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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

CARNEGIE INVESTMENT COUNSEL

CARNEGIE CAPITAL ASSET MANAGEMENT, LLC, CRD 150488

PEPPER PIKE, OH

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Search this name across graphsid dfx:ria:268792b8-0ce6-c427-dbd9-aaf6b95d7c0f

Data as of Jul 9, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:00 PM UTC and rebuilt at most every 15 minutes.

Relationships: 65
Dated events: 24
On other graphs: 0
Observed: Mar 30, 2012 to Jul 9, 2026
43 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=0.82 fund_share=0.03 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $7.5BItem 5.F on the latest filing (2026-07-09); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $6.8B
Private client RAUM: $6.2BderivedItem 5.D individuals plus high net worth individuals
Private client share: 82%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 37
RAUM per advisor: $203Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 69
Advisory employees: 39
Offices: 10Schedule D 1.F, beyond the principal office
Accounts: 8,541
Individual clients: 1,870
High net worth clients: 1,186
Custody, client assets: $2.1B
SEC number: 801-70242
CIK: 1511506
CRD: 150488
Filings on the tape: 43
First filed: Mar 30, 2012
Latest filed: Jul 9, 2026
Organised: Limited Liability Company, OH
Website: carroll-financial.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first; showing 25 of 37

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
RICHARD LEE ALT	n/a	Fort Meyers, FL	15	26	4	no
GARY PAUL WAGNER	n/a	PEPPER PIKE, OH	15	36	n/a	no
MARIA ISABEL R. PEDROSA	n/a	Los Angeles, CA \| LOS ANGELES, CA \| PEPPER PIKE, OH	15	16	n/a	no
DOUGLAS SETH PEASE	n/a	PEPPER PIKE, OH	15	15	n/a	no
WILLIAM ROBERT ANDERSON	n/a	PEPPER PIKE, OH	14	19	2	no
LINDA LOUISE FOUSEK	Chartered Financial Analyst	PEPPER PIKE, OH	13	33	n/a	no
HEIDI LEANN ROSE	n/a	Cincinnati, OH \| PEPPER PIKE, OH	13	28	1	no
ROBERT PATRICK CARROLL	Certified Financial Planner	Cincinnati, OH \| PEPPER PIKE, OH	13	20	2	no
SCOTT RAYMOND INGLIS	Chartered Financial Analyst	Philadelphia, PA \| PEPPER PIKE, OH	12	18	3	no
ARTHUR GATES MERRIMAN	n/a	PEPPER PIKE, OH	11	43	3	no
KIMBERLY MARTINA GANNIS	n/a	Canonsburg, PA \| PEPPER PIKE, OH	10	21	3	no
PETER ALFRED VANDENBROECK	n/a	CLEVELAND, OH	8	41	3	no
KEITH ALLEN VARGO	Chartered Financial Analyst	CLEVELAND, OH	8	31	2	no
MARGARET ELLEN HALLORAN	n/a	CLEVELAND, OH	8	26	1	no
CHRISTOPHER ALLEN HENRY	n/a	Maumee, OH \| PEPPER PIKE, OH	8	14	1	no
Shams Afzal	n/a	PEPPER PIKE, OH \| Maumee, OH	8	12	1	no
GREGORY WALTER HALTER	Chartered Financial Analyst	PEPPER PIKE, OH	7	27	1	no
BRENDAN ALEXANDER GOLDSTEIN	n/a	Sag Harbor, NY \| PEPPER PIKE, OH	7	12	2	no
BRITTANY NICOLE BLAZEY	n/a	PEPPER PIKE, OH \| Maumee, OH	7	13	n/a	no
JOHN RANDALL FRYE	Chartered Financial Analyst	Los Angeles, CA \| PEPPER PIKE, OH	5	23	1	no
DOUGLAS MATTHEW WARZINSKI	Certified Financial Planner	Canonsburg, PA \| PEPPER PIKE, OH	5	11	1	no
CHARLES ANDREW ROBB	n/a	LOS ANGELES, CA \| PEPPER PIKE, OH	4	26	4	no
BRANDON LEE THUOTT	n/a	LOS ANGELES, CA \| PEPPER PIKE, OH	4	21	5	no
WENDY LYNN ELDRIDGE	Certified Financial Planner	PEPPER PIKE, OH	2	14	2	no
MICHAEL BENJAMIN OLIVER	Chartered Financial Analyst	PEPPER PIKE, OH \| Stamford, CT	1	25	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
ALT, RICHARD, LEE	CHIEF EXECUTIVE OFFICER/PRINCIPAL	Na	yes	04/2009	Jul 9, 2026	Jul 9, 2026
SHIGEMURA-HILDEBRAND, ANN	CHIEF COMPLIANCE OFFICER	Na	yes	07/2023	Jul 9, 2026	Jul 9, 2026
SPIDALIERI, JOSEPH, MICHAEL	CHIEF OPERATING OFFICER PORTFOLIO MANAGER PORTFOLIO MANAGER PORTFOLIO MANAGER	Na	yes	11/2023	Jul 9, 2026	Jul 9, 2026
ALT, RICHARD, LEE	Trustee	D	yes	12/2023	Mar 22, 2024	Mar 22, 2024
OLD VIKING II TRUST	Member	D	yes	12/2023	Mar 22, 2024	Mar 22, 2024
WAGNER, GARY, PAUL	Member	C	yes	04/2009	Mar 30, 2012	Mar 22, 2024
TILLSON FAMILY HOLDINGS, LLC	MEMBER PORTFOLIO MANAGER	Na	no	02/2025	Jul 9, 2026	Jul 9, 2026

