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CRD 7717
SAN DIEGO, CA
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 |
|---|---|---|---|---|---|---|
| KERRY WESLEY TANNER | Certified Financial Planner | TEMPE, AZ | 20 | 44 | 2 | yes |
| JOE HENRY MILLER | n/a | Carlsbad, CA | 20 | 35 | 2 | yes |
| RICK ALAN WILLOUGHBY | n/a | PHOENIX, AZ | 20 | 39 | 1 | yes |
| MARCELLA ANN HARKNESS | Certified Financial Planner | SAN DIEGO, CA | 20 | 32 | 3 | yes |
| JAY ALAN WURTZLER | Certified Financial Planner | SAN DIEGO, CA | 20 | 39 | 4 | yes |
| MICHAEL HYAT | Certified Financial Planner | SAN DIEGO, CA | 20 | 37 | 2 | yes |
| RICHARD WALTER BOLEK | Certified Financial Planner | Wickenburg, AZ | 20 | 35 | 1 | yes |
| SCOTT ALLEN HEISING | n/a | SAN DIEGO, CA | 20 | 23 | 1 | no |
| WILLIAM PATRICK BRENNAN | n/a | SAN DIEGO, CA | 20 | 28 | 3 | yes |
| ARTHUR EUGENE MOLLOY | Certified Financial Planner|Chartered Financial Analyst | SAN DIEGO, CA | 20 | 43 | 4 | yes |
| JOHN KACHEONG LEE | Certified Financial Planner|Personal Financial Specialist | PLEASANTON, CA | 20 | 28 | 1 | yes |
| SCOTT ALLEN DICKERSON | Certified Financial Planner|Chartered Financial Consultant | SAN DIEGO, CA | 20 | 32 | 3 | yes |
| DAVID CHARLES VAZ | n/a | SAN DIEGO, CA | 20 | 43 | n/a | yes |
| STEVEN EDWARD LEBARON | n/a | Murrieta, CA | 20 | 24 | 2 | yes |
| NANCY KAY RHEW | Certified Financial Planner | San Diego, CA | 19 | 33 | 2 | yes |
| DENNIS CARL LINDEMAN | Certified Financial Planner | FALLBROOK, CA | 19 | 35 | 1 | yes |
| JUNG HUN LEE | n/a | SEATTLE, WA | SAN DIEGO, CA | 17 | 25 | 1 | yes |
| YONG SEOK CHANG | n/a | SEATTLE, WA | SAN DIEGO, CA | 17 | 24 | 1 | yes |
| LEWIS HOWARD PERKINS | Certified Financial Planner | Hermosa Beach, CA | 17 | 35 | 1 | yes |
| BRETT CYRIL LITTLE | n/a | SAN DIEGO, CA | FRESNO, CA | 17 | 20 | 1 | yes |
| KEITH DOUGLAS SCHLOTTMAN | n/a | TUSCON, AZ | 17 | 27 | 1 | yes |
| JOHN ELUWENE MCKEON | n/a | MARYSVILLE, WA | SAN DIEGO, CA | 17 | 19 | 1 | yes |
| STEVEN ROY SUTLEY | n/a | SAN DIEGO, CA | SACRAMENTO, CA | NEW YORK, NY | 17 | 32 | 3 | yes |
| CATHERINE LEIGH BROWN | n/a | PALM DESERT, CA | 17 | 35 | 3 | yes |
| DUANE KEITH KNOPKE | n/a | Escondido, CA | 17 | 42 | 1 | yes |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| FISCHER, DAVID ALLEN | MANAGING DIRECTOR | Na | yes | 10/2005 | Mar 17, 2026 | Mar 17, 2026 |
| HEISING, SCOTT ALLEN | CHIEF EXECUTIVE OFFICER/ MANAGING DIRECTOR | Na | yes | 04/2003 | Mar 17, 2026 | Mar 17, 2026 |
| FISCHER, DAVID ALLEN | Trustee | C | yes | 05/2022 | Feb 7, 2012 | Nov 29, 2024 |
| HEISING, SCOTT ALLEN | Trustee | C | yes | 05/2022 | Feb 7, 2012 | Nov 29, 2024 |
| INDEPENDENT FINANCIAL GROUP, INC. | Owner | E | yes | 12/2003 | Feb 7, 2012 | Nov 29, 2024 |
| THE FISCHER FAMILY TRUST - REVOCABLE | Shareholder | C | yes | 05/2022 | Mar 29, 2024 | Nov 29, 2024 |
| THE HEISING FAMILY TRUST - REVOCABLE | Shareholder | C | yes | 05/2022 | Mar 29, 2024 | Nov 29, 2024 |
| DAVIS, SCOTT EARLE | CFO & FINOP | Na | no | 12/2024 | Mar 17, 2026 | Mar 17, 2026 |
| DENNEN, BRIAN | CCO BROKERAGE & ADVISORY | Na | no | 08/2024 | Mar 17, 2026 | Mar 17, 2026 |
