DFX Intelligence

Data Factory

RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM none

AW SECURITIES

HANSON MCCLAIN RETIREMENT NETWORK, LLC, CRD 103747

FOLSOM, CA

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:6873210f-753f-6e4e-12aa-12a4cdcb8657

Data as of Jan 17, 2025 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:43 PM UTC and rebuilt at most every 15 minutes.

Relationships: 30
Dated events: 14
On other graphs: 0
Observed: Mar 26, 2012 to Jan 17, 2025
29 observations

Across DFX

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.

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: $0Item 5.F on the latest filing (2025-01-17); 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
Advisors on IAPD: 0
Employees: 10
Advisory employees: 0
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 0
Individual clients: 0
High net worth clients: 0
SEC number: 801-69038
CRD: 103747
Filings on the tape: 29
First filed: Mar 26, 2012
Latest filed: Jan 17, 2025
Organised: Limited Liability Company, DE

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
2781807 ONTARIO LIMITED	Owner	E	yes	10/2020	Mar 15, 2021	Mar 22, 2024
AFG INTERMEDIATE, L.P.	Owner	E	yes	07/2019	Mar 15, 2021	Mar 22, 2024
AFG PARENT GP, LLC	OTHER GENERAL PARTNERS	F	yes	10/2020	Mar 15, 2021	Mar 22, 2024
ALLWORTH FINANCIAL HOLDINGS, LLC	Owner	E	yes	10/2020	Mar 15, 2021	Mar 22, 2024
GREENBERG, BARRY YALE	CHIEF LEGAL COUNSEL	Na	yes	06/2021	Mar 22, 2024	Mar 22, 2024
GRIGSBY, GARY LAWSON	PRESIDENT, CHIEF COMPLIANCE OFFICER	Na	yes	08/2021	Mar 22, 2024	Mar 22, 2024
HANSON, SCOTT THOMAS	Ceo	Na	yes	07/2017	Mar 26, 2012	Mar 22, 2024
ONTARIO TEACHER'S PENSION PLAN BOARD	Owner	E	yes	10/2020	Mar 15, 2021	Mar 22, 2024
OTPP/AFG, LLC	Owner	C	yes	10/2020	Mar 15, 2021	Mar 22, 2024
TAYLOR, KRISTIAN LEIGH	VICE PRESIDENT- OPERATIONS	Na	yes	01/2022	Mar 22, 2024	Mar 22, 2024
ALLWORTH FINANCIAL GROUP, L.P.	GENERAL PARTNER	E	no	07/2019	Mar 15, 2021	Mar 22, 2024
BEATON, DANIEL STEWART	Finop	Na	no	07/2017	Mar 26, 2012	Mar 22, 2024

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
ALLWORTH FINANCIAL, L.P.	n/a	Bd affiliated wealth	$34B	N	yes	n/a
ALLWORTH TAX SOLUTIONS	n/a	n/a	n/a	N	yes	n/a

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
2024	Jan 17, 2025	$0	$0	10	0	0	n/a	n/a
2023	Mar 22, 2024	n/a	n/a	14	0	0	n/a	n/a
2022	Mar 31, 2023	n/a	n/a	14	0	0	n/a	n/a
2021	Mar 18, 2022	n/a	n/a	14	0	0	n/a	n/a
2020	Mar 19, 2021	n/a	n/a	218	7	2	n/a	n/a
2019	Mar 19, 2020	n/a	n/a	119	7	2	n/a	n/a
2018	Mar 8, 2019	n/a	n/a	123	0	4	n/a	n/a
2017	Mar 21, 2018	n/a	n/a	70	0	4	n/a	n/a
2016	Mar 16, 2017	n/a	n/a	70	0	n/a	n/a	n/a
2015	Mar 10, 2016	n/a	n/a	71	0	n/a	n/a	n/a
2014	Feb 6, 2015	n/a	n/a	66	20	n/a	n/a	n/a
2013	Mar 20, 2014	n/a	n/a	64	4	n/a	n/a	n/a
2012	Mar 25, 2013	n/a	n/a	48	4	n/a	n/a	n/a
2011	Mar 26, 2012	n/a	n/a	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
2024	$0	n/a	n/a	n/a	n/a	10	14	0	0

Relationships

Affiliated with (4)

← ALLWORTH FINANCIAL, L.P.Registered adviserother investment adviser, broker-dealer, control
factForm ADV
→ ALLWORTH FINANCIAL, L.P.Registered adviserother investment adviser, common control
factForm ADV
← SIMPLY MONEY ADVISORSRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
← PATHWAY STRATEGIC ADVISORSRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV

Registered with (14)