Offices

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

City	State	Country	Employees	Also broker-dealer
LOS ANGELES	CA	United States	4	no
FORT MYERS	FL	United States	3	no
Maumee	Oh	United States	3	no
Cincinnati	Oh	United States	2	no
Philadelphia	Pa	United States	2	no
Pittsburgh	Pa	United States	2	no
SAG HARBOR	NY	United States	1	no
CRANBERRY TOWNSHIP	Pa	United States	1	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; showing 15 of 16

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Apr 17, 2026	$7.5B	$6.8B	69	39	10	n/a	n/a
2024	Apr 1, 2025	$6.5B	$5.9B	70	40	9	n/a	n/a
2023	Mar 22, 2024	$4.5B	$4.1B	58	36	8	n/a	n/a
2022	Mar 31, 2023	$3.5B	$3.4B	54	34	8	n/a	n/a
2021	Mar 30, 2022	$4.0B	$4.0B	53	34	7	n/a	n/a
2020	Mar 30, 2021	$2.9B	$2.9B	49	35	7	n/a	n/a
2019	Mar 31, 2020	$2.4B	$2.4B	49	33	7	n/a	n/a
2018	Mar 31, 2019	$1.8B	$1.8B	58	35	8	n/a	n/a
2017	Mar 31, 2018	$1.7B	$1.7B	44	31	6	n/a	n/a
2016	Mar 30, 2017	$1.4B	$1.2B	37	24	n/a	n/a	n/a
2015	Mar 29, 2016	$1.2B	$1.1B	21	19	n/a	n/a	n/a
2014	Mar 30, 2015	$1.0B	$1.0B	21	19	n/a	n/a	n/a
2013	Mar 31, 2014	$792M	$771M	21	14	n/a	n/a	n/a
2012	Mar 22, 2013	$540M	$540M	15	13	n/a	n/a	n/a
2011	Mar 30, 2012	$453M	$453M	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
3	7	-4	18.9%	0	1	0	10	10

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	$7.5B	$6.5B	15.2%	$3.5B	29.4%	69	70	10	9

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
WOODLAND WEALTH PARTNERS	3	Apr 2, 2026	Jul 14, 2026	PEPPER PIKE, OH	Team lift out	RIA to new firm	7.9%
GUARDIAN WEALTH PARTNERS, LLC	2	Apr 6, 2022	Apr 1, 2022	PEPPER PIKE, OH	Team lift out	RIA to ibd	6.7%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
EAGLE RIDGE INVESTMENT MANAGEMENT LLC	2	Feb 4, 2025	Feb 10, 2025	STAMFORD, CT	Team lift out	RIA to RIA	100.0%
TELOS CAPITAL MANAGEMENT, INC.	2	Jun 27, 2022	Jul 1, 2022	SAN DIEGO, CA	Team lift out	RIA to RIA	15.4%
PRIVATE WEALTH CONSULTANTS LTD	2	Oct 31, 2018	Sep 4, 2018	TOLEDO, OH	Team lift out	Other	100.0%
MIDWEST INVESTMENT MANAGEMENT LLC	3	Dec 12, 2017	Oct 10, 2017	CLEVELAND, OH	Firm absorbed	Other	100.0%

