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AMERICAN PORTFOLIOS ADVISORS. INC, CRD 112697
HOLBROOK, NY
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 |
|---|---|---|---|---|---|---|
| AG ARTEMIS HOLDINGS, L.P. | Shareholder | E | yes | 08/2019 | Dec 1, 2022 | Aug 1, 2024 |
| AG INTERMEDIATE CORP | Shareholder | E | yes | 05/2020 | Dec 1, 2022 | Aug 1, 2024 |
| AG PARENT CORPORATION | Shareholder | E | yes | 08/2019 | Dec 1, 2022 | Aug 1, 2024 |
| CHAFFEE, HAROLD, GERARD | Cco | Na | yes | 08/2024 | Aug 1, 2024 | Aug 1, 2024 |
| DOLBER, LON, TERRY | CHIEF EXECUTIVE OFFICER | Na | yes | 01/2015 | Mar 29, 2012 | Aug 1, 2024 |
| DOLBERGRAPPONE, MELISSA, ANN | VICE PRESIDENT OF MARKETING & CORPORATE COMMUNICATIONS | Na | yes | 01/2015 | Mar 30, 2018 | Aug 1, 2024 |
| GORDON, GARY, BRUCE | President | Na | yes | 01/2015 | Mar 29, 2012 | Aug 1, 2024 |
| JOYNER, DAMON, BRADLEY | CHIEF FINANCIAL OFFICER | Na | yes | 01/2017 | Mar 31, 2022 | Aug 1, 2024 |
| LADENBURG THALMANN FINANCIAL SERVICES LLC | Shareholder | E | yes | 05/2020 | Dec 1, 2022 | Aug 1, 2024 |
| OSAIC HOLDINGS, INC | Shareholder | E | yes | 11/2022 | Jul 19, 2023 | Aug 1, 2024 |
| PRICE, JAMES, DALE | Chairman | Na | yes | 10/2022 | Dec 1, 2022 | Aug 1, 2024 |
| SCHLUETER, MATTHEW, ADAM | EXECUTIVE VICE PRESIDENT | Na | yes | 10/2022 | Dec 1, 2022 | Aug 1, 2024 |
| AMERICAN PORTFOLIOS HOLDINGS, INC | Owner | E | no | 04/2001 | Mar 29, 2012 | Aug 1, 2024 |
| HENIG, ABBY | ASSISTANT SECRETARY | Na | no | 10/2022 | Dec 1, 2022 | Aug 1, 2024 |
| MCKENNA, NINA | ASSISTANT SECRETARY | Na | no | 10/2022 | Dec 1, 2022 | Aug 1, 2024 |
| SCHMIDT, DAVID, ANDREW | Treasurer | Na | no | 10/2022 | Dec 1, 2022 | Aug 1, 2024 |
| SEIFFERT, SCOTT, ROBERT | CHIEF ACCOUNTING OFFICER | Na | no | 10/2022 | Dec 1, 2022 | Aug 1, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| SECURITIES AMERICA ADVISORS, INC. | n/a | Former SEC adviser | $40B | N | yes | n/a |
| WOODBURY FINANCIAL SERVICES, INC. | n/a | Former SEC adviser | $19B | N | yes | n/a |
| OSAIC SERVICES, INC. | n/a | Former SEC adviser | $16B | N | yes | n/a |
| OSAIC ADVISORY SERVICES, LLC | n/a | Bd affiliated wealth | $15B | N | yes | n/a |
| FSC SECURITIES CORPORATION | n/a | Former SEC adviser | $12B | N | yes | n/a |
| ARBOR POINT ADVISORS, LLC | n/a | Former SEC adviser | $6.9B | N | yes | n/a |
| LADENBURG THALMANN ASSET MANAGEMENT INC | n/a | Other adviser | $6.7B | N | yes | n/a |
| OSAIC INSTITUTIONS, INC. | n/a | Bd affiliated wealth | $6.5B | N | yes | n/a |
| TRIAD ADVISORS, LLC | n/a | Former SEC adviser | $1.1B | N | yes | n/a |
| BLACK DIAMOND FINANCIAL, LLC | n/a | Independent wealth | $441M | N | yes | n/a |
| VISION2020 WEALTH MANAGEMENT CORP. | n/a | No RAUM reported | $0 | N | yes | n/a |
| AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC. | n/a | n/a | n/a | N | yes | n/a |
| HIGHLAND CAPITAL BROKERAGE | n/a | n/a | n/a | N | yes | n/a |
| LADENBURG THALMANN & CO. INC. | n/a | n/a | n/a | N | yes | n/a |
| PREMIER TRUST, INC. | n/a | n/a | n/a | N | yes | n/a |
| SECURITIES AMERICA, INC. | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Rochester | NY | United States | 16 | yes |
| Pittsford | NY | United States | 15 | yes |
