvisorregistration: current employment
Nov 16, 2016 to presentfactForm ADV
← JEFFREY JOHN HUIZENGAAdvisorregistration: current employment
Nov 12, 2014 to presentfactForm ADV
← MEGHAN J. JACKSONAdvisorregistration: current employment
Feb 13, 2014 to presentfactForm ADV
← DALTON MICHAEL MELLONAdvisorregistration: current employment
Aug 19, 2013 to presentfactForm ADV
← STEPHANIE ANNE RICKETTSAdvisorregistration: current employment
Nov 6, 2007 to presentfactForm ADV
← ANDREW JAMES LISTERAdvisorregistration: current employment
Apr 6, 2006 to presentfactForm ADV
← DEANNA MARIE BAELEAdvisorregistration: current employment
May 9, 2002 to presentfactForm ADV
← TODD MICHAEL SHERIDANAdvisorregistration: current employment
Mar 17, 2000 to presentfactForm ADV
← PATRICK JOSEPH SMARJESSEAdvisorregistration: current employment
Dec 28, 1998 to presentfactForm ADV
← STEPHEN K HINRICHSAdvisorregistration: current employment
Jul 15, 1998 to presentfactForm ADV
← BRIAN A CHRISTENSENAdvisorregistration: current employment
Mar 31, 1998 to presentfactForm ADV
← LAWRENCE WILLIAMS IVAdvisorregistration: current employment
Mar 31, 1998 to presentfactForm ADV
← SHANE MICHAEL HIGGINSAdvisorregistration: previous registration
Sep 4, 2024 to Aug 28, 2026factForm ADV
← MARGARET L BILBYAdvisorregistration: previous registration
Sep 30, 2015 to Apr 15, 2024factForm ADV
← JESSE LAWTON SHAWAdvisorregistration: previous registration
Jan 11, 2010 to Aug 28, 2012factForm ADV

Controls (18)

← SMARJESSE, PATRICK, JOSEPHOwnerSENIOR VICE PRESIDENT, ownership code NA, individual
Dec 15, 2011 to Mar 28, 2024factForm ADV
← MCCLURE, JOHN, VANNORDENOwnerELECTED MANAGER, ownership code NA, individual
Dec 15, 2011 to Mar 28, 2024factForm ADV
← CHRISTENSEN, BRIAN, ANDREWOwnerELECTED MANAGER & SR VICE PRESIDENT & CHIEF INVESTMENT OFFICER, ownership code NA, individual
Dec 15, 2011 to Mar 28, 2024factForm ADV
← WILLIAMS IV, LAWRENCEOwnerELECTED MANAGER, CHAIRMAN, PRESIDENT & CEO, ownership code NA, individual
Dec 15, 2011 to Mar 28, 2024factForm ADV
← SHERIDAN, TODD, MICHAELOwnerVICE PRESIDENT, ownership code NA, individual
Dec 15, 2011 to Mar 28, 2024factForm ADV
← VAUGHAN JR, DAVID, JOHNOwnerELECTED MANAGER, ownership code NA, individual
Dec 15, 2011 to Mar 28, 2024factForm ADV
← RISI, ALFREDO, ARMANDOOwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Mar 28, 2024 to Mar 28, 2024factForm ADV
← PRICE, MICHAEL, ALLENOwnerCHIEF COMPLIANCE OFFICER, VICE PRESIDENT OF RISK MANAGEMENT & CORPORATE SECRETARY, ownership code NA, individual
Mar 31, 2015 to Mar 28, 2024factForm ADV
← PILLMAN, VIRGINIA, JOHNSONOwnerELECTED MANAGER, ownership code NA, individual
Mar 27, 2012 to Mar 28, 2024factForm ADV
← BAUM, WAYNE, EOwnerELECTED MANAGER, ownership code NA, individual
Feb 8, 2013 to Mar 28, 2024factForm ADV
← DEWALT, MICHAEL, LOwnerELECTED MANAGER, ownership code NA, individual
Feb 28, 2017 to Mar 28, 2024factForm ADV
← AUTRY, DARRIN, ATTISOwnerELECTED MANAGER, ownership code NA, individual
Mar 31, 2022 to Mar 28, 2024factForm ADV
← SALMON, ELIZABETH, WOwnerVICE PRESIDENT OF OPERATIONS, ownership code NA, individual
Jul 20, 2017 to Mar 28, 2024factForm ADV
← HONEGGER, ANDREW, ALANOwnerELECTED MANAGER, ownership code NA, individual
Oct 18, 2017 to Mar 28, 2024factForm ADV
← SCHOEPLEIN, KEVIN, DOwnerELECTED MANAGER, ownership code NA, individual
May 11, 2018 to Mar 28, 2024factForm ADV
← DVI CAPITAL CORP.OwnerMEMBER, ownership code B, domestic entity
Jul 20, 2017 to Mar 28, 2024factForm ADV
← HOMETOWN COMMUNITY BANCORP, INC.OwnerMEMBER, ownership code E, domestic entity
Jun 8, 2018 to Mar 28, 2024factForm ADV
← HOMETOWN COMMUNITY BANCORP, INC. EMPLOYEE STOCK OWNERSHIP PLAN & TRUSTOwnerOWNER, ownership code C, domestic entity
Mar 28, 2024 to Mar 28, 2024factForm ADV