Relationships

Registered with (53)

← Jodi Sandler CowgillAdvisorregistration: current employment
Sep 9, 2026 to presentfactForm ADV
← Steven J DaughertyAdvisorregistration: current employment
Apr 29, 2026 to presentfactForm ADV
← Michael James CurryAdvisorregistration: current employment
Apr 8, 2026 to presentfactForm ADV
← RICHARD A AHLAdvisorregistration: current employment
Oct 14, 2025 to presentfactForm ADV
← SKYE GARLANDAdvisorregistration: current employment
Sep 12, 2025 to presentfactForm ADV
← Ryan L ApplegateAdvisorregistration: current employment
May 14, 2025 to presentfactForm ADV
← LYNN RENEE NAJMANAdvisorregistration: current employment
Feb 19, 2025 to presentfactForm ADV
← DAVID ABBOTT TILLSONAdvisorregistration: current employment
Feb 13, 2025 to presentfactForm ADV
← JOHN JAY KNOXAdvisorregistration: current employment
Feb 10, 2025 to presentfactForm ADV
← ALISON J HAMILTONAdvisorregistration: current employment
Feb 10, 2025 to presentfactForm ADV
← BENJAMIN Duffield CONNARDAdvisorregistration: current employment
Feb 10, 2025 to presentfactForm ADV
← ALEJANDRO MIGUEL VELAZQUEZAdvisorregistration: current employment
Feb 5, 2025 to presentfactForm ADV
← MICHAEL BENJAMIN OLIVERAdvisorregistration: current employment
Feb 4, 2025 to presentfactForm ADV
← WENDY LYNN ELDRIDGEAdvisorregistration: current employment
Jul 29, 2024 to presentfactForm ADV
← CHARLES ANDREW ROBBAdvisorregistration: current employment
Jul 1, 2022 to presentfactForm ADV
← BRANDON LEE THUOTTAdvisorregistration: current employment
Jul 1, 2022 to presentfactForm ADV
← DOUGLAS MATTHEW WARZINSKIAdvisorregistration: current employment
Jul 29, 2021 to presentfactForm ADV
← JOHN RANDALL FRYEAdvisorregistration: current employment
Jun 1, 2021 to presentfactForm ADV
← MARIA ISABEL R. PEDROSAAdvisorregistration: current employment
Dec 23, 2019 to presentfactForm ADV
← BRITTANY NICOLE BLAZEYAdvisorregistration: current employment
Aug 19, 2019 to presentfactForm ADV
← BRENDAN ALEXANDER GOLDSTEINAdvisorregistration: current employment
Jul 17, 2019 to presentfactForm ADV
← GREGORY WALTER HALTERAdvisorregistration: current employment
Feb 4, 2019 to presentfactForm ADV
← CHRISTOPHER ALLEN HENRYAdvisorregistration: current employment
Sep 4, 2018 to presentfactForm ADV
← Shams AfzalAdvisorregistration: current employment
Sep 4, 2018 to presentfactForm ADV
← PETER ALFRED VANDENBROECKAdvisorregistration: current employment
Oct 10, 2017 to presentfactForm ADV
← KEITH ALLEN VARGOAdvisorregistration: current employment
Oct 10, 2017 to presentfactForm ADV
← MARGARET ELLEN HALLORANAdvisorregistration: current employment
Oct 10, 2017 to presentfactForm ADV
← KIMBERLY MARTINA GANNISAdvisorregistration: current employment
Oct 13, 2015 to presentfactForm ADV
← ARTHUR GATES MERRIMANAdvisorregistration: current employment
Jan 2, 2015 to presentfactForm ADV
← SCOTT RAYMOND INGLISAdvisorregistration: current employment
Jun 6, 2014 to presentfactForm ADV
and 23 more

Moved with (6)

→ WOODLAND WEALTH PARTNERSRegistered adviser3 advisors, team lift out, same day
Apr 2, 2026 to Jul 14, 2026factForm ADV
← EAGLE RIDGE INVESTMENT MANAGEMENT LLCRegistered adviser2 advisors, team lift out, same day
Feb 4, 2025 to Feb 10, 2025factForm ADV
← TELOS CAPITAL MANAGEMENT, INC.Registered adviser2 advisors, team lift out, same day
Jun 27, 2022 to Jul 1, 2022factForm ADV
→ GUARDIAN WEALTH PARTNERS, LLCRegistered adviser2 advisors, team lift out, same day
Apr 6, 2022 to Apr 1, 2022factForm ADV
← PRIVATE WEALTH CONSULTANTS LTDRegistered adviser2 advisors, team lift out, same day
Oct 31, 2018 to Sep 4, 2018factForm ADV
← MIDWEST INVESTMENT MANAGEMENT LLCRegistered adviser3 advisors, firm absorbed, same day
Dec 12, 2017 to Oct 10, 2017factForm ADV

