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CRD 42132
SAN DIEGO, CA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| ATRIA WEALTH SOLUTIONS, INC. | Shareholder | E | yes | 10/2018 | Nov 30, 2017 | Oct 31, 2024 |
| AWS 1, LLC | GENERAL PARTNER | C | yes | 11/2017 | Nov 30, 2017 | Oct 31, 2024 |
| AWS 3, INC. | LIMITED PARTNER | E | yes | 11/2017 | Mar 31, 2022 | Oct 31, 2024 |
| AWS 3, INC. | Member | E | yes | 07/2017 | Mar 31, 2022 | Oct 31, 2024 |
| LPL FINANCIAL HOLDINGS, INC. | PARENT COMPANY | E | yes | 10/2024 | Oct 31, 2024 | Oct 31, 2024 |
| LPL HOLDINGS, INC. | Shareholder | E | yes | 10/2024 | Oct 31, 2024 | Oct 31, 2024 |
| MUMMAU, KEVIN SCOTT | President | Na | yes | 06/2008 | Mar 15, 2012 | Oct 31, 2024 |
| HORWITH, THEODORE ROBERT | CHIEF FINANCIAL OFFICER, FINOP | Na | no | 05/2021 | May 6, 2021 | Oct 31, 2024 |
| SIMONSON, MARY KATHRYN | CHIEF COMPLIANCE OFFICER | Na | no | 07/2024 | Jul 12, 2024 | Oct 31, 2024 |
| WHITE, LAURA NICOLE | ADVISORY CHIEF COMPLIANCE OFFICER | Na | no | 11/2023 | Nov 17, 2023 | Oct 31, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| LPL FINANCIAL LLC | n/a | Bd affiliated wealth | $819B | N | yes | n/a |
| LPL ENTERPRISE, LLC | n/a | Bd affiliated wealth | $25B | N | yes | n/a |
| CADARET, GRANT & CO., INC. | n/a | Former SEC adviser | $7.7B | N | yes | n/a |
| NEXT FINANCIAL GROUP, INC. | n/a | Former SEC adviser | $3.8B | N | yes | n/a |
| WESTERN INTERNATIONAL SECURITIES, INC. | n/a | Former SEC adviser | $3.5B | N | yes | n/a |
| GROVE POINT ADVISORS, LLC | n/a | Former SEC adviser | $2.5B | N | yes | n/a |
| GROVE POINT INVESTMENTS, LLC | n/a | Former SEC adviser | $2.0B | N | yes | n/a |
| SCF INVESTMENT ADVISORS, INC. | n/a | Former SEC adviser | $1.3B | N | yes | n/a |
| SORRENTO PACIFIC FINANCIAL, LLC | n/a | Former SEC adviser | $222M | N | yes | n/a |
| CFS INSURANCE AND TECHNOLOGY SERVICES, LLC | n/a | n/a | n/a | N | yes | n/a |
| FIDUCIARY TRUST COMPANY OF NEW HAMPSHIRE | n/a | n/a | n/a | N | yes | n/a |
| LPL INSURANCE ASSOCIATES, INC. | n/a | n/a | n/a | N | yes | n/a |
| NEXT FINANCIAL INSURANCE SERVICES COMPANY | n/a | n/a | n/a | N | yes | n/a |
| SCF SECURITIES, INC. | n/a | n/a | n/a | N | yes | n/a |
| THE PRIVATE TRUST COMPANY, N.A. | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Appleton | Wi | United States | 11 | yes |
| Anaheim | CA | United States | 9 | yes |
| Orlando | FL | United States | 9 | yes |
| Dearborn | Mi | United States | 7 | yes |
| Clemmons | Nc | United States | 7 | yes |
| Austin | TX | United States | 7 | yes |
| Boulder | Co | United States | 6 | yes |
| Lunenburg | Ma | United States | 6 | yes |
| Syracuse | NY | United States | 6 | yes |
| WEST CHESTER | Pa | United States | 6 | yes |
| Pasadena | CA | United States | 5 | yes |
| SANTA ROSA | CA | United States | 5 | yes |
| Livonia | Mi | United States | 5 | yes |
| WINSTON SALEM | Nc | United States | 5 | yes |
