DFX Intelligence

Data Factory

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

VSR ADVISORY SERVICES

VSR FINANCIAL SERVICES, INC., CRD 14503

OVERLAND PARK, KS

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:28f90493-2e79-48e8-ba74-e43301f8c500

Data as of Sep 12, 2016 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 10:42 PM UTC and rebuilt at most every 15 minutes.

Relationships: 447
Dated events: 0
On other graphs: 0
Observed: Dec 19, 2011 to Sep 12, 2016
23 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $3.1BItem 5.F on the latest filing (2016-09-12); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $2.3B
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 349
Advisory employees: 284
Accounts: 16,944
SEC number: 801-61672
CRD: 14503
Filings on the tape: 23
First filed: Dec 19, 2011
Latest filed: Sep 12, 2016
Organised: Corporation, Missouri

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
ANTONIADES, ADAM NICHOLAS	Director	Na	yes	07/2016	Sep 12, 2016	Sep 12, 2016
ARETEC GROUP, INC.	SOLE MEMBER	E	yes	03/2015	Jun 13, 2016	Sep 12, 2016
BRETADO, SANTIAGO AVILA	CHIEF FINANCIAL OFFICER	Na	yes	01/2016	Jan 29, 2016	Sep 12, 2016
EISENHAUER, JEFFREY NEAL	VICE PRESIDENT AND TRADE DESK DIRECTOR	Na	yes	07/2016	Sep 12, 2016	Sep 12, 2016
HARRISON, BRETT LAMAR	Director	Na	yes	07/2016	Sep 12, 2016	Sep 12, 2016
OLSON, GREGORY ALAN	Secretary	Na	yes	07/2016	Sep 12, 2016	Sep 12, 2016
RCS CAPITAL HOLDINGS, LLC	SOLE SHAREHOLDER	E	yes	03/2015	Mar 20, 2015	Sep 12, 2016
SCRUGGS, CHATTEN WALKER	SENIOR VICE PRESIDENT AND CHIEF TECHNOLOGY OFFICER	Na	yes	07/2016	Sep 12, 2016	Sep 12, 2016
SMILEY, STANLEY ROBERT	VICE PRESIDENT	Na	yes	07/2016	Sep 12, 2016	Sep 12, 2016
STANFIELD, JAMES MICHAEL	CHIEF EXECUTIVE OFFICER	Na	yes	10/2010	Dec 19, 2011	Sep 12, 2016
STANFIELD, JON MICHAEL	PRESIDENT, BD CCO AND RIA CCO	Na	yes	08/2016	Dec 19, 2011	Sep 12, 2016
VSR GROUP, LLC	PARENT CORPORATION	E	yes	03/2015	Mar 20, 2015	Sep 12, 2016
VARGASON, SUSAN DENISE	VICE PRESIDENT, COMPLIANCE	Na	no	07/2016	Dec 19, 2011	Sep 12, 2016

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
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
FIRST ALLIED ADVISORY SERVICES, INC.	n/a	Former SEC adviser	$7.0B	N	yes	n/a
SUMMIT FINANCIAL GROUP INC	n/a	Former SEC adviser	$4.5B	N	yes	n/a
LEGEND ADVISORY CORPORATION	n/a	Former SEC adviser	$1.9B	N	yes	n/a
INVESTORS CAPITAL CORP.	n/a	Former SEC adviser	$1.6B	N	yes	n/a
CETERA INVESTMENT SERVICES LLC	n/a	Former SEC adviser	$1.2B	N	yes	n/a
GIRARD SECURITIES, INC.	n/a	Former SEC adviser	$597M	N	yes	n/a
TOWER SQUARE INVESTMENT MANAGEMENT LLC	n/a	No RAUM reported	$0	N	yes	n/a
ASSOCIATES IN EXCELLENCE, INC.	n/a	n/a	n/a	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 LLC	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, INC.	n/a	n/a	n/a	N	yes	n/a
FIRST ALLIED RETIREMENT SERVICES	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
ICC INSURANCE AGENCY, INC.	n/a	n/a	n/a	N	yes	n/a
LEC INSURANCE AGENCY, INC.	n/a	n/a	n/a	N	yes	n/a
LEGEND EQUITIES CORPORATION	n/a	n/a	n/a	N	yes	n/a
SBS INSURANCE AGENCY OF FL, INC.	n/a	n/a	n/a	N	yes	n/a
SBS OF CALIFORNIA INSURANCE AGENCY, INC.	n/a	n/a	n/a	N	yes	n/a
SBSI INSURANCE AGENCY OF TX, INC.	n/a	n/a	n/a	N	yes	n/a
SK RESEARCH, LLC	n/a	n/a	n/a	N	yes	n/a
SUMMIT BROKERAGE SERVICES, INC.	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
GREENWOOD VILLAGE	Co	United States	n/a	no
Honolulu	Hi	United States	n/a	no
DES MOINES	Ia	United States	n/a	no
Johnston	Ia	United States	n/a	no
Madison	Wi	United States	n/a	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 4 of 5

