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CRD 105435
MILWAUKEE, WI
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 |
|---|---|---|---|---|---|---|
| DAVID PAUL BECKER | n/a | MILWAUKEE, WI | 25 | 29 | 2 | no |
| JOHN CLIFFORD CLAYBON | Chartered Financial Analyst | MILWAUKEE, WI | Evansville, IN | 3 | 39 | 1 | no |
| CHRISTOPHER MICHAEL KNAPPSTEIN | Certified Financial Planner | MILWAUKEE, WI | Chicago, IL | 3 | 24 | 1 | no |
| DONALD ALAN POWELL | Chartered Financial Analyst | MILWAUKEE, WI | Joliet, IL | 3 | 13 | 1 | no |
| JOHN WALTER RANDALL | n/a | St. Louis Park, MN | 2 | 29 | 4 | no |
| Steven Lee Fletcher | n/a | Chicago, IL | 2 | 11 | n/a | no |
| RANDY JOSEPH ADDIE | n/a | Chicago, IL | 2 | 27 | 2 | no |
| MICHAEL JOHN SKINNER | n/a | Des Moines, IA | 2 | 18 | 3 | no |
| Brandon J Muzzarelli | n/a | Joliet, IL | 1 | 19 | n/a | no |
| WILLIAM EDWIN DOVE | Chartered Financial Analyst | St. Louis Park, MN | 1 | 26 | n/a | no |
| SARA LYNN KLAESSY | n/a | Des Moines, IA | 1 | 32 | 2 | no |
| Tammy Brusehaver-Derby | n/a | St. Louis Park, MN | 1 | 28 | n/a | no |
| BRADLEY ALLEN DIRKSEN | n/a | Minneapolis, MN | 0 | 11 | 1 | no |
| Chris Brumfield | n/a | MILWAUKEE, WI | 0 | 27 | n/a | no |
| Hussain Ali Fawaz | n/a | MILWAUKEE, WI | 0 | 26 | 3 | no |
| RICHERT JOHN HART | Certified Financial Planner | Chicago, IL | 0 | 21 | 5 | no |
| CHRISTOPHER JOHN KROLL | Certified Financial Planner | Bloomington, IN | 0 | 23 | n/a | no |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| BECKER, DAVID, PAUL | SENIOR MANAGING DIRECTOR | Na | yes | 04/2001 | Feb 16, 2012 | Mar 15, 2024 |
| BUCUR, DAVID, ROSS | CHIEF COMPLIANCE OFFICER | Na | yes | 11/2022 | Nov 3, 2022 | Mar 15, 2024 |
| HOLMAN, ERIC, SCOTT | CHIEF OPERATING OFFICER | Na | yes | 10/2023 | Mar 15, 2024 | Mar 15, 2024 |
| OLD NATIONAL BANCORP | Shareholder | E | yes | 02/2022 | Mar 24, 2023 | Mar 15, 2024 |
| STEINER, JAMES, PAUL | CHAIRMAN AND CHIEF INVESTMENT OFFICER | Na | yes | 05/2022 | Mar 31, 2022 | Mar 15, 2024 |
| AlAhmar, Chady, Mohsen | CHIEF EXECUTIVE OFFICER | Na | no | 05/2022 | Mar 24, 2023 | Mar 15, 2024 |
| CLAYBON, JOHN, CLIFFORD | SENIOR MANAGING DIRECTOR | Na | no | 09/2022 | Sep 20, 2022 | Mar 15, 2024 |
| EBNER, MICHAEL, DANIEL | ASSISTANT GENERAL COUNSEL | Na | no | 10/2023 | Mar 15, 2024 | Mar 15, 2024 |
| GORSKI, MARK, THOMAS | CHIEF FINANCIAL OFFICER | Na | no | 05/2022 | Mar 24, 2023 | Mar 15, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| OLD NATIONAL BANK | n/a | n/a | n/a | N | yes | In |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Evansville | In | United States | 5 | no |
| Joliet | IL | United States | 3 | yes |
| ST LOUIS PARK | Mn | United States | 3 | no |
| Chicago | IL | United States | 2 | yes |
| Scottsdale | Az | United States | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Apr 22, 2026 | $2.2B | $2.2B | 45 | 30 | 9 | n/a | n/a |
| 2024 | Apr 11, 2025 | $1.0B | $1.0B | 25 | 16 | 7 | n/a | n/a |
| 2023 | Mar 15, 2024 | $1.1B | $1.1B | 28 | 17 | 5 | n/a | n/a |
| 2022 | Mar 24, 2023 | $1.1B | $1.1B | 12 | 8 | 3 | n/a | n/a |
| 2021 | Mar 31, 2022 | $967M | $964M | 7 | 4 | 0 | n/a | n/a |
| 2020 | Mar 31, 2021 | $868M | $866M | 7 | 3 | 0 | n/a | n/a |
| 2019 | Mar 31, 2020 | $882M | $879M | 7 | 3 | 0 | n/a | n/a |
| 2018 | Mar 29, 2019 | $758M | $756M | 6 | 3 | 0 | n/a | n/a |
| 2017 | Mar 29, 2018 | $785M | $783M | 8 | 4 | 1 | n/a | n/a |
| 2016 | Mar 17, 2017 | $707M | $705M | 10 | 5 | n/a | n/a | n/a |
| 2015 | Feb 11, 2016 | $605M | $603M | 9 | 4 | n/a | n/a | n/a |
| 2014 | Mar 3, 2015 | $603M | $601M | 9 | 4 | n/a | n/a | n/a |
| 2013 | Mar 11, 2014 | $562M | $560M | 9 | 4 | n/a | n/a | n/a |
| 2012 | Mar 8, 2013 | $510M | $508M | 9 | 4 | n/a | n/a | n/a |
| 2011 | Feb 16, 2012 | $401M | $399M | 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 |
|---|---|---|---|---|---|---|---|---|
| 3 | 3 | 0 | 17.6% | 2 | 1 | 0 | 11 | 7 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $2.2B | $1.0B | 112.3% | $1.1B | 24.4% | 45 | 25 | 10 | 7 |