| WINSTON SALEM | Nc | United States | 5 | yes |
| Albuquerque | Nm | United States | 5 | yes |
| Beavercreek | Oh | United States | 5 | yes |
| Kimberly | Wi | United States | 5 | yes |
| Riverside | CA | United States | 4 | yes |
| Boulder | Co | United States | 4 | yes |
| ORANGE PARK | FL | United States | 4 | yes |
| Honolulu | Hi | United States | 4 | yes |
| Honolulu | Hi | United States | 4 | yes |
| Lexington | Ky | United States | 4 | yes |
| Corvallis | Or | United States | 4 | yes |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2024 | Mar 31, 2025 | $5.4B | $3.5B | 791 | 523 | 825 | n/a | n/a |
| 2023 | Mar 28, 2024 | $4.7B | $2.8B | 833 | 571 | 900 | n/a | n/a |
| 2022 | Mar 31, 2023 | $4.1B | $2.2B | 803 | 577 | 977 | n/a | n/a |
| 2021 | Mar 31, 2022 | $4.4B | $1.2B | 656 | 468 | 929 | n/a | n/a |
| 2020 | Mar 31, 2021 | $3.5B | $837M | 673 | 494 | 927 | n/a | n/a |
| 2019 | May 14, 2020 | $3.3B | $606M | 726 | 522 | 927 | n/a | n/a |
| 2018 | Mar 24, 2019 | $1.9B | $419M | 703 | 486 | 927 | n/a | n/a |
| 2017 | Mar 30, 2018 | $1.9B | $430M | 695 | 542 | 927 | n/a | n/a |
| 2016 | Mar 24, 2017 | $2.6B | $0 | 706 | 490 | n/a | n/a | n/a |
| 2015 | Mar 30, 2016 | $1.8B | $0 | 685 | 447 | n/a | n/a | n/a |
| 2014 | Mar 30, 2015 | $1.6B | $0 | 615 | 427 | n/a | n/a | n/a |
| 2013 | Mar 31, 2014 | $122M | $0 | 705 | 441 | n/a | n/a | n/a |
| 2012 | Mar 25, 2013 | $625M | $0 | 695 | 382 | n/a | n/a | n/a |
| 2011 | Mar 15, 2012 | $469M | $0 | n/a | n/a | n/a | 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 |
|---|---|---|---|---|---|---|---|---|
| 0 | 4 | -4 | n/a | 0 | 0 | 0 | 69 | 181 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2024 | $5.4B | $4.7B | 15.3% | $4.4B | 7.0% | 791 | 833 | 825 | 900 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| LPL FINANCIAL LLC | 2 | Dec 10, 2025 | Dec 19, 2025 | SAN DIEGO, CA | Channel change | Ibd to ibd | 100.0% |
| LPL FINANCIAL LLC | 4 | Oct 24, 2025 | Nov 25, 2025 | SAN DIEGO, CA | Firm absorbed | Ibd to ibd | 50.0% |
| CETERA INVESTMENT ADVISERS LLC | 2 | Aug 1, 2025 | Aug 28, 2025 | SAN DIEGO, CA | Team lift out | Ibd to ibd | 11.1% |
| LPL FINANCIAL LLC | 2 | Apr 4, 2025 | May 19, 2026 | SAN DIEGO, CA | Channel change | Ibd to ibd | 0.4% |
| PFG ADVISORS | 2 | Mar 31, 2025 | Apr 3, 2025 | SPRING, TX | Team lift out | Ibd to RIA | 0.4% |
| PFG ADVISORS | 2 | Mar 14, 2025 | Mar 19, 2025 | SAN JOSE, CA | Team lift out | Ibd to RIA | 0.4% |
| OSAIC INSTITUTIONS, INC. | 2 | Mar 13, 2025 | Mar 24, 2025 | SAN DIEGO, CA | Team lift out | Ibd to ibd | 0.4% |
| CETERA INVESTMENT ADVISERS LLC | 2 | Mar 7, 2025 | Mar 7, 2025 | SAN DIEGO, CA | Team lift out | Ibd to ibd | 0.4% |
| OSAIC WEALTH, INC. | 2 | Mar 6, 2025 | Mar 6, 2025 | ALLENTOWN, PA | Team lift out | Ibd to ibd | 0.4% |
| CETERA INVESTMENT ADVISERS LLC | 2 | Feb 7, 2025 | Feb 7, 2025 | LEAVENWORTH, KS | Team lift out | Ibd to ibd | 0.4% |
