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CRD 106909
WILMINGTON, DE
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 |
|---|---|---|---|---|---|---|
| VAN NHA NAGLIERI | n/a | BALTIMORE, MD | 20 | 27 | n/a | no |
| ANTHONY MICHAEL ROTH | n/a | WILMINGTON, DE | 11 | 25 | 2 | no |
| SARAH M MCLAUGHLIN | n/a | WILMINGTON, DE | 3 | 17 | 2 | no |
| MORGAN CLAY MOHRMAN | n/a | Boston, MA | 3 | 39 | 1 | no |
| Louis PORTA | Chartered Financial Analyst | WILMINGTON, DE | 2 | 24 | 3 | no |
| Michelle Marie Buswell | n/a | Bridgeport, CT | 2 | 10 | 2 | no |
| Heather Rae Cary | n/a | Bridgeport, CT | 2 | 19 | 2 | no |
| Kelly Kimball | n/a | Bridgeport, CT | 2 | 33 | 2 | no |
| GREGORY SCOTT WOODARD | n/a | Rochester, NY | WILMINGTON, DE | 1 | 28 | 1 | no |
| Michelle Lee Sears | n/a | Penn Run, PA | WILMINGTON, DE | 1 | 18 | 3 | no |
| CHRISTOPHER A SPORCIC | n/a | WILMINGTON, DE | 1 | 16 | n/a | no |
| STEPHEN ANTHONY SEIVOLD | n/a | BALTIMORE, MD | 1 | 25 | 3 | no |
| Nicolas Stefano | n/a | WILMINGTON, DE | Syracuse, NY | 1 | 15 | n/a | no |
| ERIC I SMOOKLER | n/a | WILMINGTON, DE | 0 | 24 | n/a | no |
| SHERRY ANN WHIDDEN | n/a | BALTIMORE, MD | 0 | 29 | 1 | no |
| CHARLES EDWARD BARANICH | n/a | WILMINGTON, DE | Amherst, NY | 0 | 25 | 1 | no |
| BREANN LISA ROOT | n/a | Stafford, VA | WILMINGTON, DE | 0 | 23 | 1 | no |
| Stephen A Brenner | n/a | ISELIN, NJ | WILMINGTON, DE | 0 | 27 | 5 | no |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| Baker, Gerald, E. | DIRECTOR/EXECUTIVE VICE PRESIDENT | Na | yes | 06/2024 | Jun 24, 2024 | Dec 18, 2024 |
| KELLEY, JOHN, JAMES | SENIOR VICE PRESIDENT & CHIEF ADMINISTRATIVE OFFICER | Na | yes | 02/2012 | Feb 9, 2012 | Dec 18, 2024 |
| M & T BANK CORPORATION | SOLE STOCKHOLDER | E | yes | 11/1969 | Feb 9, 2012 | Dec 18, 2024 |
| MANUFACTURERS AND TRADERS TRUST COMPANY | SOLE STOCKHOLDER | E | yes | 04/2003 | Feb 9, 2012 | Dec 18, 2024 |
| Mrozinski, Abigail, Riley | Director | Na | yes | 06/2024 | Jun 24, 2024 | Dec 18, 2024 |
| ROTH, ANTHONY, MICHAEL | PRESIDENT & CHIEF INVESTMENT OFFICER, DIRECTOR | Na | yes | 02/2015 | Nov 6, 2014 | Dec 18, 2024 |
| WARREN, EDNA, JENNIFER | CHAIR OF THE BOARD AND CHIEF EXECUTIVE OFFICER | Na | yes | 06/2022 | Feb 28, 2024 | Dec 18, 2024 |
| Baldauf, Andrew, JOHN | Cco | Na | no | 08/2022 | Sep 7, 2022 | Dec 18, 2024 |
| GLASER, MATTHEW, DOUGLAS | EXECUTIVE VICE PRESIDENT & HEAD OF EQUITY AND NON-TRADITIONAL INVESTMENTS | Na | no | 02/2016 | Mar 4, 2016 | Dec 18, 2024 |
| TILLEY, LUKE, ALAN | EXECUTIVE VICE PRESIDENT & CHIEF ECONOMIST | Na | no | 02/2015 | Mar 4, 2015 | Dec 18, 2024 |
| VOGEL, RANDY, HOWARD | EXECUTIVE VICE PRESIDENT AND HEAD OF FIXED INCOME | Na | no | 05/2021 | Mar 30, 2022 | Dec 18, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| WILMINGTON FUNDS MANAGEMENT CORPORATION | n/a | Asset manager | $16B | N | yes | n/a |
