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

WOODSTOCK FINANCIAL GROUP, INC.

CRD 38095

WOODSTOCK, GA

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:455c7b1b-bd7c-5aa7-311d-fb8f4ebe0ea9

Data as of Nov 9, 2018 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:04 AM UTC and rebuilt at most every 15 minutes.

Relationships: 61
Dated events: 0
On other graphs: 0
Observed: Mar 29, 2012 to Nov 9, 2018
10 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: $246MItem 5.F on the latest filing (2018-11-09); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $246M
Private client RAUM: $238MderivedItem 5.D individuals plus high net worth individuals
Private client share: 97%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 60
Advisory employees: 29
Offices: 26Schedule D 1.F, beyond the principal office
Accounts: 1,857
Individual clients: 865
High net worth clients: 43
SEC number: 801-65881
CRD: 38095
Filings on the tape: 10
First filed: Mar 29, 2012
Latest filed: Nov 9, 2018
Organised: Corporation, Georgia

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
RAIKE, WILLIAM JASPER III	PRESIDENT / CEO	Na	yes	03/1995	Mar 29, 2012	Nov 9, 2018
WOODSTOCK HOLDINGS INC	HOLDING COMPANY	E	yes	01/2010	Mar 29, 2012	Nov 9, 2018
WOODSTOCK HOLDINGS INC.	Active	E	yes	01/2010	Mar 30, 2018	Nov 9, 2018
BRANCA, ANTHONY DOUGLAS	CHIEF COMPLIANCE OFFICER OF BD	Na	no	06/2009	Mar 29, 2012	Nov 9, 2018
WHITLEY, MELISSA LYNN	CHIEF FINANCIAL OFFICER / FINOP	Na	no	07/2003	Mar 29, 2012	Nov 9, 2018

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
WOODSTOCK WEALTH MANAGEMENT, INC.	n/a	Independent wealth	$727M	N	yes	n/a
WILLIAM JASPER RAIKE III	n/a	n/a	n/a	N	yes	n/a

Offices

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

City	State	Country	Employees	Also broker-dealer
BOCA RATON	FL	United States	2	yes
Milledgeville	Ga	United States	2	yes
Mountainside	Nj	United States	2	yes
Atlanta	Ga	United States	1	yes
Annapolis	Md	United States	1	yes
Madison	Nj	United States	1	yes
WALL TOWNSHIP	Nj	United States	1	yes
Hawthorne	NY	United States	1	yes
Kingston	Pa	United States	1	yes
Cypress	TX	United States	1	yes
n/a	n/a	n/a	1	yes
n/a	n/a	n/a	1	yes
n/a	n/a	n/a	1	yes
n/a	n/a	n/a	1	yes
n/a	n/a	n/a	1	no
n/a	n/a	n/a	1	yes
n/a	n/a	n/a	1	yes
n/a	n/a	n/a	1	yes
n/a	n/a	n/a	1	yes
n/a	n/a	n/a	1	yes
n/a	n/a	n/a	1	yes
n/a	n/a	n/a	1	yes
n/a	n/a	n/a	1	yes
n/a	n/a	n/a	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
2017	Mar 30, 2018	$246M	$246M	60	29	26	n/a	n/a
2016	Mar 30, 2017	$211M	$211M	62	26	n/a	n/a	n/a
2015	Mar 28, 2016	$200M	$200M	23	23	n/a	n/a	n/a
2014	Mar 23, 2015	$205M	$205M	24	24	n/a	n/a	n/a
2013	Mar 24, 2014	$193M	$193M	26	25	n/a	n/a	n/a
2012	Mar 26, 2013	$157M	$157M	27	24	n/a	n/a	n/a
2011	Mar 29, 2012	$143M	$143M	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
2017	$246M	$211M	16.6%	$205M	6.1%	60	62	26	n/a

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
WOODSTOCK WEALTH MANAGEMENT, INC.	2	Mar 14, 2019	Jul 9, 2018	WOODSTOCK, GA	Channel change	Other	100.0%
WOODSTOCK WEALTH MANAGEMENT, INC.	5	Nov 7, 2018	Sep 7, 2018	PALM BEACH GARDENS, FL	Channel change	RIA to new firm	20.0%
WOODSTOCK WEALTH MANAGEMENT, INC.	10	Nov 7, 2018	Aug 3, 2018	WOODSTOCK, GA	Channel change	RIA to new firm	40.0%
CRAFT WEALTH MANAGEMENT LLC	2	Mar 31, 2015	Oct 13, 2016	WESTBURY, NY	Team lift out	Other	8.0%