| CETERA INVESTMENT ADVISERS LLC | 12 | Dec 12, 2024 | Dec 16, 2024 | WEST CHESTER, PA | Team lift out | Ibd to ibd | 2.4% |
| CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | 2 | Nov 27, 2024 | Nov 27, 2024 | PARKSBURG, PA | Team lift out | Ibd to ibd | 0.4% |
| LPL FINANCIAL LLC | 3 | Nov 25, 2024 | Nov 26, 2024 | HONOLULU, HI | Channel change | Ibd to ibd | 0.6% |
| LPL FINANCIAL LLC | 17 | Sep 18, 2024 | Jan 6, 2025 | SANTA ROSA, CA | Channel change | Ibd to ibd | 3.3% |
| WELLS FARGO ADVISORS | 2 | Aug 22, 2024 | Aug 26, 2024 | SANDY SPRINGS, GA | Team lift out | Ibd to wirehouse | 0.4% |
| CETERA INVESTMENT ADVISERS LLC | 7 | Mar 28, 2024 | Apr 1, 2024 | EWA BEACH, HI | Team lift out | Ibd to ibd | 1.4% |
| OSAIC INSTITUTIONS, INC. | 2 | Mar 20, 2024 | Mar 21, 2024 | BRIDGEWATER, NJ | Team lift out | Ibd to ibd | 0.4% |
| LPL FINANCIAL LLC | 2 | Jan 17, 2024 | Jan 18, 2024 | HUMBLE, TX | Channel change | Ibd to ibd | 0.4% |
| OSAIC INSTITUTIONS, INC. | 2 | Nov 29, 2023 | Nov 30, 2023 | AVONDALE, AZ | Team lift out | Ibd to ibd | 0.4% |
| OSAIC INSTITUTIONS, INC. | 12 | Nov 29, 2023 | Nov 30, 2023 | CENTENNIAL, CO | Team lift out | Ibd to ibd | 2.3% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| LPL FINANCIAL LLC | 3 | May 26, 2023 | May 18, 2023 | MOON TOWNSHIP, PA | Team lift out | Ibd to ibd | 0.0% |
| WESCOM FINANCIAL SERVICES, LLC | 21 | Feb 6, 2023 | Jan 16, 2023 | ANAHEIM, CA | Firm absorbed | RIA to ibd | 100.0% |
| LPL FINANCIAL LLC | 2 | Feb 6, 2023 | Jan 23, 2023 | SHAWANO, WI | Team lift out | RIA to ibd | 0.0% |
| EQUITABLE ADVISORS, LLC | 2 | May 6, 2022 | May 13, 2022 | CINCINNATI, OH | Team lift out | Ibd to ibd | 0.1% |
| MML INVESTORS SERVICES, LLC | 2 | Mar 4, 2022 | May 16, 2022 | SAN FRANCISCO, CA | Team lift out | Ibd to ibd | 0.0% |
| CUNA BROKERAGE SERVICES, INC. | 2 | Dec 3, 2021 | Jan 7, 2022 | BOULDER CITY, NV | Team lift out | Ibd to ibd | 0.4% |
| CUNA BROKERAGE SERVICES, INC. | 2 | Oct 5, 2021 | Oct 1, 2021 | WADSWORTH, TX | Team lift out | Ibd to ibd | 0.4% |
| CUNA BROKERAGE SERVICES, INC. | 5 | Jul 12, 2019 | Jul 10, 2019 | SHELBY, NC | Team lift out | Ibd to ibd | 1.0% |
| LPL FINANCIAL LLC | 3 | Jul 11, 2019 | Jul 3, 2019 | LAKEWOOD, CA | Team lift out | RIA to ibd | 0.0% |
| SCOTTRADE INVESTMENT MANAGEMENT | 4 | Mar 7, 2018 | Nov 5, 2018 | SAINT LOUIS, MO | Team lift out | Ibd to ibd | 1.2% |
| LPL FINANCIAL LLC | 3 | Oct 7, 2016 | Oct 3, 2016 | LOS ANGELES, CA | Team lift out | Other | 0.0% |
| CETERA ADVISOR NETWORKS LLC | 3 | Nov 18, 2015 | Nov 18, 2015 | VANCOUVER, WA | Team lift out | Other | 0.6% |
| WELLS FARGO ADVISORS | 2 | May 15, 2015 | May 22, 2015 | SALT LAKE CITY, UT | Team lift out | Other | 0.0% |
| LPL FINANCIAL LLC | 2 | Feb 19, 2015 | Feb 18, 2015 | SYRACUSE, NY | Team lift out | Other | 0.0% |
| CUNA BROKERAGE SERVICES, INC. | 3 | Jan 14, 2015 | Jan 14, 2015 | CLEARFIELD, UT | Team lift out | Other | 0.9% |