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CRD 291902
MOUNT PLEASANT, SC
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| Kristen L McKeown | Chartered Financial Consultant | MOUNT PLEASANT, SC | 8 | 22 | 3 | no |
| MICHAEL EDWARD LEWIS | Certified Financial Planner | MOUNT PLEASANT, SC | 8 | 15 | n/a | no |
| MICHAEL JASON DOLBERG | Chartered Financial Consultant | Charleston, SC | MOUNT PLEASANT, SC | 8 | 22 | 1 | yes |
| ROBERT HY GORMAN | Certified Financial Planner|Chartered Financial Consultant | MOUNT PLEASANT, SC | 8 | 21 | 1 | no |
| ANDREW CARROLL JAFFEE | Certified Financial Planner | MOUNT PLEASANT, SC | 8 | 18 | 1 | no |
| ANTHONY RAYMOND CASE | Certified Financial Planner|Chartered Financial Consultant | MOUNT PLEASANT, SC | 8 | 16 | 1 | no |
| MICHAEL PAUL GREEN | Certified Financial Planner|Chartered Financial Consultant | MOUNT PLEASANT, SC | 8 | 12 | 1 | no |
| SIMEON GILMORE EAVES | Chartered Financial Consultant | MOUNT PLEASANT, SC | Augusta, GA | 8 | 41 | 1 | no |
| DAVID SAMUEL PALKOVITZ | Certified Financial Planner | AUGUSTA, GA | Columbia, SC | MOUNT PLEASANT, SC | 6 | 11 | 2 | no |
| Robert Aloysius Foley | n/a | MOUNT PLEASANT, SC | CHICAGO, IL | 6 | 17 | 1 | no |
| CHRISTOPHER MICHAEL BURKE | n/a | MOUNT PLEASANT, SC | Glenview, IL | 6 | 12 | 2 | no |
| Allen Huggins Johnson | n/a | MOUNT PLEASANT, SC | Sarasota, FL | 6 | 39 | 7 | yes |
| KIM MARIE MARTIN | n/a | WOODSTOCK, GA | MOUNT PLEASANT, SC | 6 | 30 | 7 | yes |
| JARED TOREN | n/a | MOUNT PLEASANT, SC | Austin, TX | 5 | 19 | 5 | no |
| JASON G YOUNG | n/a | MOUNT PLEASANT, SC | Atlanta, GA | 5 | 20 | 4 | yes |
| JENNIFER FANEE THIGPEN | Certified Financial Planner | MOUNT PLEASANT, SC | Atlanta, GA | 5 | 26 | 6 | yes |
| MEREDITH PAYNE HOLTON | n/a | MOUNT PLEASANT, SC | CALHOUN, GA | 5 | 16 | 1 | no |
| RICHARD H CHIN | n/a | MOUNT PLEASANT, SC | BOZEMAN, MT | 5 | 23 | 2 | no |
| CYNTHIA PAYNE Ochal | Certified Financial Planner | TAMPA, FL | MOUNT PLEASANT, SC | 5 | 27 | 2 | yes |
| DANIEL AARON SCOTT | n/a | MOUNT PLEASANT, SC | Springfield, MO | 5 | 41 | 1 | no |
| ANDREW (NMN) KANE | n/a | Miami Beach, FL | MOUNT PLEASANT, SC | 5 | 32 | 8 | no |
| Josh Joseph Renda | Certified Financial Planner | Sarasota, FL | MOUNT PLEASANT, SC | 5 | 27 | 2 | yes |
| ANTHONY JACOB GARCIA | n/a | Miami Beach, FL | MOUNT PLEASANT, SC | 5 | 40 | 6 | no |
| Henry Silva | n/a | Aventura, FL | MOUNT PLEASANT, SC | 5 | 13 | 1 | no |
| RICHARD VICTOR SIMKUS | n/a | MOUNT PLEASANT, SC | NEWTON, PA | 5 | 42 | 6 | no |
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| PRISM JADE FUND, LP | Hedge Fund | $31.3M | Mar 31, 2026 | 36 | Mar 14, 2012 | reported | 021-381600 |
| APOLLON PRIVATE CREDIT FUND | Other Private Fund | $16.5M | Jan 11, 2023 | 62 | Oct 28, 2020 | dropped | n/a |
