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

NTB ADVISORS, A DIVISION OF NTB FINANCIAL CORPORATION

NTB FINANCIAL CORPORATION, CRD 7425

CENTENNIAL, CO

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Search this name across graphsid dfx:ria:3183b241-7b96-b026-d2d1-128e647a9af2

Data as of Dec 21, 2022 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:10 PM UTC and rebuilt at most every 15 minutes.

Relationships: 30
Dated events: 12
On other graphs: 0
Observed: Nov 22, 2011 to Dec 21, 2022
41 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: $250MItem 5.F on the latest filing (2022-12-21); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $243M
Private client RAUM: $246MderivedItem 5.D individuals plus high net worth individuals
Private client share: 98%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 58
Advisory employees: 13
Offices: 5Schedule D 1.F, beyond the principal office
Accounts: 724
Individual clients: 307
High net worth clients: 75
SEC number: 801-65853
CRD: 7425
Filings on the tape: 41
First filed: Nov 22, 2011
Latest filed: Dec 21, 2022
Organised: Corporation, Colorado

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
MORGAN, MICHAEL JOHN	EXECUTIVE VP, MANAGING DIRECTOR	C	yes	12/2010	Nov 22, 2011	Dec 21, 2022
PETRELLI, ANTHONY BENEDICT	PRESIDENT, CHAIRMAN, MANAGING DIRECTOR, PRINCIPAL FINANCIAL OFFICER	C	yes	12/2010	Nov 22, 2011	Dec 21, 2022
ROESENER, REGINA LEE	EXECUTIVE VP, MANAGING DIRECTOR,SECRETARY, PRINCIPAL OPERATING OFFICER	C	yes	12/2010	Nov 22, 2011	Dec 21, 2022
CAMPEN, ANTHONY JOSEPH	CHIEF COMPLIANCE OFFICER	Na	no	01/2022	Feb 15, 2022	Dec 21, 2022
DOWELL, BRAD ALLEN	CHIEF FINANCIAL OFFICER FINOP	Na	no	12/2020	Feb 15, 2022	Dec 21, 2022
MILLER, WILLIAM BEN JR	VICE PRESIDENT,ROSFP	Na	no	10/2000	Nov 22, 2011	Dec 21, 2022

Offices

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

City	State	Country	Employees	Also broker-dealer
Wichita	Ks	United States	2	yes
SOLANA BEACH	CA	United States	1	yes
Denver	Co	United States	1	yes
Northfield	IL	United States	1	yes
Kernersville	Nc	United States	1	yes

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
2022	Sep 29, 2022	$250M	$243M	58	13	5	n/a	n/a
2021	Sep 30, 2021	$269M	$260M	58	13	5	n/a	n/a
2020	Sep 30, 2020	$232M	$210M	43	16	6	n/a	n/a
2019	Sep 11, 2019	$217M	$186M	44	16	9	n/a	n/a
2018	Aug 16, 2018	$244M	$208M	64	20	9	n/a	n/a
2017	Jul 18, 2017	$282M	$194M	64	20	n/a	n/a	n/a
2016	Sep 6, 2016	$230M	$148M	64	20	n/a	n/a	n/a
2015	Sep 3, 2015	$224M	$146M	62	17	n/a	n/a	n/a
2014	Sep 17, 2014	$230M	$149M	53	13	n/a	n/a	n/a
2013	Sep 26, 2013	$171M	$101M	53	10	n/a	n/a	n/a
2012	Sep 28, 2012	$160M	$87.8M	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
2022	$250M	$269M	-7.0%	$217M	4.8%	58	58	5	5

