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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

AVONDALE PARTNERS, LLC

CRD 46838

NASHVILLE, TN

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:5feba687-e732-4570-9568-7e0f95b8634c

Data as of Oct 2, 2018 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 10:28 PM UTC and rebuilt at most every 15 minutes.

Relationships: 26
Dated events: 0
On other graphs: 2
Observed: Mar 6, 2012 to Oct 2, 2018
20 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

Avondale Partners, LLC

Intermediary · shared crd

Venture Capitalidentity

Avondale Partners, LLC

Venture manager · shared crd

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: $1.5BItem 5.F on the latest filing (2018-10-02); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3
Advisory employees: 3
Offices: 3Schedule D 1.F, beyond the principal office
Accounts: 8
Individual clients: 0
High net worth clients: 0
SEC number: 801-70070
CRD: 46838
Filings on the tape: 20
First filed: Mar 6, 2012
Latest filed: Oct 2, 2018
Organised: Limited Liability Company, Tennessee

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
AVONDALE EQUITY PARTNERS, LLC	VOTING MEMBER	C	yes	09/2001	Mar 6, 2012	Oct 2, 2018
AVONDALE GROUP LLC	VOTING MEMBER	E	yes	09/2001	Mar 6, 2012	Oct 2, 2018
KREBS, PHILIP DONALD	SR. MANAGING PARTNER	Na	yes	09/2001	Mar 6, 2012	Oct 2, 2018
RIVEN, STEPHEN SAMUEL	SR. MANAGING PARTNER	Na	yes	09/2001	Mar 6, 2012	Oct 2, 2018
SHEPHERD, ROBERT PATRICK	CEO / CCO	Na	yes	09/2001	Mar 6, 2012	Oct 2, 2018
OERTLING, JOEL DARREN	CFO, FINOP, DIRECTOR OF FINANCE	Na	no	10/2006	Mar 6, 2012	Oct 2, 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
AVONDALE ADVISORS, LLC	n/a	Former SEC adviser	$51.4M	N	yes	n/a
AVONDALE CONQUEST, LLC	n/a	Former SEC adviser	$33.0M	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
SAN FRANCISCO	CA	United States	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
2018	Oct 2, 2018	$1.5B	$0	3	3	3	n/a	n/a
2017	Sep 29, 2017	$1.8B	$132M	17	11	n/a	n/a	n/a
2016	Sep 30, 2016	$1.8B	$105M	11	8	n/a	n/a	n/a
2015	Sep 30, 2015	$1.6B	$72.7M	11	9	n/a	n/a	n/a
2014	Sep 30, 2014	$1.0B	$61.6M	9	7	n/a	n/a	n/a
2013	Sep 30, 2013	$818M	$31.4M	8	6	n/a	n/a	n/a
2012	Sep 28, 2012	$677M	$0	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
2018	$1.5B	$1.8B	-18.4%	$1.6B	-2.1%	3	17	3	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
WEDBUSH SECURITIES INC.	2	Nov 2, 2018	Nov 9, 2018	NASHVILLE, TN	Team lift out	Other	50.0%
Iic	2	May 15, 2018	Jun 18, 2014	NASHVILLE, TN	Team lift out	Other	25.0%

Relationships

Affiliated with (3)

→ STEINE & GOOCH CO INCRegistered adviserother investment adviser, common control
factForm ADV
→ AVONDALE CONQUEST, LLCRegistered adviserother investment adviser, common control
factForm ADV
← AVONDALE CONQUEST, LLCRegistered adviserother investment adviser, broker-dealer, control, common control
factForm ADV

Controls (5)

← KREBS, PHILIP DONALDOwnerSR. MANAGING PARTNER, ownership code NA, individual
Mar 6, 2012 to presentfactForm ADV
← SHEPHERD, ROBERT PATRICKOwnerCEO / CCO, ownership code NA, individual
Mar 6, 2012 to presentfactForm ADV
← RIVEN, STEPHEN SAMUELOwnerSR. MANAGING PARTNER, ownership code NA, individual
Mar 6, 2012 to presentfactForm ADV
← AVONDALE EQUITY PARTNERS, LLCOwnerVOTING MEMBER, ownership code C, domestic entity
Mar 6, 2012 to presentfactForm ADV
← AVONDALE GROUP LLCOwnerVOTING MEMBER, ownership code E, domestic entity
Mar 6, 2012 to presentfactForm ADV

Owns (1)

← OERTLING, JOEL DARRENOwnerCFO, FINOP, DIRECTOR OF FINANCE, ownership code NA, individual
Mar 6, 2012 to presentfactForm ADV

Registered with (15)