Relationships

Affiliated with (1)

→ WOODSTOCK WEALTH MANAGEMENT, INC.Registered adviserother investment adviser, common control
factForm ADV

Owns (2)

← BRANCA, ANTHONY DOUGLASOwnerCHIEF COMPLIANCE OFFICER OF BD, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← WHITLEY, MELISSA LYNNOwnerCHIEF FINANCIAL OFFICER / FINOP, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV

Controls (2)

← RAIKE, WILLIAM JASPER IIIOwnerPRESIDENT / CEO, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← WOODSTOCK HOLDINGS INCOwnerHOLDING COMPANY, ownership code E, domestic entity
Mar 29, 2012 to presentfactForm ADV

Registered with (51)

← ANTHONY DOUGLAS BRANCAAdvisorregistration: previous registration
Sep 15, 2008 to Mar 14, 2019factForm ADV
← WILLIAM JASPER RAIKEAdvisorregistration: previous registration
Feb 7, 2006 to Mar 14, 2019factForm ADV
← DANIEL THOMAS MCHUGHAdvisorregistration: previous registration
Jan 20, 2017 to Dec 31, 2018factForm ADV
← David NetkinAdvisorregistration: previous registration
Nov 15, 2005 to Nov 9, 2018factForm ADV
← Marjorie NetkinAdvisorregistration: previous registration
Nov 2, 2005 to Nov 9, 2018factForm ADV
← JAY SCOTT KRAMERAdvisorregistration: previous registration
Aug 29, 2017 to Nov 9, 2018factForm ADV
← RICHARD JANKUSAdvisorregistration: previous registration
Aug 21, 2008 to Nov 9, 2018factForm ADV
← CURTIS MONTGOMERY MINKSAdvisorregistration: previous registration
Apr 19, 2016 to Nov 9, 2018factForm ADV
← CHRISTOPHER SCOTT TOMOLONISAdvisorregistration: previous registration
Aug 18, 2014 to Nov 9, 2018factForm ADV
← DANIEL AARON MERCERAdvisorregistration: previous registration
Jun 16, 2017 to Nov 9, 2018factForm ADV
← JEFFREY JAY HARDESTYAdvisorregistration: previous registration
Mar 3, 2009 to Nov 9, 2018factForm ADV
← DANIEL PAUL HERREMAAdvisorregistration: previous registration
Mar 8, 2006 to Nov 8, 2018factForm ADV
← VINCENT J. COLUBIALEAdvisorregistration: previous registration
Feb 21, 2018 to Nov 8, 2018factForm ADV
← PAUL M CERRATOAdvisorregistration: previous registration
Sep 16, 2008 to Nov 8, 2018factForm ADV
← WILLIAM BRUCKNERAdvisorregistration: previous registration
May 17, 2016 to Nov 8, 2018factForm ADV
← ROSS EDWARDS BRUNERAdvisorregistration: previous registration
Mar 16, 2015 to Nov 7, 2018factForm ADV
← NILE JOSEPH STEIGERWALDAdvisorregistration: previous registration
Apr 16, 2009 to Nov 7, 2018factForm ADV
← JOHN MICHEAL EVANSAdvisorregistration: previous registration
May 1, 2012 to Nov 7, 2018factForm ADV
← RUTH ANN BARRIOSAdvisorregistration: previous registration
Sep 13, 2016 to Nov 7, 2018factForm ADV
← RAYMOND SCOTT KINGAdvisorregistration: previous registration
May 24, 2011 to Nov 7, 2018factForm ADV
← Danielle Beth HerrittAdvisorregistration: previous registration
Feb 6, 2007 to Nov 7, 2018factForm ADV
← JOHN DEREK PETTIGREWAdvisorregistration: previous registration
Jul 21, 2016 to Nov 7, 2018factForm ADV
← JEANNE STACEY SNOWHITEAdvisorregistration: previous registration
Jan 21, 2009 to Nov 7, 2018factForm ADV
← Danny Lee ButcherAdvisorregistration: previous registration
Feb 2, 2016 to Nov 7, 2018factForm ADV
← Emma Gean GodbeeAdvisorregistration: previous registration
Jan 26, 2010 to Nov 7, 2018factForm ADV
← DAWNE ANN FERLANDAdvisorregistration: previous registration
Aug 15, 2005 to Oct 31, 2018factForm ADV
← KENNETH ALAN O'LEARYAdvisorregistration: previous registration
Aug 30, 2011 to Nov 14, 2017factForm ADV
← Dennis John MojaresAdvisorregistration: previous registration
Oct 22, 2013 to May 6, 2016factForm ADV
← DALE CONRAD WELTYAdvisorregistration: previous registration
Aug 13, 2003 to Feb 29, 2016factForm ADV
← MICHAEL VINCENT MILILLOAdvisorregistration: previous registration
Feb 16, 2011 to Feb 19, 2016factForm ADV
and 21 more