Owns (1)

← HINRICHS, STEPHEN, KENTOwnerVICE PRESIDENT OF INVESTMENT RESEARCH, ownership code NA, individual
Feb 8, 2013 to Mar 28, 2024factForm ADV

Dated events

Occurred
Aug 28, 2026
Advisor changed firm
Shane Michael Higgins left David Vaughan Investments, Llc for Apella Wealth (registered 2026-09-04)
Form ADVobserved 5 days ago
Occurred
Apr 15, 2024
Advisor changed firm
Margaret L Bilby left David Vaughan Investments, Llc for Cyndeo Wealth Partners (registered 2024-03-15)
Form ADVobserved 5 days ago
Occurred
Mar 28, 2024
Control person joined
Armando Alfredo Risi (Chief Operating Officer) appeared on Schedule A of David Vaughan Investments, Llc
Form ADVobserved 5 days ago
Occurred
Mar 28, 2024
Control person left
Anne Stephanie Ricketts (Director Of Client Services & Senior Relationship Manager) no longer on Schedule A of David Vaughan Investments, Llc (listed 2023-03-31, absent 2024-03-28)
Form ADVobserved 5 days ago
Occurred
Mar 31, 2023
Control person left
Dean Gordon Honegger (Trustee) no longer on Schedule A of David Vaughan Investments, Llc (listed 2022-11-29, absent 2023-03-31)
Form ADVobserved 5 days ago
Occurred
Mar 31, 2023
Control person joined
Anne Stephanie Ricketts (Director Of Client Services & Senior Relationship Manager) appeared on Schedule A of David Vaughan Investments, Llc
Form ADVobserved 5 days ago
Occurred
Mar 31, 2022
Control person left
William Dirk Roecker (Elected Manager) no longer on Schedule A of David Vaughan Investments, Llc (listed 2021-11-30, absent 2022-03-31)
Form ADVobserved 5 days ago
Occurred
Mar 31, 2022
Control person joined
Attis Darrin Autry (Elected Manager) appeared on Schedule A of David Vaughan Investments, Llc
Form ADVobserved 5 days ago
Occurred
Mar 30, 2020
Regulatory AUM changed
David Vaughan Investments, Llc reported RAUM $3.0B, up 25% from $2.4B (2019-03-30 to 2020-03-30)
Form ADVobserved 5 days ago
$617M
Occurred
Mar 30, 2020
Control person left
David James Sinclair (Treasurer/Chief Compliance Officer) no longer on Schedule A of David Vaughan Investments, Llc (listed 2019-03-30, absent 2020-03-30)
Form ADVobserved 5 days ago
Occurred
Mar 30, 2019
Control person joined
Kent Stephen Hinrichs (Director Of Investment Research) appeared on Schedule A of David Vaughan Investments, Llc
Form ADVobserved 5 days ago
Occurred
Mar 30, 2019
Control person joined
John Jeffrey Huizenga (Director Of Relationship Management) appeared on Schedule A of David Vaughan Investments, Llc
Form ADVobserved 5 days ago
Occurred
Mar 30, 2019
Control person joined
W Elizabeth Salmon (Director Of Business Operations & Corporate Secretary) appeared on Schedule A of David Vaughan Investments, Llc
Form ADVobserved 5 days ago
Occurred
Sep 29, 2017
Succession filed (Item 4)
David Vaughan Investments Inc reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1cda52ab-4d2d-2086-3179-5209d126bbb2
First observed: Dec 15, 2011
Last observed: Jul 20, 2026 2 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.

