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

MCQUEEN, BALL & ASSOCIATES INC.

CRD 104663

BETHLEHEM, PA

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:3434fe47-988a-103e-a906-80793f7d6d38

Data as of Apr 23, 2019 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:33 AM UTC and rebuilt at most every 15 minutes.

Relationships: 18
Dated events: 0
On other graphs: 0
Observed: Mar 21, 2012 to Apr 23, 2019
14 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: $1.2BItem 5.F on the latest filing (2019-04-23); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.2B
Private client RAUM: $1.2BderivedItem 5.D individuals plus high net worth individuals
Private client share: 95%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 15
Advisory employees: 7
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 1,081
Individual clients: 125
High net worth clients: 157
Custody, client assets: $7.8M
SEC number: 801-21989
CRD: 104663
Filings on the tape: 14
First filed: Mar 21, 2012
Latest filed: Apr 23, 2019
Organised: Corporation, Pennsylvania

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
Fungard, Todd, Robert	CHIEF INVESTMENT OFFICER	B	yes	06/2015	Mar 4, 2016	Apr 23, 2019
MCQUEEN, JERRY, BLAINE	President	D	yes	07/1981	Mar 21, 2012	Apr 23, 2019
Peters, Michael, Jason	Director	B	yes	06/2011	Mar 4, 2016	Apr 23, 2019
POLTER, SCOTT, ERIC	CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER	Na	yes	06/2013	Oct 16, 2013	Apr 23, 2019
SCHULTZ, WILLIAM, JOHN	MANAGING DIRECTOR	B	yes	07/2001	Mar 21, 2012	Apr 23, 2019

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
CAPFINANCIAL PARTNERS, LLC	n/a	Institutional manager	$1237B	N	yes	n/a
CAPFINANCIAL SECURITIES, LLC.	n/a	Former SEC adviser	$116B	N	yes	n/a
PENSIONMARK FINANCIAL GROUP, LLC	n/a	Other adviser	$72B	N	yes	n/a
60 WEST ADVISORS, LLC	n/a	Former SEC adviser	$8.4M	Y	yes	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
2018	Mar 1, 2019	$1.2B	$1.2B	15	7	0	n/a	n/a
2017	Mar 13, 2018	$1.3B	$1.3B	15	7	0	n/a	n/a
2016	Mar 7, 2017	$1.2B	$1.2B	16	6	n/a	n/a	n/a
2015	Mar 4, 2016	$1.1B	$1.1B	15	5	n/a	n/a	n/a
2014	Mar 5, 2015	$1.2B	$1.2B	14	5	n/a	n/a	n/a
2013	Mar 13, 2014	$1.1B	$1.1B	14	5	n/a	n/a	n/a
2012	Mar 20, 2013	$1.0B	$1.0B	14	6	n/a	n/a	n/a
2011	Mar 21, 2012	$1.0B	$1.0B	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
2018	$1.2B	$1.3B	-5.0%	$1.1B	2.2%	15	15	0	0

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
Captrust	2	Sep 30, 2019	Apr 29, 2019	BETHLEHEM, PA	Team lift out	Other	50.0%

Relationships

Affiliated with (5)

→ CAPTRUST FINANCIAL ADVISORSRegistered adviserbroker-dealer, common control
factForm ADV
→ CAPTRUSTRegistered adviserother investment adviser, common control
factForm ADV
→ WORLD INVESTMENT ADVISORS, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ 60 WEST ADVISORS, LLCRegistered adviserother investment adviser, control, common control
factForm ADV
← 60 WEST ADVISORS, LLCRegistered adviserother investment adviser, control, common control
factForm ADV

Controls (5)

← SCHULTZ, WILLIAM, JOHNOwnerMANAGING DIRECTOR, ownership code B, individual
Mar 21, 2012 to presentfactForm ADV
← POLTER, SCOTT, ERICOwnerCHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Oct 16, 2013 to presentfactForm ADV
← Fungard, Todd, RobertOwnerCHIEF INVESTMENT OFFICER, ownership code B, individual
Mar 4, 2016 to presentfactForm ADV
← Peters, Michael, JasonOwnerDIRECTOR, ownership code B, individual
Mar 4, 2016 to presentfactForm ADV
← MCQUEEN, JERRY, BLAINEOwnerPRESIDENT, ownership code D, individual
Mar 21, 2012 to presentfactForm ADV

Registered with (7)

← Christopher A ZaveczAdvisorregistration: previous registration
Nov 22, 2017 to Sep 30, 2019factForm ADV
← Michael PetersAdvisorregistration: previous registration
Feb 11, 2017 to Sep 30, 2019factForm ADV
← Francis Joseph DeckerAdvisorregistration: previous registration
Oct 11, 2018 to Sep 30, 2019factForm ADV
← Jerry B McQueenAdvisorregistration: previous registration
Jan 29, 1998 to Sep 30, 2019factForm ADV
← JOHN BRUCE LEVISAdvisorregistration: previous registration
Jun 9, 2006 to Mar 5, 2013factForm ADV
← JASON ROBERT HENNINGERAdvisorregistration: previous registration
May 15, 2006 to Mar 5, 2013factForm ADV
← MATTHEW L STAPLESAdvisorregistration: previous registration
Jan 18, 2011 to Jun 4, 2012factForm ADV

Moved with (1)

→ CAPTRUSTRegistered adviser2 advisors, team lift out, same day
Sep 30, 2019 to Apr 29, 2019factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3434fe47-988a-103e-a906-80793f7d6d38
First observed: Mar 21, 2012
Last observed: Apr 23, 2019 90 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.

MCQUEEN, BALL & ASSOCIATES INC.

CRD 104663

BETHLEHEM, PA

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:3434fe47-988a-103e-a906-80793f7d6d38

Data as of Apr 23, 2019 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:33 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

Fungard, Todd, Robert

CHIEF INVESTMENT OFFICER

yes

06/2015

Mar 4, 2016

Apr 23, 2019

MCQUEEN, JERRY, BLAINE

President

yes

07/1981

Mar 21, 2012

Apr 23, 2019

Peters, Michael, Jason

Director

yes

06/2011

Mar 4, 2016

Apr 23, 2019

POLTER, SCOTT, ERIC

CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER

yes

06/2013

Oct 16, 2013

Apr 23, 2019

SCHULTZ, WILLIAM, JOHN

MANAGING DIRECTOR

yes

07/2001

Mar 21, 2012

Apr 23, 2019

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

CAPFINANCIAL PARTNERS, LLC

n/a

Institutional manager

$1237B

yes

n/a

CAPFINANCIAL SECURITIES, LLC.

n/a

Former SEC adviser

$116B

yes

n/a

PENSIONMARK FINANCIAL GROUP, LLC

n/a

Other adviser

$72B

yes

n/a

60 WEST ADVISORS, LLC

n/a

Former SEC adviser

$8.4M

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2018

Mar 1, 2019

$1.2B

n/a

2017

Mar 13, 2018

$1.3B

n/a

2016

Mar 7, 2017

$1.2B

n/a

2015

Mar 4, 2016

$1.1B

n/a

2014

Mar 5, 2015

$1.2B

n/a

2013

Mar 13, 2014

$1.1B

n/a

2012

Mar 20, 2013

$1.0B

n/a

2011

Mar 21, 2012

$1.0B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2018

$1.2B

$1.3B

-5.0%

$1.1B

2.2%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

Captrust

Sep 30, 2019

Apr 29, 2019

BETHLEHEM, PA

Team lift out

Other

50.0%