| Rochester | NY | United States | 11 | yes |
| PONTE VEDRA BEACH | FL | United States | 9 | no |
| CLIFTON PARK | NY | United States | 9 | no |
| Denver | Co | United States | 8 | yes |
| Newtown | Pa | United States | 8 | yes |
| Marlton | Nj | United States | 7 | yes |
| NEW YORK | NY | United States | 7 | yes |
| Amherst | NY | United States | 5 | yes |
| Jericho | NY | United States | 5 | yes |
| Pittsford | NY | United States | 5 | yes |
| BOCA RATON | FL | United States | 4 | yes |
| Stuart | FL | United States | 4 | yes |
| FORT WAYNE | In | United States | 4 | yes |
| Manasquan | Nj | United States | 4 | yes |
| Moorestown | Nj | United States | 4 | yes |
| FLORAL PARK | NY | United States | 4 | yes |
| Hauppauge | NY | United States | 4 | yes |
| Hauppauge | NY | United States | 4 | yes |
| Malta | NY | United States | 4 | yes |
| NEW YORK | NY | United States | 4 | yes |
| Smithtown | NY | United States | 4 | yes |
| Wyomissing | Pa | United States | 4 | yes |
| Houston | TX | United States | 4 | yes |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2023 | Mar 15, 2024 | $13B | $9.5B | 700 | 600 | 312 | n/a | n/a |
| 2022 | Mar 6, 2023 | $8.4B | $6.1B | 610 | 590 | 312 | n/a | n/a |
| 2021 | Mar 31, 2022 | $10B | $7.2B | 620 | 600 | 312 | n/a | n/a |
| 2020 | Mar 31, 2021 | $10B | $6.0B | 55 | 55 | 0 | n/a | n/a |
| 2019 | Mar 31, 2020 | $8.2B | $5.5B | 55 | 55 | 0 | n/a | n/a |
| 2018 | Mar 15, 2019 | $6.5B | $3.6B | 55 | 55 | 0 | n/a | n/a |
| 2017 | Mar 30, 2018 | $6.2B | $3.5B | 55 | 55 | 0 | n/a | n/a |
| 2016 | Mar 17, 2017 | $3.2B | $1.6B | 418 | 418 | n/a | n/a | n/a |
| 2015 | Mar 30, 2016 | $2.6B | $2.2B | 418 | 418 | n/a | n/a | n/a |
| 2014 | Mar 31, 2015 | $2.5B | $1.9B | 396 | 396 | n/a | n/a | n/a |
| 2013 | Mar 28, 2014 | $2.4B | $2.1B | 383 | 383 | n/a | n/a | n/a |
| 2012 | Mar 28, 2013 | $1.9B | $1.5B | 6 | 5 | n/a | n/a | n/a |
| 2011 | Mar 29, 2012 | $1.8B | $1.1B | n/a | n/a | n/a | n/a | n/a |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2023 | $13B | $8.4B | 55.8% | $10B | 7.7% | 700 | 610 | 312 | 312 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| EAST END FINANCIAL GROUP, INC. | 3 | Oct 11, 2024 | Jun 11, 2021 | HOLBROOK, NY | Team lift out | Ibd to RIA | 0.6% |
| FAITHWARD ADVISORS, LLC | 2 | Oct 11, 2024 | Aug 1, 2023 | HOLBROOK, NY | Team lift out | Ibd to RIA | 0.4% |
| FROEHLICH FINANCIAL GROUP, LTD. | 2 | Oct 11, 2024 | Mar 31, 2017 | HOLBROOK, NY | Team lift out | Other | 0.4% |
| NOVEM GROUP | 9 | Oct 11, 2024 | Oct 11, 2024 | HOLBROOK, NY | Team lift out | Ibd to RIA | 1.9% |
| OSAIC ADVISORY SERVICES, LLC | 28 | Oct 11, 2024 | Jan 16, 2025 | HOLBROOK, NY | Team lift out | Ibd to ibd | 6.0% |
| FAMILY OFFICE PARTNERS, INC. | 2 | Oct 11, 2024 | Jun 21, 2017 | HOLBROOK, NY | Team lift out | Other | 0.4% |
| MURPHY & MULLICK CAPITAL MANAGEMENT CORP | 3 | Oct 11, 2024 | Aug 23, 2024 | HOLBROOK, NY | Team lift out | Ibd to new firm | 0.6% |
| CWM, LLC | 2 | Oct 3, 2024 | Oct 9, 2024 | HOLBROOK, NY | Team lift out | Ibd to ibd | 0.4% |
| CETERA INVESTMENT ADVISERS LLC | 2 | Sep 10, 2024 | Sep 9, 2024 | HOLBROOK, NY | Team lift out | Ibd to ibd | 0.4% |
