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CRD 42941
GOLDEN VALLEY, MN
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 |
|---|---|---|---|---|---|---|
| SCOTT WILLIAM RICKFORD | n/a | GOLDEN VALLEY, MN | 20 | 31 | n/a | yes |
| PAULA TESCH OLSON | n/a | GOLDEN VALLEY, MN | 15 | 36 | n/a | yes |
| CYNTHIA KAY ROST | n/a | GOLDEN VALLEY, MN | 14 | 44 | 1 | yes |
| LARISSA MARIE PETTIT STENTZ | n/a | GOLDEN VALLEY, MN | 14 | 30 | 1 | yes |
| JON ERVING BERG | n/a | GOLDEN VALLEY, MN | 13 | 32 | n/a | yes |
| HUGH JAMES DILLON | n/a | GOLDEN VALLEY, MN | 13 | 39 | n/a | yes |
| ROBERT BRUCE OVERBY | n/a | GOLDEN VALLEY, MN | 12 | 40 | n/a | yes |
| WILLIAM FREDERICK STEINBAUER | n/a | GOLDEN VALLEY, MN | 12 | 39 | n/a | yes |
| LAWRENCE THOMAS HAUSKINS | n/a | GOLDEN VALLEY, MN | 12 | 14 | n/a | yes |
| LORI ANN BALE | n/a | GOLDEN VALLEY, MN | 11 | 22 | n/a | yes |
| DOUGLAS EVERETT OLLILA | n/a | GOLDEN VALLEY, MN | 10 | 43 | 1 | yes |
| PATRICK NEAL LUNDY | Certified Financial Planner | GOLDEN VALLEY, MN | Woodbury, MN | 10 | 38 | 2 | yes |
| JAMES DAVID KALLSTROM | n/a | GOLDEN VALLEY, MN | 9 | 32 | n/a | yes |
| RYAN CHARLES MCENERNEY | n/a | FRISCO, TX | GOLDEN VALLEY, MN | 9 | 30 | n/a | yes |
| JEFFREY THOMAS RATHMANNER | Certified Financial Planner | GOLDEN VALLEY, MN | 9 | 32 | 1 | yes |
| SAVINO JOSEPH RANALLO | n/a | GOLDEN VALLEY, MN | 8 | 44 | n/a | yes |
| DAVID JAY GOLDENBERG | n/a | GOLDEN VALLEY, MN | 8 | 30 | 3 | yes |
| DAVID KALLMAN PATON | n/a | Woodbury, MN | 7 | 38 | 1 | yes |
| MICHAEL J SCHUMACHER | n/a | GOLDEN VALLEY, MN | 7 | 11 | 2 | yes |
| STEVEN FRANCIS KITTAY | n/a | GOLDEN VALLEY, MN | 4 | 45 | 1 | yes |
| Blake Montgomery Weimer | n/a | GOLDEN VALLEY, MN | 4 | 12 | n/a | yes |
| PETER CHRISTOPHER KING | n/a | GOLDEN VALLEY, MN | 4 | 40 | 1 | yes |
| DAVID HAROLD FINCH | n/a | GOLDEN VALLEY, MN | 3 | 27 | 2 | yes |
| THOMAS J KIRIHARA | n/a | GOLDEN VALLEY, MN | 3 | 15 | 2 | yes |
| DANIEL WAYNE STEFFES | n/a | GOLDEN VALLEY, MN | 3 | 26 | 3 | yes |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| HENRIKSEN, STEVEN ARTHUR | SVP, CHIEF COMPLIANCE OFFICER | Na | yes | 06/2024 | Jun 5, 2024 | Dec 17, 2024 |
| KING, RUSSELL STUART | CHAIRMAN, CEO & DIRECTOR | Na | yes | 02/2016 | Nov 20, 2015 | Dec 17, 2024 |
| NEWMAN, LISA ANN | EVP, CFO, DIRECTOR | Na | yes | 09/2008 | Dec 23, 2014 | Dec 17, 2024 |
| OAK RIDGE ACQUISITION CORPORATION | CORPORATE OWNER | E | yes | 11/2015 | Nov 20, 2015 | Dec 17, 2024 |
| RIP, OLGA | Finop | Na | yes | 08/2024 | Sep 26, 2024 | Dec 17, 2024 |
| RUMBLE, JULIE ANN MACY | VP, OPERATIONS MANAGER | Na | yes | 08/2020 | Feb 23, 2023 | Dec 17, 2024 |
| WISNIEWSKI, SARAH MARIE | SENIOR VICE PRESIDENT/CHIEF RISK OFFICER | Na | yes | 06/2024 | Apr 19, 2023 | Dec 17, 2024 |
| KING, RUSSELL STUART | SHAREHOLDER COMMON | D | no | 06/2015 | Nov 20, 2015 | Dec 17, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| THE OAK RIDGE FINANCIAL SERVICES GROUP, INC | n/a | Independent wealth | $669M | Y | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Woodbury | Mn | United States | 3 | yes |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2024 | Mar 13, 2025 | $456M | $65.4M | 60 | 30 | 1 | n/a | n/a |
| 2023 | Dec 8, 2023 | $414M | $93.6M | 60 | 30 | 1 | n/a | n/a |
| 2022 | Dec 19, 2022 | $338M | $83.6M | 61 | 31 | 1 | n/a | n/a |
| 2021 | Dec 23, 2021 | $420M | $123M | 60 | 30 | 1 | n/a | n/a |
| 2020 | Dec 17, 2020 | $311M | $73.0M | 68 | 31 | 1 | n/a | n/a |
| 2019 | Dec 18, 2019 | $256M | $61.4M | 69 | 30 | 1 | n/a | n/a |
| 2018 | Dec 27, 2018 | $236M | $48.5M | 66 | 28 | 0 | n/a | n/a |
| 2017 | Dec 22, 2017 | $217M | $45.3M | 62 | 26 | 0 | n/a | n/a |
| 2016 | Dec 23, 2016 | $168M | $30.3M | 62 | 26 | n/a | n/a | n/a |
| 2015 | Dec 28, 2015 | $151M | $5.7M | 56 | 26 | 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 |
|---|---|---|---|---|---|---|---|---|
| 3 | 2 | 1 | 6.1% | 0 | 0 | 0 | 6 | 3 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2024 | $669M | $414M | 61.7% | $420M | 16.7% | 57 | 60 | 1 | 1 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| FELTL ADVISORS | 2 | Sep 7, 2018 | Sep 18, 2018 | PLYMOUTH, MN | Team lift out | RIA to ibd | 10.0% |
| U.S. BANCORP INVESTMENTS, INC. | 2 | Apr 17, 2018 | Apr 16, 2018 | BURNSVILLE, MN | Team lift out | Ibd to ibd | 0.3% |