Controls (5)

← ALT, RICHARD, LEEOwnerMEMBER, ownership code NA, individual
Mar 30, 2012 to Mar 22, 2024factForm ADV
← WAGNER, GARY, PAULOwnerMEMBER, ownership code C, individual
Mar 30, 2012 to Mar 22, 2024factForm ADV
← SPIDALIERI, JOSEPH, MICHAELOwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Nov 7, 2023 to Mar 22, 2024factForm ADV
← SHIGEMURA-HILDEBRAND, ANNOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Sep 15, 2023 to Mar 22, 2024factForm ADV
← OLD VIKING II TRUSTOwnerMEMBER, ownership code D, domestic entity
Mar 22, 2024 to Mar 22, 2024factForm ADV

Dated events

Occurred
Jul 15, 2026
Advisor changed firm
Cooper James Smith left Carnegie Investment Counsel for First Manhattan Co. Llc (registered 2026-08-05)
Form ADVobserved 4 days ago
Occurred
Apr 2, 2026
Team lift-out
3 advisors left Carnegie Investment Counsel (Pepper Pike, OH) for Woodland Wealth Partners on the same day
Form ADVobserved 4 days ago
3 advisors
Occurred
Apr 2, 2026
Advisor changed firm
Razmig K Pounardjian left Carnegie Investment Counsel for Woodland Wealth Partners (registered 2026-04-02)
Form ADVobserved 4 days ago
Occurred
Apr 2, 2026
Advisor changed firm
Brenton Keith Luce left Carnegie Investment Counsel for Woodland Wealth Partners (registered 2026-04-02)
Form ADVobserved 4 days ago
Occurred
Apr 2, 2026
Advisor changed firm
Denny Bob Johnson left Carnegie Investment Counsel for Woodland Wealth Partners (registered 2026-07-14)
Form ADVobserved 4 days ago
Occurred
Feb 17, 2026
Advisor changed firm
Christopher William Niall Carey left Carnegie Investment Counsel for Ritholtz Wealth Management (registered 2026-02-13)
Form ADVobserved 4 days ago
Occurred
Jan 16, 2026
Advisor changed firm
Bryan Robert Blackburn left Carnegie Investment Counsel for Sanctuary Advisors, Llc (registered 2026-01-16)
Form ADVobserved 4 days ago
Occurred
Oct 22, 2025
Advisor changed firm
Ian Matheson left Carnegie Investment Counsel for Venture Visionary Partners Llc (registered 2025-11-05)
Form ADVobserved 4 days ago
Occurred
Jun 3, 2025
Advisor changed firm
John Charles Krebs left Carnegie Investment Counsel for Rockefeller Capital Management (registered 2025-06-13)
Form ADVobserved 4 days ago
Occurred
Apr 1, 2025
Regulatory AUM changed
Carnegie Investment Counsel reported RAUM $6.5B, up 44% from $4.5B (2024-03-22 to 2025-04-01)
Form ADVobserved 4 days ago
$2.0B
Occurred
Feb 4, 2025
Team lift-out
2 advisors left Eagle Ridge Investment Management LLC (Stamford, CT) for Carnegie Investment Counsel on the same day
Form ADVobserved 4 days ago
2 advisors