| COMMONWEALTH FINANCIAL NETWORK | 2 | Jun 27, 2024 | Jul 3, 2024 | HOLBROOK, NY | Team lift out | Ibd to ibd | 0.4% |
| CETERA INVESTMENT ADVISERS LLC | 2 | Jun 7, 2024 | Jun 4, 2024 | HOLBROOK, NY | Team lift out | Ibd to ibd | 0.4% |
| LPL FINANCIAL LLC | 2 | Feb 29, 2024 | Mar 7, 2024 | HOLBROOK, NY | Team lift out | Ibd to ibd | 0.4% |
| LPL FINANCIAL LLC | 3 | Oct 6, 2023 | Oct 5, 2023 | HOLBROOK, NY | Team lift out | Ibd to ibd | 0.6% |
| LPL FINANCIAL LLC | 2 | Sep 11, 2023 | Sep 11, 2023 | HOLBROOK, NY | Team lift out | Ibd to ibd | 0.4% |
| THE AMERIFLEX GROUP | 2 | Jun 16, 2023 | Jun 20, 2023 | HOLBROOK, NY | Team lift out | Ibd to ibd | 0.4% |
| NESTEGG ADVISORS, INC. | 3 | Jan 5, 2023 | Dec 22, 2022 | HOLBROOK, NY | Team lift out | Ibd to RIA | 0.6% |
| CORA CAPITAL ADVISORS | 5 | Dec 31, 2022 | Mar 30, 2022 | HOLBROOK, NY | Team lift out | Ibd to RIA | 1.0% |
| COMMONWEALTH FINANCIAL NETWORK | 2 | Nov 15, 2022 | Nov 15, 2022 | HOLBROOK, NY | Team lift out | Ibd to ibd | 0.4% |
| LPL FINANCIAL LLC | 3 | Oct 27, 2022 | Nov 8, 2022 | HOLBROOK, NY | Team lift out | Ibd to RIA | 0.6% |
| RFG ADVISORY, LLC | 6 | Aug 19, 2022 | Aug 19, 2022 | HOLBROOK, NY | Team lift out | Ibd to RIA | 1.2% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| FAITHWARD ADVISORS, LLC | 2 | Jun 18, 2024 | Oct 31, 2013 | CHESAPEAKE CITY, MD | Team lift out | RIA to ibd | 12.5% |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | 2 | Mar 3, 2023 | Oct 10, 2023 | PONTE VEDRA BEACH, FL | Team lift out | Wirehouse to ibd | 0.0% |
| WELLS FARGO ADVISORS | 2 | Oct 25, 2022 | Oct 21, 2022 | BEDMINSTER, NJ | Team lift out | Wirehouse to ibd | 0.0% |
| CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | 2 | Jul 9, 2021 | Jul 6, 2021 | PITTSFORD, NY | Team lift out | Ibd to RIA | 0.1% |
| PSS BENEFITS, LLC | 2 | Dec 31, 2020 | May 1, 2020 | SOUTHAMPTON, PA | Team lift out | Other | 100.0% |
| SLATESTONE WEALTH LLC | 2 | Oct 23, 2020 | May 3, 2021 | BOCA RATON, FL | Team lift out | RIA to RIA | 28.6% |
| CETERA ADVISORS LLC | 3 | May 14, 2019 | May 28, 2019 | SMITHTOWN, NY | Team lift out | Ibd to RIA | 1.0% |
| TD PRIVATE CLIENT WEALTH LLC | 2 | Jan 24, 2019 | Jan 23, 2019 | MELVILLE, NY | Team lift out | Ibd to RIA | 1.8% |
| CONCOURSE FINANCIAL GROUP ADVISORS | 2 | Oct 19, 2018 | Oct 9, 2018 | LARGO, FL | Team lift out | Ibd to RIA | 0.6% |
| EQUITABLE ADVISORS, LLC | 5 | Aug 30, 2018 | Aug 20, 2018 | PENFIELD, NY | Team lift out | Ibd to RIA | 0.2% |
| PROFESSIONAL PLANNING SERVICES | 10 | Mar 27, 2018 | Jan 11, 2018 | HOLBROOK, NY | Firm absorbed | Other | 83.3% |
| WELLS FARGO ADVISORS | 2 | Mar 21, 2018 | Mar 5, 2018 | ALBANY, NY | Team lift out | Other | 0.0% |
| PROGRESSIVE ADVISORY SOLUTIONS | 2 | Dec 31, 2017 | May 21, 2018 | HOLBROOK, NY | Team lift out | Other | 100.0% |
| OSAIC FS, INC. | 2 | Oct 31, 2017 | Oct 24, 2017 | PITTSBURGH, PA | Team lift out | Other | 0.5% |
| COX WEALTH MANAGEMENT, LLC | 3 | Dec 31, 2016 | Nov 23, 2016 | CHATTANOOGA, TN | Firm absorbed | Other | 100.0% |
| COMMONWEALTH FINANCIAL NETWORK | 2 | Jun 27, 2016 | Jun 15, 2016 | SPARTA, NJ | Team lift out | Other | 0.1% |
| EQUITABLE ADVISORS, LLC | 2 | May 26, 2015 | May 19, 2015 | LANCASTER, PA | Team lift out | Other | 0.1% |