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 30, 2016	$3.1B	$2.3B	349	284	n/a	n/a	n/a
2014	Sep 30, 2014	$3.1B	$2.1B	347	278	n/a	n/a	n/a
2013	Aug 20, 2013	$2.7B	$1.7B	378	299	n/a	n/a	n/a
2012	Sep 27, 2012	$2.7B	$1.2B	n/a	n/a	n/a	n/a	n/a

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
2015	$3.1B	$3.1B	0.7%	$2.7B	4.5%	349	347	n/a	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction; showing 20 of 27

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
CETERA INVESTMENT ADVISERS LLC	3	Nov 2, 2016	Jun 29, 2023	HONOLULU, HI	Team lift out	Other	7.1%
CETERA INVESTMENT ADVISERS LLC	5	Nov 2, 2016	Jun 29, 2023	OVERLAND PARK, KS	Team lift out	Other	11.9%
SUMMIT FINANCIAL GROUP INC	2	Nov 2, 2016	Sep 7, 2016	HONOLULU, HI	Channel change	Other	4.8%
SUMMIT FINANCIAL GROUP INC	3	Nov 2, 2016	Sep 1, 2016	HOUSTON, TX	Channel change	Other	7.1%
WEALTHPLAN PARTNERS	2	Nov 2, 2016	Jan 30, 2017	DAVID CITY, NE	Team lift out	Other	4.8%
SUMMIT FINANCIAL GROUP INC	11	Oct 31, 2016	Sep 9, 2016	OVERLAND PARK, KS	Channel change	Other	25.0%
SMART MONEY GROUP, LLC	2	Aug 15, 2016	Aug 17, 2016	OVERLAND PARK, KS	Team lift out	Other	1.6%
NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	2	Aug 11, 2016	Aug 10, 2016	HUTCHINSON, KS	Team lift out	Other	1.6%
Spc	2	Aug 2, 2016	Aug 2, 2016	OVERLAND PARK, KS	Team lift out	Other	1.5%
TRIAD ADVISORS, LLC	2	Aug 1, 2016	Aug 1, 2016	OVERLAND PARK, KS	Team lift out	Other	1.4%
QUAKER WEALTH MANAGEMENT LLC	2	Aug 1, 2016	Apr 18, 2018	OVERLAND PARK, KS	Team lift out	Other	1.4%
CAPITAL MANAGEMENT ASSOCIATES INC	3	Jul 29, 2016	Aug 2, 2016	OVERLAND PARK, KS	Team lift out	Other	2.0%
SMART MONEY GROUP, LLC	2	Jul 29, 2016	Jul 28, 2016	OVERLAND PARK, KS	Team lift out	Other	1.3%
SMART MONEY GROUP, LLC	2	Jul 29, 2016	Aug 4, 2016	EASTLAND, TX	Team lift out	Other	1.3%
LEGACY FINANCIAL GROUP	2	Jul 25, 2016	Jul 26, 2016	OVERLAND PARK, KS	Team lift out	Other	1.3%
BFC PLANNING, INC.	2	Jul 19, 2016	Jul 26, 2016	OVERLAND PARK, KS	Team lift out	Other	1.3%
THE STRATEGIC FINANCIAL ALLIANCE	3	Jul 19, 2016	Jul 20, 2016	ATLANTA, GA	Team lift out	Other	1.9%
CALTON & ASSOCIATES, INC.	3	Jul 8, 2016	Jul 12, 2016	WORDEN, IL	Team lift out	Other	1.7%
SUMMIT WEALTH AND RETIREMENT PARTNERS	2	Jul 1, 2016	Jun 9, 2016	OVERLAND PARK, KS	Team lift out	Other	1.1%
NFSG CORPORATION	3	Jun 20, 2016	Dec 2, 2016	OVERLAND PARK, KS	Team lift out	Other	1.6%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
SUMMIT FINANCIAL GROUP INC	4	May 20, 2021	Sep 2, 2016	GREENWOOD VILLAGE, CO	Channel change	Other	1.5%
SUMMIT FINANCIAL GROUP INC	2	May 20, 2021	Sep 2, 2016	HONOLULU, HI	Channel change	Other	0.8%
SUMMIT FINANCIAL GROUP INC	2	Feb 23, 2017	Sep 7, 2016	SULPHER SPRINGS, TX	Channel change	Other	0.6%