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
MOMENTUM INDEPENDENT NETWORK INC.	6	Dec 31, 2022	Aug 24, 2023	HIGHLANDS RANCH, CO	Firm absorbed	Ibd to ibd	60.0%
OROGRAPHIC FINANCIAL ADVISORS	2	Dec 31, 2022	Dec 15, 2022	DENVER, CO	Team lift out	Ibd to new firm	20.0%
WESTERN WEALTH MANAGEMENT LLC	4	Jul 2, 2019	Jan 1, 2026	HIGHLANDS RANCH, CO	Team lift out	Ibd to RIA	28.6%
BROOKSTONE CAPITAL MANAGEMENT LLC	2	Jan 15, 2018	Jan 11, 2018	HIGHLANDS RANCH, CO	Team lift out	Other	13.3%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
DYNASTY CAPITAL MANAGEMENT, INC	4	Dec 17, 2015	Dec 28, 2015	ENGLEWOOD, CO	Firm absorbed	Other	57.1%

Relationships

Owns (3)

← MILLER, WILLIAM BEN JROwnerVICE PRESIDENT,ROSFP, ownership code NA, individual
Nov 22, 2011 to presentfactForm ADV
← DOWELL, BRAD ALLENOwnerCHIEF FINANCIAL OFFICER FINOP, ownership code NA, individual
Feb 15, 2022 to presentfactForm ADV
← CAMPEN, ANTHONY JOSEPHOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Feb 15, 2022 to presentfactForm ADV

Controls (3)

← MORGAN, MICHAEL JOHNOwnerEXECUTIVE VP, MANAGING DIRECTOR, ownership code C, individual
Nov 22, 2011 to presentfactForm ADV
← ROESENER, REGINA LEEOwnerEXECUTIVE VP, MANAGING DIRECTOR,SECRETARY, PRINCIPAL OPERATING OFFICER, ownership code C, individual
Nov 22, 2011 to presentfactForm ADV
← PETRELLI, ANTHONY BENEDICTOwnerPRESIDENT, CHAIRMAN, MANAGING DIRECTOR, PRINCIPAL FINANCIAL OFFICER, ownership code C, individual
Nov 22, 2011 to presentfactForm ADV

Moved with (4)

→ WESTERN WEALTH MANAGEMENT LLCRegistered adviser4 advisors, team lift out
Jul 2, 2019 to Jan 1, 2026factForm ADV
→ MOMENTUM INDEPENDENT NETWORK INC.Registered adviser6 advisors, firm absorbed, same day
Dec 31, 2022 to Aug 24, 2023factForm ADV
→ OROGRAPHIC FINANCIAL ADVISORSRegistered adviser2 advisors, team lift out, same day
Dec 31, 2022 to Dec 15, 2022factForm ADV
→ BROOKSTONE CAPITAL MANAGEMENT LLCRegistered adviser2 advisors, team lift out, same day
Jan 15, 2018 to Jan 11, 2018factForm ADV

Registered with (20)

← DUANE ARIEL SMITHAdvisorregistration: previous registration
Mar 24, 2014 to Dec 31, 2022factForm ADV
← Walter Ray LasleyAdvisorregistration: previous registration
Feb 7, 2012 to Dec 31, 2022factForm ADV
← LESLEY MYRNA SHIFFRINAdvisorregistration: previous registration
Jan 11, 2000 to Dec 31, 2022factForm ADV
← MICHAEL JOHN MORGANAdvisorregistration: previous registration
Apr 24, 2017 to Dec 31, 2022factForm ADV
← ZENAS NORMAN GURLEYAdvisorregistration: previous registration
Apr 27, 2004 to Dec 31, 2022factForm ADV
← Donald Stanfield McKinneyAdvisorregistration: previous registration
Oct 22, 2001 to Dec 31, 2022factForm ADV
← STACIE R CRADDOCKAdvisorregistration: previous registration
Feb 19, 2014 to Dec 31, 2022factForm ADV
← BO GABRIEL ALFRED PIHLAdvisorregistration: previous registration
Jun 27, 2007 to Dec 31, 2022factForm ADV
← Loal Gene WilsonAdvisorregistration: previous registration
Jan 10, 2005 to Dec 31, 2022factForm ADV
← TIMOTHY A SZYMANSKIAdvisorregistration: previous registration
Aug 11, 2015 to Dec 31, 2022factForm ADV
← RICHARD KEITH HAZELBAKERAdvisorregistration: previous registration
Sep 30, 2015 to Jul 15, 2019factForm ADV
← Jeffrey William HinkleAdvisorregistration: previous registration
May 21, 2018 to Jul 15, 2019factForm ADV
← STEVEN RAY HINKLEAdvisorregistration: previous registration
Jul 30, 2015 to Jul 9, 2019factForm ADV
← LYNN PROBSTAdvisorregistration: previous registration
Nov 12, 2015 to Jul 2, 2019factForm ADV
← DANIEL T MALACHOWSKIAdvisorregistration: previous registration
Dec 14, 2018 to Apr 1, 2019factForm ADV
← DOUGLAS J ROLLERAdvisorregistration: previous registration
Dec 28, 2015 to Jan 15, 2018factForm ADV
← JOSHUA L MILLARDAdvisorregistration: previous registration
Dec 28, 2015 to Jan 15, 2018factForm ADV
← JOHN MICHAEL CONVERYAdvisorregistration: previous registration
Dec 11, 2015 to Feb 2, 2017factForm ADV
← RONALD LEE SMITHAdvisorregistration: previous registration
Dec 1, 2004 to Jul 18, 2006factForm ADV
← ROBERT JOSEPH MELCHORAdvisorregistration: previous registration
Dec 1, 2004 to Feb 22, 2005factForm ADV