| APOLLON PRIVATE CREDIT FUND | Other Private Fund | $12.4M | Mar 31, 2026 | 56 | Mar 30, 2023 | reported | n/a |
| APOLLON PRIVATE CREDIT FUND II | Other Private Fund | $5.2M | Mar 31, 2026 | 29 | Mar 30, 2023 | reported | n/a |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| APOLLON HOLDINGS, LLC | MANAGING MEMBER | E | yes | 12/2017 | Mar 31, 2026 | Mar 31, 2026 |
| DOLBERG, MICHAEL, JASON | FOUNDING PARTNER AND CHIEF EXECUTIVE OFFICER | Na | yes | 02/2018 | Mar 31, 2026 | Mar 31, 2026 |
| GORMAN, ROBERT, HY | FOUNDING PARTNER AND CHIEF DEVELOPMENT OFFICER | Na | yes | 02/2018 | Mar 31, 2026 | Mar 31, 2026 |
| HERMAN, MICHAEL, ANSON | CHIEF COMPLIANCE OFFICER | Na | yes | 12/2021 | Mar 31, 2026 | Mar 31, 2026 |
| DOLBERG, MICHAEL, JASON | Member | D | yes | 02/2018 | Feb 15, 2018 | Jun 10, 2024 |
| GORMAN, ROBERT, HY | Member | D | yes | 02/2018 | Feb 15, 2018 | Jun 10, 2024 |
| PRESTIGE WORLDWIDE, LLC | MEMBER/OWNER | E | yes | 02/2018 | May 23, 2019 | Jun 10, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| APOLLON FINANCIAL, LLC | n/a | Independent wealth | $1.4B | N | yes | n/a |
| BH ASSET MANAGEMENT, LLC | n/a | Independent wealth | $136M | N | yes | n/a |
| ADVISOR INSURANCE SOLUTIONS, LLC | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Charleston | Sc | United States | 15 | yes |
| Atlanta | Ga | United States | 10 | yes |
| PEACHTREE CORNERS | Ga | United States | 7 | no |
| Barrington | IL | United States | 7 | no |
| Boise | Id | United States | 6 | no |
| MIAMI BEACH | FL | United States | 3 | yes |
| Brintree | Ma | United States | 3 | no |
| Rockland | Me | United States | 3 | yes |
| Columbia | Sc | United States | 3 | yes |
| Columbia | Sc | United States | 3 | no |
| GREENWOOD VILLAGE | Co | United States | 2 | no |
| Tampa | FL | United States | 2 | yes |
| Atlanta | Ga | United States | 2 | no |
| Portland | Me | United States | 2 | yes |
| Springfield | Mo | United States | 2 | no |
| CAMP HILL | Pa | United States | 2 | no |
| Newtown | Pa | United States | 2 | no |
| HIGHLANDS RANCH | Co | United States | 1 | no |
| Aventura | FL | United States | 1 | no |
| Augusta | Ga | United States | 1 | no |
| Chicago | IL | United States | 1 | no |
| SAN JUAN | Pr | United States | 1 | yes |
| Austin | TX | United States | 1 | no |
| n/a | n/a | n/a | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 31, 2026 | $12B | $11B | 199 | 115 | 51 | 4 | n/a |
| 2024 | Apr 25, 2025 | $7.7B | $7.4B | 179 | 115 | 56 | 4 | n/a |
| 2023 | Mar 29, 2024 | $5.5B | $5.1B | 167 | 93 | 34 | 3 | $47.7M |
| 2022 | Mar 30, 2023 | $3.4B | $3.0B | 117 | 71 | 34 | 3 | $47.7M |
| 2021 | Mar 31, 2022 | $2.5B | $2.3B | 92 | 61 | 34 | 2 | $41.6M |
| 2020 | Mar 29, 2021 | $1.6B | $1.5B | 39 | 20 | 12 | 1 | $12.0M |