Relationships

showing 80 of 447

Affiliated with (14)

← INVESTORS CAPITAL ADVISORYRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ CETERA ADVISORS LLCRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ LEGEND ADVISORY, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ CETERA INVESTMENT ADVISERS LLCRegistered adviserother investment adviser, common control
factForm ADV
→ SUMMIT FINANCIAL GROUP INCRegistered adviserother investment adviser, common control
factForm ADV
→ CETERA ADVISOR NETWORKS LLCRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ FIRST ALLIED ADVISORY SERVICES, INC.Registered adviserother investment adviser, common control
factForm ADV
→ CETERA INVESTMENT SERVICES LLCRegistered adviserbroker-dealer, common control
factForm ADV
→ CETERA INVESTMENT MANAGEMENT LLCRegistered adviserother investment adviser, common control
factForm ADV
→ GIRARD SECURITIES, INC.Registered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ INVESTORS CAPITAL ADVISORYRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ FIRST ALLIED SECURITIES, INC.Registered adviserother investment adviser, broker-dealer, common control
factForm ADV
← J P TURNER & COMPANY CAPITAL MANAGEMENT, LLCRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
← FIRST ALLIED ASSET MANAGEMENT, INC.Registered adviserother investment adviser, broker-dealer, common control
factForm ADV

Controls (12)

← BRETADO, SANTIAGO AVILAOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Jan 29, 2016 to presentfactForm ADV
← ANTONIADES, ADAM NICHOLASOwnerDIRECTOR, ownership code NA, individual
Sep 12, 2016 to presentfactForm ADV
← EISENHAUER, JEFFREY NEALOwnerVICE PRESIDENT AND TRADE DESK DIRECTOR, ownership code NA, individual
Sep 12, 2016 to presentfactForm ADV
← OLSON, GREGORY ALANOwnerSECRETARY, ownership code NA, individual
Sep 12, 2016 to presentfactForm ADV
← SCRUGGS, CHATTEN WALKEROwnerSENIOR VICE PRESIDENT AND CHIEF TECHNOLOGY OFFICER, ownership code NA, individual
Sep 12, 2016 to presentfactForm ADV
← SMILEY, STANLEY ROBERTOwnerVICE PRESIDENT, ownership code NA, individual
Sep 12, 2016 to presentfactForm ADV
← HARRISON, BRETT LAMAROwnerDIRECTOR, ownership code NA, individual
Sep 12, 2016 to presentfactForm ADV
← STANFIELD, JAMES MICHAELOwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual
Dec 19, 2011 to presentfactForm ADV
← STANFIELD, JON MICHAELOwnerPRESIDENT, BD CCO AND RIA CCO, ownership code NA, individual
Dec 19, 2011 to presentfactForm ADV
← ARETEC GROUP, INC.OwnerSOLE MEMBER, ownership code E, domestic entity
Jun 13, 2016 to presentfactForm ADV
← RCS CAPITAL HOLDINGS, LLCOwnerSOLE SHAREHOLDER, ownership code E, domestic entity
Mar 20, 2015 to presentfactForm ADV
← VSR GROUP, LLCOwnerPARENT CORPORATION, ownership code E, domestic entity
Mar 20, 2015 to presentfactForm ADV

Owns (1)

← VARGASON, SUSAN DENISEOwnerVICE PRESIDENT, COMPLIANCE, ownership code NA, individual
Dec 19, 2011 to presentfactForm ADV

Moved with (5)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviser3 advisors, team lift out, same day
Nov 2, 2016 to Jun 29, 2023factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviser3 advisors, team lift out, same day
Jun 6, 2016 to May 24, 2018factForm ADV
→ QUAKER WEALTH MANAGEMENT LLCRegistered adviser2 advisors, team lift out, same day
Aug 1, 2016 to Apr 18, 2018factForm ADV
→ WEALTHPLAN PARTNERSRegistered adviser2 advisors, team lift out, same day
Nov 2, 2016 to Jan 30, 2017factForm ADV
→ NFSG CORPORATIONRegistered adviser3 advisors, team lift out
Jun 20, 2016 to Dec 2, 2016factForm ADV

