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CRD 111221
ROCKFORD, IL
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| MICHAEL JOHN NICOLINI | Certified Financial Planner | Mishawaka, IN | ROCKFORD, IL | 25 | 25 | n/a | no |
| KEITH ROBERT MAYHEW | Certified Financial Planner | ROCKFORD, IL | Potomac, MD | 25 | 26 | n/a | no |
| TIMOTHY ANDREW GIANOS | n/a | Schaumburg, IL | ROCKFORD, IL | 23 | 25 | n/a | no |
| MICHAEL PAUL WATSON | n/a | ROCKFORD, IL | Mishawaka, IN | 23 | 27 | 1 | no |
| REBECCA JANE GREENE | n/a | CEDAR RAPIDS, IA | 22 | 24 | n/a | no |
| SCOTT BERNARD KROWCZYK | n/a | Rockford, IL | 22 | 23 | n/a | no |
| EDWARD E THOMPSON | n/a | ROCKFORD, IL | Madison, WI | 21 | 34 | 1 | no |
| KENNETH CHRISTOPHER KOVARIK | Certified Financial Planner | Rockford, IL | 21 | 21 | n/a | no |
| MARTIN MICHAEL ROTH | Certified Financial Planner | ROCKFORD, IL | Peoria, IL | 21 | 21 | n/a | no |
| KIMBERLY LYNN HILLYARD | n/a | Cedar Rapids, IA | ROCKFORD, IL | 20 | 20 | n/a | no |
| GREGORY SCOTT DAVIS | Certified Financial Planner | ROCKFORD, IL | Madison, WI | 19 | 22 | n/a | no |
| MICHAEL LEE RADFORD | Certified Financial Planner|Personal Financial Specialist | ROCKFORD, IL | Charlotte, NC | 19 | 29 | 2 | no |
| DAVID WORTH WINSLOW | Certified Financial Planner | Charlotte, NC | ROCKFORD, IL | 18 | 30 | 2 | no |
| KELLY MARIE CONDON | n/a | Rockford, IL | 17 | 22 | 2 | no |
| ERIC NATHAN ALLECKSON | Certified Financial Planner | ROCKFORD, IL | Rochester, MN | 16 | 26 | 1 | no |
| JEREMY DANIEL FISHER | n/a | ROCKFORD, IL | CHARLOTTE, NC | 13 | 13 | n/a | no |
| MARY PATRICIA SAYLOR | Certified Financial Planner | Berwyn, PA | ROCKFORD, IL | 13 | 15 | n/a | no |
| STEVEN ERIC KELLEY | Certified Financial Planner | ROCKFORD, IL | Madison, WI | 12 | 26 | n/a | no |
| JEFFREY SCOTT RAMSEY | Chartered Financial Consultant | Minneapolis, MN | ROCKFORD, IL | 12 | 38 | 1 | no |
| MICHAEL RICHARD GIUDICI | n/a | Davenport, IA | ROCKFORD, IL | 12 | 16 | n/a | no |
| MARK EDWARD PNIAK | Certified Financial Planner | Rockford, IL | ROCKFORD, IL | 12 | 13 | 1 | no |
| WHITNEY NICOLE ANDERSON | Certified Financial Planner | Peoria, IL | ROCKFORD, IL | 11 | 11 | n/a | no |
| NEIL DOUGLAS BLICHER | Certified Financial Planner | ROCKFORD, IL | Sudbury, MA | 10 | 30 | 3 | no |
| RYAN EDWARD FLYNN | Certified Financial Planner | ROCKFORD, IL | Seattle, WA | 10 | 21 | 1 | no |
| JESSICA LYNN MACKLIN | n/a | Rockford, IL | 9 | 10 | n/a | no |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| COMPASS PARENT, L.P. | Member | E | yes | 02/2022 | Jul 10, 2026 | Jul 10, 2026 |
| GOTLIN, MATTHEW, ARI | CHIEF INVESTMENT OFFICER | Na | yes | 11/2023 | Jul 10, 2026 | Jul 10, 2026 |
| Kotfica, Keith, Scott | CHIEF GROWTH OFFICER | Na | yes | 08/2025 | Jul 10, 2026 | Jul 10, 2026 |
| MCMILLIN, MOLLY, FESTA | CHIEF FINANCIAL OFFICER | Na | yes | 09/2024 | Jul 10, 2026 | Jul 10, 2026 |
| MILES, LAWRENCE, KENNETH | EXECUTIVE VICE PRESIDENT, CORPORATE DEVELOPMENT | A | yes | 07/2025 | Jul 10, 2026 | Jul 10, 2026 |
| MORRILL, RAYMOND, MAX | CHIEF WEALTH OFFICER | Na | yes | 07/2026 | Jul 10, 2026 | Jul 10, 2026 |