| PEOPLE'S UNITED ADVISORS, INC. | n/a | Former SEC adviser | $845M | N | yes | n/a |
| WILMINGTON TRUST ASSET MANAGEMENT, LLC | n/a | Asset manager | $271M | N | yes | n/a |
| WILMINGTON TRUST INVESTMENT MANAGEMENT LLC | n/a | Bank affiliated wealth | $141M | N | yes | n/a |
| M&T SECURITIES, INC. | n/a | n/a | n/a | N | yes | n/a |
| MANUFACTURERS AND TRADERS TRUST COMPANY | n/a | n/a | n/a | Y | yes | NY |
| WILMINGTON TRUST COMPANY | n/a | n/a | n/a | N | yes | De |
| WILMINGTON TRUST NATIONAL ASSOCIATION | n/a | n/a | n/a | N | yes | De |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Baltimore | Md | United States | 28 | yes |
| Buffalo | NY | United States | 7 | yes |
| NEW YORK | NY | United States | 4 | yes |
| Harrisburg | Pa | United States | 3 | no |
| Rochester | NY | United States | 2 | no |
| Washington | Dc | United States | 1 | no |
| Baltimore | Md | United States | 1 | no |
| Buffalo | NY | United States | 1 | no |
| Fishkill | NY | United States | 1 | yes |
| Ithaca | NY | United States | 1 | yes |
| Melville | NY | United States | 1 | yes |
| Paoli | Pa | United States | 1 | yes |
| Radnor | Pa | United States | 1 | no |
| STATE COLLEGE | Pa | United States | 1 | yes |
| WILKES BARRE | Pa | United States | 1 | yes |
| Williamsport | Pa | United States | 1 | yes |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 30, 2026 | $18B | $18B | 104 | 74 | 15 | n/a | n/a |
| 2024 | Apr 17, 2025 | $17B | $17B | 126 | 126 | 16 | n/a | n/a |
| 2023 | Mar 28, 2024 | $16B | $16B | 137 | 95 | 16 | n/a | n/a |
| 2022 | Mar 30, 2023 | $16B | $16B | 127 | 114 | 16 | n/a | n/a |
| 2021 | Mar 30, 2022 | $15B | $15B | 121 | 109 | 16 | n/a | n/a |
| 2020 | Mar 29, 2021 | $14B | $14B | 133 | 120 | 16 | n/a | n/a |
| 2019 | Mar 26, 2020 | $12B | $12B | 140 | 127 | 16 | n/a | n/a |
| 2018 | Mar 29, 2019 | $20B | $20B | 143 | 128 | 17 | n/a | n/a |
| 2017 | Mar 30, 2018 | $21B | $20B | 131 | 131 | 17 | n/a | n/a |
| 2016 | Mar 31, 2017 | $20B | $20B | 134 | 134 | n/a | n/a | n/a |
| 2015 | Mar 30, 2016 | $20B | $20B | 117 | 117 | n/a | n/a | n/a |
| 2014 | Mar 31, 2015 | $22B | $22B | 136 | 136 | n/a | n/a | n/a |
| 2013 | Mar 31, 2014 | $20B | $20B | 140 | 140 | n/a | n/a | n/a |
| 2012 | Apr 1, 2013 | $21B | $21B | 142 | 142 | n/a | n/a | n/a |
| 2011 | Mar 30, 2012 | $14B | $14B | 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 |
|---|---|---|---|---|---|---|---|---|
| 4 | 2 | 2 | 11.1% | 1 | 0 | 0 | 8 | 5 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $18B | $17B | 2.3% | $16B | 2.6% | 104 | 126 | 15 | 16 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| PEOPLE'S UNITED ADVISORS, INC. | 4 | Sep 10, 2024 | Sep 11, 2024 | WILMINGTON, DE | Firm absorbed | Other | 100.0% |
| M&T SECURITIES, INC. | 2 | Dec 23, 2021 | Jan 10, 2023 | BOSTON, MA | Team lift out | Other | 50.0% |