Registered with (47)

← BRADLEY JUSTIN MAUDERERAdvisorregistration: previous registration
Jun 22, 2005 to Nov 11, 2016factForm ADV
← JACOB ANDREW TYNDALLAdvisorregistration: previous registration
Jul 21, 2011 to Nov 11, 2016factForm ADV
← JON MICHAEL STANFIELDAdvisorregistration: previous registration
Oct 20, 2005 to Nov 11, 2016factForm ADV
← COURTNEY DENAE RADERAdvisorregistration: previous registration
Mar 29, 2012 to Nov 11, 2016factForm ADV
← Frederick Gordon FramAdvisorregistration: previous registration
Dec 23, 2015 to Nov 9, 2016factForm ADV
← MARK MARTIN RUBINAdvisorregistration: previous registration
Mar 23, 2005 to Nov 9, 2016factForm ADV
← LEWIS WADE PARTRIDGEAdvisorregistration: previous registration
Sep 2, 2016 to Nov 3, 2016factForm ADV
← TIMOTHY JOSEPH GEARYAdvisorregistration: previous registration
Sep 2, 2016 to Nov 2, 2016factForm ADV
← Steven Wayne EllisAdvisorregistration: previous registration
Aug 30, 2010 to Nov 2, 2016factForm ADV
← DREW ELDRED NIXONAdvisorregistration: previous registration
Jul 11, 2005 to Nov 2, 2016factForm ADV
← DANIEL CHARLES STEWARTAdvisorregistration: previous registration
Dec 15, 2006 to Nov 2, 2016factForm ADV
← KRIS ALAN PERSINGERAdvisorregistration: previous registration
Jul 25, 2008 to Nov 2, 2016factForm ADV
← JAMES HOWARD MIDDLESWORTHAdvisorregistration: previous registration
Sep 2, 2016 to Nov 2, 2016factForm ADV
← TOD MICHAEL MASINAdvisorregistration: previous registration
Feb 18, 2003 to Nov 2, 2016factForm ADV
← FRANCES KAIMIHAU WRIGHTAdvisorregistration: previous registration
May 6, 2013 to Nov 2, 2016factForm ADV
← CRAIG DREWES EMERSONAdvisorregistration: previous registration
Sep 2, 2016 to Nov 2, 2016factForm ADV
← RACHEL ELLEN LOXTERMANAdvisorregistration: previous registration
Sep 7, 2016 to Nov 2, 2016factForm ADV
← JAMES EDWARD HUGHESAdvisorregistration: previous registration
Sep 2, 2016 to Nov 2, 2016factForm ADV
← MICHAEL LEE MORAVECAdvisorregistration: previous registration
Sep 8, 2016 to Nov 2, 2016factForm ADV
← JOHN BRADLEY WILSONAdvisorregistration: previous registration
Dec 20, 2010 to Nov 2, 2016factForm ADV
← STEPHEN R GATESAdvisorregistration: previous registration
Sep 2, 2016 to Nov 2, 2016factForm ADV
← ROBERT EDWARD BURNSAdvisorregistration: previous registration
Sep 2, 2016 to Nov 2, 2016factForm ADV
← JOHN LEE LACKEYAdvisorregistration: previous registration
Sep 2, 2016 to Nov 2, 2016factForm ADV
← PAULA DEE PORSCHAdvisorregistration: previous registration
Sep 2, 2016 to Nov 2, 2016factForm ADV
← BRYAN MATTHEW DEWHURSTAdvisorregistration: previous registration
Sep 2, 2016 to Nov 2, 2016factForm ADV
← WILLIAM DEAN MISKOAdvisorregistration: previous registration
Sep 8, 2016 to Nov 2, 2016factForm ADV
← MCCALL MCGUIRE DYKEAdvisorregistration: previous registration
Sep 2, 2016 to Nov 2, 2016factForm ADV
← Ronald KudlacekAdvisorregistration: previous registration
Dec 20, 2010 to Nov 2, 2016factForm ADV
← CLINTON EDWARD AKERBERGAdvisorregistration: previous registration
Jun 1, 2010 to Nov 2, 2016factForm ADV
← EMILY SUE HARRISAdvisorregistration: previous registration
Sep 7, 2016 to Nov 2, 2016factForm ADV
and 17 more

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:28f90493-2e79-48e8-ba74-e43301f8c500
First observed: Dec 19, 2011
Last observed: Sep 12, 2016 121 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.