Dated events

Occurred
Dec 31, 2022
Team lift-out
2 advisors left Ntb Advisors, A Division OF Ntb Financial Corporation (Denver, CO) for Orographic Financial Advisors on the same day
Form ADVobserved 5 days ago
2 advisors
Occurred
Dec 31, 2022
Firm absorbed
Ntb Advisors, A Division OF Ntb Financial Corporation's advisors moved to Momentum Independent Network Inc. (Highlands Ranch, CO): 6 of 10 registered, on the same day
Form ADVobserved 5 days ago
6 advisors
Occurred
Dec 31, 2022
Advisor changed firm
Stacie R Craddock left Ntb Advisors, A Division Of Ntb Financial Corporation for Momentum Independent Network Inc. (registered 2023-08-24)
Form ADVobserved 5 days ago
Occurred
Dec 31, 2022
Advisor changed firm
Zenas Norman Gurley left Ntb Advisors, A Division Of Ntb Financial Corporation for Momentum Independent Network Inc. (registered 2023-01-03)
Form ADVobserved 5 days ago
Occurred
Dec 31, 2022
Advisor changed firm
Lesley Myrna Shiffrin left Ntb Advisors, A Division Of Ntb Financial Corporation for Orographic Financial Advisors (registered 2022-12-15)
Form ADVobserved 5 days ago
Occurred
Dec 31, 2022
Advisor changed firm
Michael John Morgan left Ntb Advisors, A Division Of Ntb Financial Corporation for Momentum Independent Network Inc. (registered 2023-01-03)
Form ADVobserved 5 days ago
Occurred
Dec 31, 2022
Advisor changed firm
Bo Gabriel Alfred Pihl left Ntb Advisors, A Division Of Ntb Financial Corporation for Orographic Financial Advisors (registered 2022-11-23)
Form ADVobserved 5 days ago
Occurred
Dec 31, 2022
Advisor changed firm
Donald Stanfield Mckinney left Ntb Advisors, A Division Of Ntb Financial Corporation for Momentum Independent Network Inc. (registered 2023-01-03)
Form ADVobserved 5 days ago
Occurred
Dec 31, 2022
Advisor changed firm
Duane Ariel Smith left Ntb Advisors, A Division Of Ntb Financial Corporation for Momentum Independent Network Inc. (registered 2023-01-03)
Form ADVobserved 5 days ago
Occurred
Dec 31, 2022
Advisor changed firm
Walter Ray Lasley left Ntb Advisors, A Division Of Ntb Financial Corporation for Momentum Independent Network Inc. (registered 2023-01-03)
Form ADVobserved 5 days ago
Occurred
Dec 31, 2022
Advisor changed firm
Timothy A Szymanski left Ntb Advisors, A Division Of Ntb Financial Corporation for Forty North Wealth (registered 2022-12-14)
Form ADVobserved 5 days ago
Occurred
Dec 31, 2022
Advisor changed firm
Loal Gene Wilson left Ntb Advisors, A Division Of Ntb Financial Corporation for Momentum Independent Network Inc. (registered 2023-01-03)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3183b241-7b96-b026-d2d1-128e647a9af2
First observed: Nov 22, 2011
Last observed: Dec 21, 2022 45 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.