← CHEYENNE GENE WALKERAdvisorregistration: previous registration
Feb 1, 2019 to Mar 28, 2025factForm ADV
← Daniel William RauschAdvisorregistration: previous registration
Dec 12, 2019 to Mar 28, 2025factForm ADV
← Beau Daniel McGuireAdvisorregistration: previous registration
Aug 4, 2023 to Mar 28, 2025factForm ADV
← Brady BrandtAdvisorregistration: previous registration
May 29, 2024 to Jan 21, 2025factForm ADV
← ANDREW DAVID KESSLERAdvisorregistration: previous registration
Nov 23, 2015 to Mar 27, 2023factForm ADV
← DAVIS ALAN BLOMQUISTAdvisorregistration: previous registration
Jan 19, 2018 to Oct 21, 2021factForm ADV
← JAMES ARTHUR WORDENAdvisorregistration: previous registration
Jan 16, 2015 to Jul 15, 2019factForm ADV
← David Anthony TiszaAdvisorregistration: previous registration
Jun 11, 2008 to Jan 2, 2019factForm ADV
← REBECCA DOLVA JEAN WATSONAdvisorregistration: previous registration
Jun 12, 2008 to Aug 25, 2014factForm ADV
← COREY C GAMBLEAdvisorregistration: previous registration
Mar 5, 2012 to Oct 1, 2013factForm ADV
← Adam Frank KintAdvisorregistration: previous registration
Oct 16, 2008 to Nov 28, 2012factForm ADV
← JUSTIN RICHARD WILSONAdvisorregistration: previous registration
Jun 12, 2008 to Jan 12, 2012factForm ADV
← Tracy Marie KliewerAdvisorregistration: previous registration
Jun 11, 2008 to Sep 28, 2011factForm ADV
← Katrina Larisa PeckAdvisorregistration: previous registration
Jun 11, 2008 to Dec 31, 2010factForm ADV

Controls (10)

← HANSON, SCOTT THOMASOwnerCEO, ownership code NA, individual
Mar 26, 2012 to Mar 22, 2024factForm ADV
← GRIGSBY, GARY LAWSONOwnerPRESIDENT, CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 22, 2024 to Mar 22, 2024factForm ADV
← TAYLOR, KRISTIAN LEIGHOwnerVICE PRESIDENT- OPERATIONS, ownership code NA, individual
Mar 22, 2024 to Mar 22, 2024factForm ADV
← GREENBERG, BARRY YALEOwnerCHIEF LEGAL COUNSEL, ownership code NA, individual
Mar 22, 2024 to Mar 22, 2024factForm ADV
← 2781807 ONTARIO LIMITEDOwnerOWNER, ownership code E, foreign entity
Mar 15, 2021 to Mar 22, 2024factForm ADV
← AFG INTERMEDIATE, L.P.OwnerOWNER, ownership code E, domestic entity
Mar 15, 2021 to Mar 22, 2024factForm ADV
← AFG PARENT GP, LLCOwnerOTHER GENERAL PARTNERS, ownership code F, domestic entity
Mar 15, 2021 to Mar 22, 2024factForm ADV
← ALLWORTH FINANCIAL HOLDINGS, LLCOwnerOWNER, ownership code E, domestic entity
Mar 15, 2021 to Mar 22, 2024factForm ADV
← ONTARIO TEACHER'S PENSION PLAN BOARDOwnerOWNER, ownership code E, foreign entity
Mar 15, 2021 to Mar 22, 2024factForm ADV
← OTPP/AFG, LLCOwnerOWNER, ownership code C, domestic entity
Mar 15, 2021 to Mar 22, 2024factForm ADV

Owns (2)

← BEATON, DANIEL STEWARTOwnerFINOP, ownership code NA, individual
Mar 26, 2012 to Mar 22, 2024factForm ADV
← ALLWORTH FINANCIAL GROUP, L.P.OwnerGENERAL PARTNER, ownership code E, domestic entity
Mar 15, 2021 to Mar 22, 2024factForm ADV