Occurred
Jul 1, 2024
Advisor changed firm
Howard Albert Trauger left Carnegie Investment Counsel for Philadelphia Partners Capital Management, Llc (registered 2026-03-12)
Form ADVobserved 4 days ago
Occurred
Apr 15, 2024
Advisor changed firm
Henry Allen Spain left Carnegie Investment Counsel for Stratos Wealth Advisors Llc (registered 2024-04-10)
Form ADVobserved 4 days ago
Occurred
Mar 22, 2024
Regulatory AUM changed
Carnegie Investment Counsel reported RAUM $4.5B, up 30% from $3.5B (2023-11-07 to 2024-03-22)
Form ADVobserved 4 days ago
$1.0B
Occurred
Nov 7, 2023
Control person joined
Michael Joseph Spidalieri (Chief Operating Officer) appeared on Schedule A of Carnegie Investment Counsel
Form ADVobserved 4 days ago
Occurred
Sep 15, 2023
Control person left
Kim Stephanie Bush (Chief Compliance Officer) no longer on Schedule A of Carnegie Investment Counsel (listed 2023-03-31, absent 2023-09-15)
Form ADVobserved 4 days ago
Occurred
Sep 15, 2023
Control person joined
Ann Shigemura-Hildebrand (Chief Compliance Officer) appeared on Schedule A of Carnegie Investment Counsel
Form ADVobserved 4 days ago
Occurred
Jun 27, 2022
Team lift-out
2 advisors left Telos Capital Management, Inc. (San Diego, CA) for Carnegie Investment Counsel on the same day
Form ADVobserved 4 days ago
2 advisors
Occurred
Apr 6, 2022
Team lift-out
2 advisors left Carnegie Investment Counsel (Pepper Pike, OH) for Guardian Wealth Partners, LLC on the same day
Form ADVobserved 4 days ago
2 advisors
Occurred
Apr 6, 2022
Advisor changed firm
Chad Warmbein left Carnegie Investment Counsel for Guardian Wealth Partners, Llc (registered 2022-03-31)
Form ADVobserved 4 days ago
Occurred
Apr 6, 2022
Advisor changed firm
Keith Paul Warmbein left Carnegie Investment Counsel for Guardian Wealth Partners, Llc (registered 2022-04-01)
Form ADVobserved 4 days ago
Occurred
Mar 30, 2022
Regulatory AUM changed
Carnegie Investment Counsel reported RAUM $4.0B, up 35% from $2.9B (2021-05-11 to 2022-03-30)
Form ADVobserved 4 days ago
$1.0B
Occurred
Feb 23, 2022
Advisor changed firm
Michael James Woomer left Carnegie Investment Counsel for Guardian Wealth Partners, Llc (registered 2022-03-03)
Form ADVobserved 4 days ago
Occurred
Mar 31, 2020
Regulatory AUM changed
Carnegie Investment Counsel reported RAUM $2.4B, up 33% from $1.8B (2019-03-31 to 2020-03-31)
Form ADVobserved 4 days ago
$607M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:268792b8-0ce6-c427-dbd9-aaf6b95d7c0f
First observed: Mar 30, 2012
Last observed: Jul 9, 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.