DAVID VAUGHAN INVESTMENTS, LLC

CRD 105990

PEORIA, IL

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:1cda52ab-4d2d-2086-3179-5209d126bbb2

Data as of Jul 20, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:56 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

BRIAN A CHRISTENSEN

n/a

Winter Park, FL | PEORIA, IL

n/a

LAWRENCE WILLIAMS IV

n/a

PEORIA, IL

n/a

STEPHEN K HINRICHS

n/a

PEORIA, IL

n/a

PATRICK JOSEPH SMARJESSE

n/a

PEORIA, IL

n/a

TODD MICHAEL SHERIDAN

n/a

PEORIA, IL

n/a

DEANNA MARIE BAELE

Certified Financial Planner

PEORIA, IL

n/a

ANDREW JAMES LISTER

Chartered Financial Analyst

PEORIA, IL

n/a

STEPHANIE ANNE RICKETTS

n/a

PEORIA, IL

DALTON MICHAEL MELLON

n/a

PEORIA, IL

n/a

MEGHAN J. JACKSON

n/a

PEORIA, IL

n/a

JEFFREY JOHN HUIZENGA

Certified Financial Planner|Chartered Financial Consultant

PEORIA, IL

JOHNATHAN PIERCE TIMKO

Certified Financial Planner

Winter Park, FL | PEORIA, IL

DARRIN ATTIS AUTRY

Certified Financial Planner

East Peoria, IL | PEORIA, IL

n/a

GLENN JAMES MAXEY

Chartered Financial Analyst

PEORIA, IL

n/a

MICHAEL MARTIN FLAHERTY

Certified Financial Planner|Chartered Financial Consultant

PEORIA, IL

Zachery Morgenstern

Certified Financial Planner

PEORIA, IL

MICHAEL E ARMISTEAD

Certified Financial Planner

PEORIA, IL | WINTER PARK, FL

Alexis Laure Morey

n/a

PEORIA, IL

Christopher Kent

n/a

PEORIA, IL | Winter Park, FL

n/a

Devin James Shaffer

n/a

PEORIA, IL | WINTER PARK, FL

n/a

JADE MARIE LAVERDIERE

n/a

WINTER PARK, FL | PEORIA, IL

n/a

Ryan David Sewell

n/a

PEORIA, IL | WINTER PARK, FL

Cody John Behrens

Chartered Financial Consultant|Chartered Financial Analyst

PEORIA, IL

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

AUTRY, DARRIN, ATTIS

ELECTED MANAGER

yes

03/2021

Jul 20, 2026

DEWALT, MICHAEL, L

ELECTED MANAGER

yes

04/2016

Jul 20, 2026

DVI CAPITAL CORP.