Dated events

Occurred
May 2, 2025
Left the SEC roster
Aw Securities no longer on the SEC adviser roster (last listed 2025-03-06)
Form ADVobserved 4 days ago
0 USD_RAUM
Occurred
Mar 28, 2025
Advisor changed firm
Cheyenne Gene Walker left Aw Securities for Allworth Financial, L.P. (registered 2019-02-01)
Form ADVobserved 4 days ago
Occurred
Mar 28, 2025
Advisor departed, no destination yet
Beau Daniel Mcguire no longer registered at Aw Securities; no later IA registration on IAPD
Form ADVobserved 4 days ago
Occurred
Mar 28, 2025
Advisor changed firm
Daniel William Rausch left Aw Securities for Allworth Financial, L.P. (registered 2019-12-12)
Form ADVobserved 4 days ago
Occurred
Jan 21, 2025
Advisor changed firm
Brady Brandt left Aw Securities for Allworth Financial, L.P. (registered 2024-05-29)
Form ADVobserved 4 days ago
Occurred
Mar 22, 2024
Control person left
Patrick Carl Mcclain (Co-Ceo) no longer on Schedule A of Aw Securities (listed 2023-03-31, absent 2024-03-22)
Form ADVobserved 4 days ago
Occurred
Mar 22, 2024
Control person left
Steven Thomas Burnett (President) no longer on Schedule A of Aw Securities (listed 2023-03-31, absent 2024-03-22)
Form ADVobserved 4 days ago
Occurred
Mar 22, 2024
Control person left
William K. Biegler (Director Of Operations) no longer on Schedule A of Aw Securities (listed 2023-03-31, absent 2024-03-22)
Form ADVobserved 4 days ago
Occurred
Mar 22, 2024
Control person left
Corey C Gamble (Chief Compliance Officer) no longer on Schedule A of Aw Securities (listed 2023-03-31, absent 2024-03-22)
Form ADVobserved 4 days ago
Occurred
Mar 22, 2024
Control person joined
Gary Lawson Grigsby (President, Chief Compliance Officer) appeared on Schedule A of Aw Securities
Form ADVobserved 4 days ago
Occurred
Mar 22, 2024
Control person joined
Barry Yale Greenberg (Chief Legal Counsel) appeared on Schedule A of Aw Securities
Form ADVobserved 4 days ago
Occurred
Mar 22, 2024
Control person joined
Kristian Leigh Taylor (Vice President- Operations) appeared on Schedule A of Aw Securities
Form ADVobserved 4 days ago
Occurred
Mar 27, 2023
Advisor changed firm
Andrew David Kessler left Aw Securities for Rfg Advisory, Llc (registered 2023-03-17)
Form ADVobserved 4 days ago
Occurred
Aug 1, 2017
Succession filed (Item 4)
Hanson Mcclain Securities reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6873210f-753f-6e4e-12aa-12a4cdcb8657
First observed: Mar 26, 2012
Last observed: Jan 17, 2025 20 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.

AW SECURITIES

HANSON MCCLAIN RETIREMENT NETWORK, LLC, CRD 103747

FOLSOM, CA

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:6873210f-753f-6e4e-12aa-12a4cdcb8657

Data as of Jan 17, 2025 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:43 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

2781807 ONTARIO LIMITED

Owner

yes

10/2020

Mar 15, 2021

Mar 22, 2024

AFG INTERMEDIATE, L.P.

Owner

yes

07/2019

Mar 15, 2021

Mar 22, 2024

AFG PARENT GP, LLC

OTHER GENERAL PARTNERS

yes

10/2020

Mar 15, 2021

Mar 22, 2024

ALLWORTH FINANCIAL HOLDINGS, LLC

Owner

yes

10/2020

Mar 15, 2021

Mar 22, 2024

GREENBERG, BARRY YALE

CHIEF LEGAL COUNSEL

yes

06/2021

Mar 22, 2024

GRIGSBY, GARY LAWSON

PRESIDENT, CHIEF COMPLIANCE OFFICER

yes

08/2021

Mar 22, 2024

HANSON, SCOTT THOMAS

Ceo

yes

07/2017

Mar 26, 2012

Mar 22, 2024

ONTARIO TEACHER'S PENSION PLAN BOARD

Owner

yes

10/2020

Mar 15, 2021

Mar 22, 2024

OTPP/AFG, LLC

Owner

yes

10/2020

Mar 15, 2021

Mar 22, 2024

TAYLOR, KRISTIAN LEIGH

VICE PRESIDENT- OPERATIONS

yes

01/2022

Mar 22, 2024

ALLWORTH FINANCIAL GROUP, L.P.

GENERAL PARTNER

07/2019

Mar 15, 2021

Mar 22, 2024

BEATON, DANIEL STEWART

Finop

07/2017

Mar 26, 2012

Mar 22, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

ALLWORTH FINANCIAL, L.P.

n/a

Bd affiliated wealth

$34B

yes

n/a

ALLWORTH TAX SOLUTIONS

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2024

Jan 17, 2025

n/a

2023

Mar 22, 2024

n/a

2022

Mar 31, 2023

n/a

2021

Mar 18, 2022

n/a

2020

Mar 19, 2021

n/a

218

n/a

2019

Mar 19, 2020

n/a

119

n/a

2018

Mar 8, 2019

n/a

123

n/a

2017

Mar 21, 2018

n/a

2016

Mar 16, 2017

n/a

2015

Mar 10, 2016

n/a

2014

Feb 6, 2015

n/a

2013

Mar 20, 2014

n/a

2012

Mar 25, 2013

n/a

2011

Mar 26, 2012

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2024

n/a