| RITTERSHAUS, MICHAEL, DAVID | CHIEF SERVICE OFFICER | Na | yes | 10/2025 | Jul 10, 2026 | Jul 10, 2026 |
| SMITH, SHELLEY, GRANT | CHIEF HUMAN RESOURCES OFFICER | Na | yes | 02/2025 | Jul 10, 2026 | Jul 10, 2026 |
| TAMBURINI, LISA, MARIE | GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER | Na | yes | 07/2021 | Jul 10, 2026 | Jul 10, 2026 |
| VAN DE LOO, JASON, DALE | CHIEF EXECUTIVE OFFICER | A | yes | 07/2025 | Jul 10, 2026 | Jul 10, 2026 |
| BARTLETT, CRAIG, JAMES | SENIOR VICE PRESIDENT OF ADVISORS | Na | yes | 07/2023 | Sep 29, 2023 | Oct 16, 2024 |
| BLAIR, GREGORY, WAYNE | CHIEF INFORMATION OFFICER | Na | yes | 02/2022 | Feb 22, 2022 | Oct 16, 2024 |
| DOWLER, GREGORY, SCOTT | CHIEF OPERATING OFFICER | Na | yes | 07/2019 | Jul 29, 2016 | Oct 16, 2024 |
| FOX-FOLEY, MARISSA, CLAIRE | CHIEF MARKETING OFFICER | Na | yes | 03/2022 | Jul 20, 2022 | Oct 16, 2024 |
| PARTHENON INVESTORS VI PARALLEL, L.P. | LIMITED PARTNER | C | yes | 02/2022 | Feb 22, 2022 | Oct 16, 2024 |
| PARTHENON INVESTORS VI, L.P. | LIMITED PARTNER | C | yes | 02/2022 | Feb 22, 2022 | Oct 16, 2024 |
| PCP PARTNERS VI, L.P. | GENERAL PARTNER | F | yes | 02/2022 | Feb 22, 2022 | Oct 16, 2024 |
| PCP PARTNERS VI, L.P. | GENERAL PARTNER | F | yes | 02/2022 | Feb 22, 2022 | Oct 16, 2024 |
| PCP VI GP HOLDINGS, LLC | GENERAL PARTNER | F | yes | 02/2022 | Feb 22, 2022 | Oct 16, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| CHOREO INSURANCE AGENCY, LLC | n/a | n/a | n/a | Y | yes | n/a |
| CHOREO PARTNER ALLIANCE, LLC | n/a | No RAUM reported | n/a | N | yes | n/a |
| PCP PARTNERS VI, L.P. | n/a | n/a | n/a | Y | yes | n/a |
| PCP VI GP HOLDINGS, LLC | n/a | n/a | n/a | Y | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Charlotte | Nc | United States | 13 | no |
| DES MOINES | Ia | United States | 11 | no |
| Mishawaka | In | United States | 8 | no |
| CEDAR RAPIDS | Ia | United States | 7 | no |
| Potomac | Md | United States | 6 | no |
| COSTA MESA | CA | United States | 4 | no |
| Columbia | Md | United States | 4 | no |
| Reno | Nv | United States | 4 | no |
| Madison | Wi | United States | 4 | no |
| MOUNT SHASTA | CA | United States | 3 | no |
| Orinda | CA | United States | 3 | no |
| Petaluma | CA | United States | 3 | no |
| Denver | Co | United States | 3 | no |
| Augusta | Ga | United States | 3 | no |
| Chicago | IL | United States | 3 | no |
| Peoria | IL | United States | 3 | no |
| Schaumburg | IL | United States | 3 | no |
| ST. LOUIS | Mo | United States | 3 | no |
| Seattle | Wa | United States | 3 | no |
| Minneapolis | Mn | United States | 2 | no |
| Rochester | Mn | United States | 2 | no |
| NEW YORK | NY | United States | 2 | no |
| SIOUX FALLS | Sd | United States | 2 | no |
| VIRGINIA BEACH | Va | United States | 2 | no |
| Berwyn | Pa | United States | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 25, 2026 | $19B | $17B | 232 | 97 | 33 | n/a | n/a |
| 2024 | Mar 25, 2025 | $18B | $16B | 218 | 97 | 34 | n/a | n/a |
| 2023 | Mar 26, 2024 | $16B | $15B | 225 | 129 | 33 | n/a | n/a |
| 2022 | Mar 29, 2023 | $12B | $12B | 189 | 105 | 31 | n/a | n/a |
| 2021 | Jul 29, 2021 | $7.5B | $7.5B | 127 | 90 | 66 | n/a | n/a |