VSR ADVISORY SERVICES

VSR FINANCIAL SERVICES, INC., CRD 14503

OVERLAND PARK, KS

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:28f90493-2e79-48e8-ba74-e43301f8c500

Data as of Sep 12, 2016 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 10:42 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ANTONIADES, ADAM NICHOLAS

Director

yes

07/2016

Sep 12, 2016

ARETEC GROUP, INC.

SOLE MEMBER

yes

03/2015

Jun 13, 2016

Sep 12, 2016

BRETADO, SANTIAGO AVILA

CHIEF FINANCIAL OFFICER

yes

01/2016

Jan 29, 2016

Sep 12, 2016

EISENHAUER, JEFFREY NEAL

VICE PRESIDENT AND TRADE DESK DIRECTOR

yes

07/2016

Sep 12, 2016

HARRISON, BRETT LAMAR

Director

yes

07/2016

Sep 12, 2016

OLSON, GREGORY ALAN

Secretary

yes

07/2016

Sep 12, 2016

RCS CAPITAL HOLDINGS, LLC

SOLE SHAREHOLDER

yes

03/2015

Mar 20, 2015

Sep 12, 2016

SCRUGGS, CHATTEN WALKER

SENIOR VICE PRESIDENT AND CHIEF TECHNOLOGY OFFICER

yes

07/2016

Sep 12, 2016

SMILEY, STANLEY ROBERT

VICE PRESIDENT

yes

07/2016

Sep 12, 2016

STANFIELD, JAMES MICHAEL

CHIEF EXECUTIVE OFFICER

yes

10/2010

Dec 19, 2011

Sep 12, 2016

STANFIELD, JON MICHAEL

PRESIDENT, BD CCO AND RIA CCO

yes

08/2016

Dec 19, 2011

Sep 12, 2016

VSR GROUP, LLC

PARENT CORPORATION

yes

03/2015

Mar 20, 2015

Sep 12, 2016

VARGASON, SUSAN DENISE

VICE PRESIDENT, COMPLIANCE

07/2016

Dec 19, 2011

Sep 12, 2016

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

CETERA INVESTMENT ADVISERS LLC

n/a

Bd affiliated wealth

$257B

yes

n/a

CETERA ADVISOR NETWORKS LLC

n/a

Former SEC adviser

$47B

yes

n/a

CETERA ADVISORS LLC

n/a

Former SEC adviser

$22B

yes

n/a

FIRST ALLIED ADVISORY SERVICES, INC.

n/a

Former SEC adviser

$7.0B

yes

n/a

SUMMIT FINANCIAL GROUP INC

n/a

Former SEC adviser

$4.5B

yes

n/a

LEGEND ADVISORY CORPORATION

n/a

Former SEC adviser

$1.9B

yes

n/a

INVESTORS CAPITAL CORP.

n/a

Former SEC adviser

$1.6B

yes

n/a

CETERA INVESTMENT SERVICES LLC

n/a

Former SEC adviser

$1.2B

yes

n/a

GIRARD SECURITIES, INC.

n/a

Former SEC adviser

$597M

yes

n/a

TOWER SQUARE INVESTMENT MANAGEMENT LLC

n/a

No RAUM reported

yes

n/a

ASSOCIATES IN EXCELLENCE, INC.

n/a

yes

n/a

CETERA ADVISOR NETWORKS INSURANCE SERVICES LLC

n/a

yes

n/a

CETERA ADVISORS INSURANCE SERVICES LLC

n/a

yes

n/a

CETERA FINANCIAL SPECIALISTS LLC

n/a

yes

n/a

CETERA INSURANCE AGENCY LLC

n/a

yes

n/a

FASI INSURANCE SERVICES, INC.

n/a

yes

n/a

FASI OF TX, INC.

n/a

yes

n/a

FIRST ALLIED RETIREMENT SERVICES

n/a

yes

n/a

FIRST ALLIED SECURITIES, INC.

n/a

Former SEC adviser

n/a

yes

n/a

ICC INSURANCE AGENCY, INC.

n/a

yes

n/a

LEC INSURANCE AGENCY, INC.

n/a

yes

n/a

LEGEND EQUITIES CORPORATION

n/a

yes

n/a

SBS INSURANCE AGENCY OF FL, INC.

n/a

yes

n/a

SBS OF CALIFORNIA INSURANCE AGENCY, INC.

n/a

yes

n/a

SBSI INSURANCE AGENCY OF TX, INC.

n/a

yes

n/a

SK RESEARCH, LLC

n/a

yes

n/a

SUMMIT BROKERAGE SERVICES, INC.

