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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

PIONEER ADVISORS, LLC

CRD 148958

SCOTTSDALE, AZ

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:2f8d5c57-725e-4eb5-74a8-08ff5485ccdb

Data as of Sep 23, 2015 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:05 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Feb 23, 2012 to Sep 23, 2015
15 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: $283MItem 5.F on the latest filing (2015-09-23); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.0M
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: 3
Advisory employees: 2
Accounts: 7
SEC number: 801-71602
CRD: 148958
Filings on the tape: 15
First filed: Feb 23, 2012
Latest filed: Sep 23, 2015
Organised: Limited Liability Company, Arizona

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
FLANERY, PATRICK, JAMES	PRESIDENT, CCO	Na	yes	09/2015	Sep 23, 2015	Sep 23, 2015
MORGAN CAPITAL, LLC	100% OWNER OF PIONEER	E	yes	07/2010	Jun 27, 2012	Sep 23, 2015

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
PATRICK J. FLANERY	n/a	n/a	n/a	Y	no	n/a

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
2014	Mar 31, 2015	$115M	$1.0M	5	4	n/a	n/a	n/a
2013	Feb 25, 2014	$115M	$115M	5	4	n/a	n/a	n/a
2012	May 2, 2013	$118M	$118M	9	7	n/a	n/a	n/a
2011	Feb 23, 2012	$26.4M	$26.4M	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
2014	$283M	$115M	146.1%	$26.4M	120.5%	3	5	n/a	n/a

Relationships

Controls (2)

← FLANERY, PATRICK, JAMESOwnerPRESIDENT, CCO, ownership code NA, individual
Sep 23, 2015 to presentfactForm ADV
← MORGAN CAPITAL, LLCOwner100% OWNER OF PIONEER, ownership code E, domestic entity
Jun 27, 2012 to presentfactForm ADV

Registered with (4)

← RYAN J RICEDORFFAdvisorregistration: previous registration
Oct 23, 2013 to Feb 24, 2014factForm ADV
← JOSEPH JOHN LAUXAdvisorregistration: previous registration
Jun 3, 2011 to Sep 30, 2013factForm ADV
← PAUL JOHNATHAN MERSHONAdvisorregistration: previous registration
Oct 7, 2010 to Sep 30, 2013factForm ADV
← THOMAS CLAUDE COOKAdvisorregistration: previous registration
Jun 27, 2012 to Mar 26, 2013factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2f8d5c57-725e-4eb5-74a8-08ff5485ccdb
First observed: Feb 23, 2012
Last observed: Sep 23, 2015 133 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.

PIONEER ADVISORS, LLC

CRD 148958

SCOTTSDALE, AZ

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:2f8d5c57-725e-4eb5-74a8-08ff5485ccdb

Data as of Sep 23, 2015 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:05 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

FLANERY, PATRICK, JAMES

PRESIDENT, CCO

yes

09/2015

Sep 23, 2015

MORGAN CAPITAL, LLC

100% OWNER OF PIONEER

yes

07/2010

Jun 27, 2012

Sep 23, 2015

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

PATRICK J. FLANERY

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2014

Mar 31, 2015

$115M

$1.0M

n/a

2013

Feb 25, 2014

$115M

n/a

2012

May 2, 2013

$118M

n/a

2011

Feb 23, 2012

$26.4M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2014

$283M

$115M

146.1%

$26.4M

120.5%

n/a