← WAYMON REUBEN TIPTONAdvisorregistration: previous registration
Jan 14, 2013 to Apr 1, 2019factForm ADV
← BENJAMIN TALLMAN MAYAdvisorregistration: previous registration
Apr 8, 2014 to Apr 1, 2019factForm ADV
← JOEL WESLEY COCHRANAdvisorregistration: previous registration
May 19, 2017 to Nov 2, 2018factForm ADV
← MACKENZIE CUNNINGHAMAdvisorregistration: previous registration
Jun 16, 2016 to Nov 2, 2018factForm ADV
← DAVID NATHAN HALEAdvisorregistration: previous registration
Aug 15, 2012 to Sep 5, 2018factForm ADV
← STEVEN WALTER GLASGOWAdvisorregistration: previous registration
May 8, 2009 to May 15, 2018factForm ADV
← JORDAN FLEMING SIBLERAdvisorregistration: previous registration
May 8, 2009 to May 15, 2018factForm ADV
← Danielle Rose O'BrienAdvisorregistration: previous registration
Feb 4, 2014 to May 15, 2018factForm ADV
← JAMES FRANCIS MURPHYAdvisorregistration: previous registration
Aug 9, 2012 to May 11, 2018factForm ADV
← Norman Wayne JordanAdvisorregistration: previous registration
Jul 7, 2016 to May 1, 2018factForm ADV
← John David SantiAdvisorregistration: previous registration
Mar 17, 2015 to Apr 18, 2018factForm ADV
← David MorrisAdvisorregistration: previous registration
Aug 17, 2010 to Aug 17, 2016factForm ADV
← SARAH JANE ZINKAdvisorregistration: previous registration
Mar 8, 2010 to Sep 16, 2015factForm ADV
← TERRY DAROLD DAVISAdvisorregistration: previous registration
Mar 8, 2010 to Mar 9, 2012factForm ADV
← ROBERT OWEN WALKERAdvisorregistration: previous registration
Jun 22, 2009 to Jun 25, 2010factForm ADV

Moved with (2)

→ WEDBUSH SECURITIES INC.Registered adviser2 advisors, team lift out, same day
Nov 2, 2018 to Nov 9, 2018factForm ADV
→ IICRegistered adviser2 advisors, team lift out, same day
May 15, 2018 to Jun 18, 2014factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5feba687-e732-4570-9568-7e0f95b8634c
First observed: Mar 6, 2012
Last observed: Oct 2, 2018 96 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.

AVONDALE PARTNERS, LLC

CRD 46838

NASHVILLE, TN

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:5feba687-e732-4570-9568-7e0f95b8634c

Data as of Oct 2, 2018 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 10:28 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

AVONDALE EQUITY PARTNERS, LLC

VOTING MEMBER

yes

09/2001

Mar 6, 2012

Oct 2, 2018

AVONDALE GROUP LLC

VOTING MEMBER

yes

09/2001

Mar 6, 2012

Oct 2, 2018

KREBS, PHILIP DONALD

SR. MANAGING PARTNER

yes

09/2001

Mar 6, 2012

Oct 2, 2018

RIVEN, STEPHEN SAMUEL

SR. MANAGING PARTNER

yes

09/2001

Mar 6, 2012

Oct 2, 2018

SHEPHERD, ROBERT PATRICK

CEO / CCO

yes

09/2001

Mar 6, 2012

Oct 2, 2018

OERTLING, JOEL DARREN

CFO, FINOP, DIRECTOR OF FINANCE

10/2006

Mar 6, 2012

Oct 2, 2018

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

AVONDALE ADVISORS, LLC

n/a

Former SEC adviser

$51.4M

yes

n/a

AVONDALE CONQUEST, LLC

n/a

Former SEC adviser

$33.0M

yes

n/a

City

State

Country

Employees

Also broker-dealer

SAN FRANCISCO

United States

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2018

Oct 2, 2018

$1.5B

n/a

2017

Sep 29, 2017

$1.8B

$132M

n/a

2016

Sep 30, 2016

$1.8B

$105M

n/a

2015

Sep 30, 2015

$1.6B

$72.7M

n/a

2014

Sep 30, 2014

$1.0B

$61.6M

n/a

2013

Sep 30, 2013

$818M

$31.4M

n/a

2012

Sep 28, 2012

$677M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2018

$1.5B

$1.8B

-18.4%

$1.6B

-2.1%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

WEDBUSH SECURITIES INC.

Nov 2, 2018

Nov 9, 2018

NASHVILLE, TN

Team lift out

Other

50.0%

Iic

May 15, 2018

Jun 18, 2014

NASHVILLE, TN

Team lift out

Other

25.0%