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

GREENWOOD VILLAGE

United States

n/a

Honolulu

United States

n/a

DES MOINES

United States

n/a

Johnston

United States

n/a

Madison

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2015

Mar 30, 2016

$3.1B

$2.3B

349

284

n/a

2014

Sep 30, 2014

$3.1B

$2.1B

347

278

n/a

2013

Aug 20, 2013

$2.7B

$1.7B

378

299

n/a

2012

Sep 27, 2012

$2.7B

$1.2B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2015

$3.1B

0.7%

$2.7B

4.5%

349

347

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

CETERA INVESTMENT ADVISERS LLC

Nov 2, 2016

Jun 29, 2023

HONOLULU, HI

Team lift out

Other

7.1%

CETERA INVESTMENT ADVISERS LLC

Nov 2, 2016

Jun 29, 2023

OVERLAND PARK, KS

Team lift out

Other

11.9%

SUMMIT FINANCIAL GROUP INC

Nov 2, 2016

Sep 7, 2016

HONOLULU, HI

Channel change

Other

4.8%

SUMMIT FINANCIAL GROUP INC

Nov 2, 2016

Sep 1, 2016

HOUSTON, TX

Channel change

Other

7.1%

WEALTHPLAN PARTNERS

Nov 2, 2016

Jan 30, 2017

DAVID CITY, NE

Team lift out

Other

4.8%

SUMMIT FINANCIAL GROUP INC

Oct 31, 2016

Sep 9, 2016

OVERLAND PARK, KS

Channel change

Other

25.0%

SMART MONEY GROUP, LLC

Aug 15, 2016

Aug 17, 2016

OVERLAND PARK, KS

Team lift out

Other

1.6%

NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)

Aug 11, 2016

Aug 10, 2016

HUTCHINSON, KS

Team lift out

Other

1.6%

Spc

Aug 2, 2016

OVERLAND PARK, KS

Team lift out

Other

1.5%

TRIAD ADVISORS, LLC

Aug 1, 2016

OVERLAND PARK, KS

Team lift out

Other

1.4%

QUAKER WEALTH MANAGEMENT LLC

Aug 1, 2016

Apr 18, 2018

OVERLAND PARK, KS

Team lift out

Other

1.4%

CAPITAL MANAGEMENT ASSOCIATES INC

Jul 29, 2016

Aug 2, 2016

OVERLAND PARK, KS

Team lift out

Other

2.0%

SMART MONEY GROUP, LLC

Jul 29, 2016

Jul 28, 2016

OVERLAND PARK, KS

Team lift out

Other

1.3%

SMART MONEY GROUP, LLC

Jul 29, 2016

Aug 4, 2016

EASTLAND, TX

Team lift out

Other

1.3%

LEGACY FINANCIAL GROUP

Jul 25, 2016

Jul 26, 2016

OVERLAND PARK, KS

Team lift out

Other

1.3%

BFC PLANNING, INC.

Jul 19, 2016

Jul 26, 2016

OVERLAND PARK, KS

Team lift out

Other

1.3%

THE STRATEGIC FINANCIAL ALLIANCE

Jul 19, 2016

Jul 20, 2016

ATLANTA, GA

Team lift out

Other

1.9%

CALTON & ASSOCIATES, INC.

Jul 8, 2016

Jul 12, 2016

WORDEN, IL

Team lift out

Other

1.7%

SUMMIT WEALTH AND RETIREMENT PARTNERS

Jul 1, 2016

Jun 9, 2016

OVERLAND PARK, KS

Team lift out

Other

1.1%

NFSG CORPORATION

Jun 20, 2016

Dec 2, 2016

OVERLAND PARK, KS

Team lift out

Other

1.6%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

SUMMIT FINANCIAL GROUP INC

May 20, 2021

Sep 2, 2016

GREENWOOD VILLAGE, CO

Channel change

Other

1.5%

SUMMIT FINANCIAL GROUP INC

May 20, 2021

Sep 2, 2016

HONOLULU, HI

Channel change

Other

0.8%

SUMMIT FINANCIAL GROUP INC

Feb 23, 2017

Sep 7, 2016

SULPHER SPRINGS, TX

Channel change

Other

0.6%