| 2019 | Mar 10, 2020 | $344M | $291M | 36 | 17 | 5 | n/a | n/a |
| 2018 | Mar 26, 2019 | $245M | $193M | 30 | 12 | 3 | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 27 | 4 | 23 | 2.8% | 4 | 0 | 0 | 78 | 16 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $12B | $7.7B | 49.8% | $3.4B | 50.9% | 199 | 179 | 51 | 56 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| COMMONWEALTH FINANCIAL NETWORK | 2 | Sep 14, 2026 | Sep 9, 2026 | ROCKVILLE, MD | Team lift out | Ibd to RIA | 0.1% |
| MOTLEY FOOL WEALTH MANAGEMENT, LLC | 4 | Apr 20, 2026 | Apr 1, 2026 | ALEXANDRIA, VA | Team lift out | RIA to RIA | 40.0% |
| INDEPENDENT FINANCIAL GROUP, LLC | 5 | Apr 20, 2026 | Apr 23, 2026 | DELAFIELD, WI | Team lift out | Ibd to RIA | 1.0% |
| SAGE ADVISORS LLC | 3 | Feb 9, 2026 | Jan 9, 2026 | INDIANAPOLIS, IN | Firm absorbed | RIA to RIA | 75.0% |
| JANNEY MONTGOMERY SCOTT LLC | 6 | Jul 1, 2025 | Jul 7, 2025 | COLUMBUS, OH | Team lift out | Ibd to RIA | 0.5% |
| RKL PRIVATE WEALTH | 2 | Jun 3, 2025 | Jun 3, 2025 | LANCASTER, PA | Team lift out | RIA to RIA | 8.7% |
| CIC WEALTH, LLC | 7 | Dec 31, 2024 | Oct 10, 2024 | ROCKVILLE, MD | Firm absorbed | RIA to RIA | 70.0% |
| BRIDGEMARK WEALTH MANAGEMENT | 3 | Dec 10, 2024 | Dec 5, 2024 | ROCKVILLE, MD | Firm absorbed | RIA to RIA | 100.0% |
| CETERA INVESTMENT ADVISERS LLC | 2 | Dec 2, 2024 | Nov 26, 2024 | DANIEL ISLAND, SC | Team lift out | Ibd to RIA | 0.0% |
| RBC CAPITAL MARKETS, LLC | 2 | Nov 13, 2024 | Nov 4, 2024 | AUSTIN, TX | Team lift out | Ibd to RIA | 0.1% |
| OSAIC WEALTH, INC. | 2 | Mar 1, 2024 | Mar 6, 2024 | BRAINTREE, MA | Team lift out | Ibd to RIA | 0.0% |
| CATALYST WEALTH MANAGEMENT | 5 | Dec 13, 2023 | May 18, 2023 | ATLANTA, GA | Firm absorbed | RIA to RIA | 100.0% |
| UNITED CAPITAL FINANCIAL ADVISORS | 4 | Oct 27, 2023 | Sep 27, 2023 | NORCROSS, GA | Team lift out | Ibd to RIA | 1.8% |
| UNITED CAPITAL FINANCIAL ADVISORS | 2 | Oct 20, 2023 | Oct 13, 2023 | CHICAGO, IL | Team lift out | Ibd to RIA | 0.8% |
| AMERIPRISE FINANCIAL SERVICES, LLC | 3 | Oct 16, 2023 | Oct 16, 2023 | COLUMBIA, SC | Team lift out | Ibd to RIA | 0.0% |
| RAYMOND JAMES & ASSOCIATES, INC. | 2 | Oct 3, 2023 | Oct 6, 2023 | WINSTONSALEM, NC | Team lift out | Ibd to RIA | 0.0% |
| PIERSHALE FINANCIAL GROUP, INC. | 2 | Sep 26, 2023 | Jun 29, 2023 | BARRINGTON, IL | Team lift out | RIA to RIA | 100.0% |
| TREE CITY ADVISORS, LLC | 5 | Dec 31, 2022 | Oct 6, 2023 | BOISE, ID | Firm absorbed | RIA to RIA | 100.0% |
| RAYMOND JAMES & ASSOCIATES, INC. | 2 | Aug 10, 2022 | Aug 8, 2022 | BEVERLY HILLS, CA | Team lift out | Ibd to RIA | 0.0% |
| MOLONEY SECURITIES ASSET MANAGEMENT LLC | 2 | Dec 14, 2021 | Jan 4, 2022 | MANCHESTER, MO | Team lift out | Ibd to RIA | 2.8% |