NTB ADVISORS, A DIVISION OF NTB FINANCIAL CORPORATION

NTB FINANCIAL CORPORATION, CRD 7425

CENTENNIAL, CO

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:3183b241-7b96-b026-d2d1-128e647a9af2

Data as of Dec 21, 2022 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:10 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

MORGAN, MICHAEL JOHN

EXECUTIVE VP, MANAGING DIRECTOR

yes

12/2010

Nov 22, 2011

Dec 21, 2022

PETRELLI, ANTHONY BENEDICT

PRESIDENT, CHAIRMAN, MANAGING DIRECTOR, PRINCIPAL FINANCIAL OFFICER

yes

12/2010

Nov 22, 2011

Dec 21, 2022

ROESENER, REGINA LEE

EXECUTIVE VP, MANAGING DIRECTOR,SECRETARY, PRINCIPAL OPERATING OFFICER

yes

12/2010

Nov 22, 2011

Dec 21, 2022

CAMPEN, ANTHONY JOSEPH

CHIEF COMPLIANCE OFFICER

01/2022

Feb 15, 2022

Dec 21, 2022

DOWELL, BRAD ALLEN

CHIEF FINANCIAL OFFICER FINOP

12/2020

Feb 15, 2022

Dec 21, 2022

MILLER, WILLIAM BEN JR

VICE PRESIDENT,ROSFP

10/2000

Nov 22, 2011

Dec 21, 2022

City

State

Country

Employees

Also broker-dealer

Wichita

United States

yes

SOLANA BEACH

United States

yes

Denver

United States

yes

Northfield

United States

yes

Kernersville

United States

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2022

Sep 29, 2022

$250M

$243M

n/a

2021

Sep 30, 2021

$269M

$260M

n/a

2020

Sep 30, 2020

$232M

$210M

n/a

2019

Sep 11, 2019

$217M

$186M

n/a

2018

Aug 16, 2018

$244M

$208M

n/a

2017

Jul 18, 2017

$282M

$194M

n/a

2016

Sep 6, 2016

$230M

$148M

n/a

2015

Sep 3, 2015

$224M

$146M

n/a

2014

Sep 17, 2014

$230M

$149M

n/a

2013

Sep 26, 2013

$171M

$101M

n/a

2012

Sep 28, 2012

$160M

$87.8M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2022

$250M

$269M

-7.0%

$217M

4.8%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

MOMENTUM INDEPENDENT NETWORK INC.

Dec 31, 2022

Aug 24, 2023

HIGHLANDS RANCH, CO

Firm absorbed

Ibd to ibd

60.0%

OROGRAPHIC FINANCIAL ADVISORS

Dec 31, 2022

Dec 15, 2022

DENVER, CO

Team lift out

Ibd to new firm

20.0%

WESTERN WEALTH MANAGEMENT LLC

Jul 2, 2019

Jan 1, 2026

HIGHLANDS RANCH, CO

Team lift out

Ibd to RIA

28.6%

BROOKSTONE CAPITAL MANAGEMENT LLC

Jan 15, 2018

Jan 11, 2018

HIGHLANDS RANCH, CO

Team lift out

Other

13.3%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

DYNASTY CAPITAL MANAGEMENT, INC

Dec 17, 2015

Dec 28, 2015

ENGLEWOOD, CO

Firm absorbed

Other

57.1%