| 2020 | Jul 29, 2020 | $5.6B | $5.1B | 123 | 91 | 66 | n/a | n/a |
| 2019 | Jul 29, 2019 | $5.8B | $5.2B | 125 | 93 | 67 | n/a | n/a |
| 2018 | Jul 27, 2018 | $5.7B | $5.1B | 116 | 84 | 64 | n/a | n/a |
| 2017 | Jul 28, 2017 | $6.0B | $4.9B | 112 | 86 | n/a | n/a | n/a |
| 2016 | Jul 29, 2016 | $5.3B | $4.3B | 100 | 79 | n/a | n/a | n/a |
| 2015 | Jul 28, 2015 | $5.0B | $4.1B | 92 | 76 | n/a | n/a | n/a |
| 2014 | Jul 25, 2014 | $5.0B | $4.0B | 84 | 68 | n/a | n/a | n/a |
| 2013 | Jul 26, 2013 | $4.9B | $3.5B | 81 | 64 | n/a | n/a | n/a |
| 2012 | Jul 27, 2012 | $4.2B | $3.0B | 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 |
|---|---|---|---|---|---|---|---|---|
| 30 | 6 | 24 | 4.1% | 7 | 0 | 0 | 69 | 33 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $19B | $18B | 5.0% | $12B | 16.2% | 232 | 218 | 33 | 34 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| COMPOUND PLANNING, INC. | 4 | Mar 25, 2025 | Mar 31, 2025 | DES MOINES, IA | Team lift out | RIA to RIA | 3.4% |
| COMPOUND PLANNING, INC. | 2 | Mar 25, 2025 | Mar 31, 2025 | ROCKFORD, IL | Team lift out | RIA to RIA | 1.7% |
| COMPOUND PLANNING, INC. | 2 | Mar 3, 2025 | Feb 27, 2025 | DES MOINES, IA | Team lift out | RIA to RIA | 1.7% |
| COMPOUND PLANNING, INC. | 2 | Mar 3, 2025 | Feb 27, 2025 | ROCKFORD, IL | Team lift out | RIA to RIA | 1.7% |
| STRATOS WEALTH ADVISORS LLC | 3 | Mar 30, 2018 | Apr 2, 2018 | STAMFORD, CT | Team lift out | Other | 5.1% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| RESOURCE FINANCIAL GROUP, LTD. | 2 | Jul 9, 2026 | Jul 9, 2026 | WILMETTE, IL | Team lift out | RIA to RIA | 100.0% |
| HERBEIN FINANCIAL GROUP, LLC | 2 | Mar 11, 2026 | Mar 17, 2026 | ALLENTOWN, PA | Team lift out | Other | 100.0% |
| NORTHEAST FINANCIAL GROUP, INC. | 6 | Mar 5, 2026 | Mar 17, 2026 | ALLENTOWN, PA | Firm absorbed | RIA to RIA | 75.0% |
| INSIGHT WEALTH STRATEGIES, LP | 2 | Mar 5, 2026 | Mar 6, 2026 | IRVINE, CA | Team lift out | RIA to RIA | 100.0% |
| BDO WEALTH ADVISORS, LLC | 3 | Nov 2, 2023 | Jan 16, 2025 | FORT LAUDERDALE, FL | Team lift out | RIA to RIA | 15.8% |
| BDO WEALTH ADVISORS, LLC | 3 | Nov 2, 2023 | Nov 3, 2023 | CHICAGO, IL | Team lift out | RIA to RIA | 15.8% |
| BDO WEALTH ADVISORS, LLC | 9 | Nov 2, 2023 | Jan 21, 2026 | COLUMBIA, MD | Team lift out | RIA to RIA | 47.4% |
| BDO WEALTH ADVISORS, LLC | 2 | Nov 2, 2023 | Nov 2, 2023 | ST LOUIS, MO | Team lift out | RIA to RIA | 10.5% |
| GREERWALKER WEALTH LLC | 3 | Feb 9, 2023 | Feb 13, 2023 | CHARLOTTE, NC | Firm absorbed | RIA to RIA | 100.0% |
| CHERRY BEKAERT WEALTH MANAGEMENT LLC | 2 | Jan 25, 2023 | Apr 6, 2023 | AUGUSTA, GA | Team lift out | RIA to RIA | 25.0% |
| CHERRY BEKAERT WEALTH MANAGEMENT LLC | 6 | Jan 25, 2023 | Jan 30, 2023 | RICHMOND, VA | Firm absorbed | RIA to RIA | 75.0% |
| ENSO WEALTH MANAGEMENT, LLC | 11 | Jan 5, 2023 | Jan 21, 2026 | PETALUMA, CA | Firm absorbed | RIA to RIA | 78.6% |
| ENSO WEALTH MANAGEMENT, LLC | 2 | Jan 5, 2023 | Feb 4, 2026 | RENO, NV | Team lift out | RIA to RIA | 14.3% |
| KESTRA PRIVATE WEALTH SERVICES, LLC | 2 | Jan 5, 2015 | Jan 9, 2015 | AUSTIN, TX | Team lift out | Other | 7.4% |