Moved with (2)

→ WOODSTOCK WEALTH MANAGEMENT, INC.Registered adviser5 advisors, team lift out
Nov 7, 2018 to Sep 7, 2018factForm ADV
→ CRAFT WEALTH MANAGEMENT LLCRegistered adviser2 advisors, team lift out, same day
Mar 31, 2015 to Oct 13, 2016factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:455c7b1b-bd7c-5aa7-311d-fb8f4ebe0ea9
First observed: Mar 29, 2012
Last observed: Nov 9, 2018 95 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.

WOODSTOCK FINANCIAL GROUP, INC.

CRD 38095

WOODSTOCK, GA

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:455c7b1b-bd7c-5aa7-311d-fb8f4ebe0ea9

Data as of Nov 9, 2018 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:04 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

RAIKE, WILLIAM JASPER III

PRESIDENT / CEO

yes

03/1995

Mar 29, 2012

Nov 9, 2018

WOODSTOCK HOLDINGS INC

HOLDING COMPANY

yes

01/2010

Mar 29, 2012

Nov 9, 2018

WOODSTOCK HOLDINGS INC.

Active

yes

01/2010

Mar 30, 2018

Nov 9, 2018

BRANCA, ANTHONY DOUGLAS

CHIEF COMPLIANCE OFFICER OF BD

06/2009

Mar 29, 2012

Nov 9, 2018

WHITLEY, MELISSA LYNN

CHIEF FINANCIAL OFFICER / FINOP

07/2003

Mar 29, 2012

Nov 9, 2018

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

WOODSTOCK WEALTH MANAGEMENT, INC.

n/a

Independent wealth

$727M

yes

n/a

WILLIAM JASPER RAIKE III

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

BOCA RATON

United States

yes

Milledgeville

United States

yes

Mountainside

United States

yes

Atlanta

United States

yes

Annapolis

United States

yes

Madison

United States

yes

WALL TOWNSHIP

United States

yes

Hawthorne

United States

yes

Kingston

United States

yes

Cypress

United States

yes

n/a

yes

n/a

yes

n/a

yes

n/a

yes

n/a

yes

n/a

yes

n/a

yes

n/a

yes

n/a

yes

n/a

yes

n/a

yes

n/a

yes

n/a

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2017

Mar 30, 2018

$246M

n/a

2016

Mar 30, 2017

$211M

n/a

2015

Mar 28, 2016

$200M

n/a

2014

Mar 23, 2015

$205M

n/a

2013

Mar 24, 2014

$193M

n/a

2012

Mar 26, 2013

$157M

n/a

2011

Mar 29, 2012

$143M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2017

$246M

$211M

16.6%

$205M

6.1%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

WOODSTOCK WEALTH MANAGEMENT, INC.

Mar 14, 2019

Jul 9, 2018

WOODSTOCK, GA

Channel change

Other

100.0%

WOODSTOCK WEALTH MANAGEMENT, INC.

Nov 7, 2018

Sep 7, 2018

PALM BEACH GARDENS, FL

Channel change

RIA to new firm

20.0%

WOODSTOCK WEALTH MANAGEMENT, INC.

Nov 7, 2018

Aug 3, 2018

WOODSTOCK, GA

Channel change

RIA to new firm

40.0%

CRAFT WEALTH MANAGEMENT LLC

Mar 31, 2015

Oct 13, 2016

WESTBURY, NY

Team lift out

Other

8.0%