CARNEGIE INVESTMENT COUNSEL

CARNEGIE CAPITAL ASSET MANAGEMENT, LLC, CRD 150488

PEPPER PIKE, OH

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:268792b8-0ce6-c427-dbd9-aaf6b95d7c0f

Data as of Jul 9, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:00 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

RICHARD LEE ALT

n/a

Fort Meyers, FL

GARY PAUL WAGNER

n/a

PEPPER PIKE, OH

n/a

MARIA ISABEL R. PEDROSA

n/a

Los Angeles, CA | LOS ANGELES, CA | PEPPER PIKE, OH

n/a

DOUGLAS SETH PEASE

n/a

PEPPER PIKE, OH

n/a

WILLIAM ROBERT ANDERSON

n/a

PEPPER PIKE, OH

LINDA LOUISE FOUSEK

Chartered Financial Analyst

PEPPER PIKE, OH

n/a

HEIDI LEANN ROSE

n/a

Cincinnati, OH | PEPPER PIKE, OH

ROBERT PATRICK CARROLL

Certified Financial Planner

Cincinnati, OH | PEPPER PIKE, OH

SCOTT RAYMOND INGLIS

Chartered Financial Analyst

Philadelphia, PA | PEPPER PIKE, OH

ARTHUR GATES MERRIMAN

n/a

PEPPER PIKE, OH

KIMBERLY MARTINA GANNIS

n/a

Canonsburg, PA | PEPPER PIKE, OH

PETER ALFRED VANDENBROECK

n/a

CLEVELAND, OH

KEITH ALLEN VARGO

Chartered Financial Analyst

CLEVELAND, OH

MARGARET ELLEN HALLORAN

n/a

CLEVELAND, OH

CHRISTOPHER ALLEN HENRY

n/a

Maumee, OH | PEPPER PIKE, OH

Shams Afzal

n/a

PEPPER PIKE, OH | Maumee, OH

GREGORY WALTER HALTER

Chartered Financial Analyst

PEPPER PIKE, OH

BRENDAN ALEXANDER GOLDSTEIN

n/a

Sag Harbor, NY | PEPPER PIKE, OH

BRITTANY NICOLE BLAZEY

n/a

PEPPER PIKE, OH | Maumee, OH

n/a

JOHN RANDALL FRYE

Chartered Financial Analyst

Los Angeles, CA | PEPPER PIKE, OH

DOUGLAS MATTHEW WARZINSKI

Certified Financial Planner

Canonsburg, PA | PEPPER PIKE, OH

CHARLES ANDREW ROBB

n/a

LOS ANGELES, CA | PEPPER PIKE, OH

BRANDON LEE THUOTT

n/a

LOS ANGELES, CA | PEPPER PIKE, OH

WENDY LYNN ELDRIDGE

Certified Financial Planner

PEPPER PIKE, OH

MICHAEL BENJAMIN OLIVER

Chartered Financial Analyst

PEPPER PIKE, OH | Stamford, CT

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ALT, RICHARD, LEE

CHIEF EXECUTIVE OFFICER/PRINCIPAL

yes

04/2009

Jul 9, 2026

SHIGEMURA-HILDEBRAND, ANN

CHIEF COMPLIANCE OFFICER

yes

07/2023

Jul 9, 2026

SPIDALIERI, JOSEPH, MICHAEL

CHIEF OPERATING OFFICER PORTFOLIO MANAGER PORTFOLIO MANAGER PORTFOLIO MANAGER

yes

11/2023

Jul 9, 2026

ALT, RICHARD, LEE

Trustee

yes

12/2023

Mar 22, 2024

OLD VIKING II TRUST

Member

yes

12/2023

Mar 22, 2024

WAGNER, GARY, PAUL

Member

yes

04/2009

Mar 30, 2012

Mar 22, 2024

TILLSON FAMILY HOLDINGS, LLC

MEMBER PORTFOLIO MANAGER

02/2025

Jul 9, 2026

City

State

Country

Employees

Also broker-dealer

LOS ANGELES

United States

FORT MYERS

United States

Maumee

United States

Cincinnati

United States

Philadelphia

United States

Pittsburgh

United States

SAG HARBOR

United States

CRANBERRY TOWNSHIP

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Apr 17, 2026

$7.5B

$6.8B

n/a

2024

Apr 1, 2025

$6.5B

$5.9B

n/a

2023

Mar 22, 2024

$4.5B

$4.1B

n/a

2022

Mar 31, 2023

$3.5B

$3.4B

n/a

2021

Mar 30, 2022

$4.0B

n/a

2020

Mar 30, 2021

$2.9B

n/a

2019

Mar 31, 2020

$2.4B

n/a

2018

Mar 31, 2019

$1.8B

n/a

2017

Mar 31, 2018

$1.7B

n/a

2016

Mar 30, 2017

$1.4B

$1.2B

n/a

2015

Mar 29, 2016

$1.2B

$1.1B

n/a

2014

Mar 30, 2015

$1.0B

n/a

2013

Mar 31, 2014

$792M

$771M

n/a

2012

Mar 22, 2013

$540M

n/a

2011

Mar 30, 2012

$453M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

-4

18.9%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$7.5B

$6.5B

15.2%

$3.5B

29.4%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

WOODLAND WEALTH PARTNERS

Apr 2, 2026

Jul 14, 2026

PEPPER PIKE, OH

Team lift out

RIA to new firm

7.9%

GUARDIAN WEALTH PARTNERS, LLC

Apr 6, 2022

Apr 1, 2022

PEPPER PIKE, OH

Team lift out

RIA to ibd

6.7%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

EAGLE RIDGE INVESTMENT MANAGEMENT LLC

Feb 4, 2025

Feb 10, 2025

STAMFORD, CT

Team lift out

RIA to RIA

100.0%

TELOS CAPITAL MANAGEMENT, INC.

Jun 27, 2022

Jul 1, 2022

SAN DIEGO, CA

Team lift out

RIA to RIA

15.4%

PRIVATE WEALTH CONSULTANTS LTD

Oct 31, 2018

Sep 4, 2018

TOLEDO, OH

Team lift out

Other

100.0%

MIDWEST INVESTMENT MANAGEMENT LLC

Dec 12, 2017

Oct 10, 2017

CLEVELAND, OH

Firm absorbed

Other

100.0%