Member

yes

07/2017

Jul 20, 2026

HINRICHS, STEPHEN, K

SENIOR VICE PRESIDENT OF INVESTMENT RESEARCH

yes

03/2018

Jul 20, 2026

HOMETOWN COMMUNITY

Member

yes

09/2017

Jul 20, 2026

HONEGGER, ANDREW, ALAN

ELECTED MANAGER

yes

09/2017

Jul 20, 2026

HUIZENGA, JEFFREY, JOHN

DIRECTOR OF WEALTH STRATEGIES

yes

03/2025

Jul 20, 2026

MAXEY, GLENN, JAMES

DIRECTOR & SENIOR PORTFOLIO MANAGER

yes

03/2024

Jul 20, 2026

MCCLURE, JOHN, VANNORDEN

ELECTED MANAGER

yes

01/2008

Jul 20, 2026

PRICE, MICHAEL, ALLEN

CHIEF COMPLIANCE OFFICER, VICE PRESIDENT OF RISK MANAGEMENT & CORPORATE SECRETARY

yes

07/2014

Jul 20, 2026

RICKETTS, STEPHANIE, ANNE

SENIOR RELATIONSHIP MANAGER & DIRECTOR OF CLIENT SERVICES

yes

03/2025

Jul 20, 2026

RISI, ALFREDO, ARMANDO

CHIEF OPERATING OFFICER

yes

10/2023

Jul 20, 2026

SALMON, ELIZABETH, W

VICE PRESIDENT OF OPERATIONS

yes

06/2017

Jul 20, 2026

SCHOEPLEIN, KEVIN, D

ELECTED MANAGER

yes

03/2018

Jul 20, 2026

SHERIDAN, TODD, MICHAEL

VICE PRESIDENT

yes

09/2006

Jul 20, 2026

SMARJESSE, PATRICK, JOSEPH

SENIOR VICE PRESIDENT OF RELATIONSHIP MANAGEMENT

yes

09/2006

Jul 20, 2026

SPEARS, CHRISTOPHER, CLARK

ELECTED MANAGER

yes

03/2025

Jul 20, 2026

VAUGHAN JR, DAVID, JOHN

ELECTED MANAGER

yes

09/2006

Jul 20, 2026

WILLIAMS IV, LAWRENCE

ELECTED MANAGER, CHAIRMAN, PRESIDENT & CEO

yes

12/2017

Jul 20, 2026

ZIPPAY, MITCHELL, A

DIRECTOR & SENIOR ACCOUNTING MANAGER

yes

03/2025

Jul 20, 2026

BAUM, WAYNE, E

ELECTED MANAGER

yes

06/2012

Feb 8, 2013

Mar 28, 2024

CHRISTENSEN, BRIAN, ANDREW

ELECTED MANAGER & SR VICE PRESIDENT & CHIEF INVESTMENT OFFICER

yes

09/2006

Dec 15, 2011

Mar 28, 2024

HOMETOWN COMMUNITY BANCORP, INC.

Member

yes

09/2017

Jun 8, 2018

Mar 28, 2024

HOMETOWN COMMUNITY BANCORP, INC. EMPLOYEE STOCK OWNERSHIP PLAN & TRUST

Owner

yes

12/1999

Mar 28, 2024

PILLMAN, VIRGINIA, JOHNSON

ELECTED MANAGER

yes

06/2011

Mar 27, 2012

Mar 28, 2024

DUVALL, ERIN, L

CHIEF PEOPLE OFFICER

01/2026

Jul 20, 2026

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

HOMETOWN COMMUNITY BANCORP, INC.

n/a

MORTON COMMUNITY BANK

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

WINTER PARK

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 30, 2026

$5.3B

n/a

2024

Apr 10, 2025

$4.9B

n/a

2023

Mar 28, 2024

$4.3B

n/a

2022

Mar 31, 2023

$3.9B

n/a

2021

Mar 31, 2022

$3.9B

n/a

2020

Mar 31, 2021

$3.2B

n/a

2019

Mar 30, 2020

$3.0B

n/a

2018

Mar 30, 2019

$2.4B

n/a

2017

Mar 13, 2018

$2.6B

n/a

2016

Feb 28, 2017

$2.2B

n/a

2015

Mar 30, 2016

$2.0B

n/a

2014

Mar 31, 2015

$2.0B

n/a

2013

Mar 26, 2014

$1.8B

n/a

2012

Feb 8, 2013

$1.5B

n/a

2011

Mar 27, 2012

$1.4B

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

4.3%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$5.3B

$4.9B

8.1%

$3.9B

10.6%