| KEEFE, KEVIN MICHAEL | PRESIDENT, COO | Na | no | 04/2025 | Mar 17, 2026 | Mar 17, 2026 |
| KREISMAN, SARAH JILL | SVP & GENERAL COUNSEL | Na | no | 06/2018 | Mar 17, 2026 | Mar 17, 2026 |
| PEARSON, TROY DALE | Rosfp | Na | no | 06/2004 | Mar 17, 2026 | Mar 17, 2026 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Prescott | Az | United States | 10 | yes |
| CAMP VERDE | Az | United States | 9 | yes |
| DIAMOND BAR | CA | United States | 9 | yes |
| Flagstaff | Az | United States | 8 | yes |
| Delafield | Wi | United States | 8 | yes |
| Cottonwood | Az | United States | 7 | yes |
| Sacramento | CA | United States | 7 | yes |
| SAN DIEGO | CA | United States | 7 | yes |
| Henderson | Nv | United States | 7 | yes |
| Fresno | CA | United States | 6 | yes |
| SAN GABRIEL | CA | United States | 6 | yes |
| SANTA MARIA | CA | United States | 6 | yes |
| Arcadia | CA | United States | 5 | yes |
| LOS ANGELES | CA | United States | 5 | yes |
| SAN CLEMENTE | CA | United States | 5 | yes |
| Tustin | CA | United States | 5 | yes |
| Denver | Co | United States | 5 | yes |
| Birmingham | Al | United States | 4 | yes |
| Goodyear | Az | United States | 4 | yes |
| SAN DIEGO | CA | United States | 4 | yes |
| SAN LUIS OBISPO | CA | United States | 4 | yes |
| Riverwood | IL | United States | 4 | yes |
| CHEVY CHASE | Md | United States | 4 | yes |
| Rockville | Md | United States | 4 | yes |
| Dallas | TX | United States | 4 | yes |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 17, 2026 | $13B | $13B | 624 | 476 | 312 | n/a | n/a |
| 2024 | Mar 31, 2025 | $11B | $8.3B | 622 | 484 | 385 | n/a | n/a |
| 2023 | Mar 29, 2024 | $6.8B | $5.7B | 626 | 444 | 385 | n/a | n/a |
| 2022 | Mar 31, 2023 | $6.0B | $5.1B | 697 | 463 | 364 | n/a | n/a |
| 2021 | Mar 29, 2022 | $6.6B | $5.6B | 662 | 424 | 364 | n/a | n/a |
| 2020 | Mar 25, 2021 | $5.9B | $4.9B | 537 | 419 | 364 | n/a | n/a |
| 2019 | Mar 26, 2020 | $3.7B | $3.4B | 654 | 404 | 364 | n/a | n/a |
| 2018 | Mar 29, 2019 | $2.9B | $2.6B | 673 | 407 | 364 | n/a | n/a |
| 2017 | Mar 27, 2018 | $2.8B | $2.3B | 680 | 429 | 364 | n/a | n/a |
| 2016 | Mar 31, 2017 | $2.1B | $1.7B | 629 | 412 | n/a | n/a | n/a |
| 2015 | Mar 30, 2016 | $1.9B | $1.5B | 625 | 380 | n/a | n/a | n/a |
| 2014 | Mar 30, 2015 | $1.6B | $1.3B | 60 | 7 | n/a | n/a | n/a |
| 2013 | Mar 31, 2014 | $1.1B | $792M | 55 | 6 | n/a | n/a | n/a |
| 2012 | Mar 28, 2013 | $2.3B | $2.1B | 47 | 5 | n/a | n/a | n/a |
| 2011 | Mar 7, 2012 | $1.7B | $1.5B | 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 |
|---|---|---|---|---|---|---|---|---|
| 38 | 33 | 5 | 6.8% | 3 | 4 | 0 | 119 | 96 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $13B | $11B | 14.2% | $6.0B | 29.3% | 624 | 622 | 312 | 385 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| APOLLON WEALTH MANAGEMENT, LLC | 5 | Apr 20, 2026 | Apr 23, 2026 | DELAFIELD, WI | Team lift out | Ibd to RIA | 1.0% |
| RFG ADVISORY, LLC | 4 | Nov 5, 2025 | Nov 5, 2025 | COTTONWOOD, AZ | Team lift out | Ibd to RIA | 0.9% |
| LPL FINANCIAL LLC | 2 | Nov 3, 2025 | Nov 3, 2025 | SAN DIEGO, CA | Team lift out | Ibd to ibd | 0.4% |
| SANCHEZ GAUNT CAPITAL MANAGEMENT, LLC | 2 | Aug 6, 2025 | Aug 5, 2025 | STATELINE, NV | Team lift out | Ibd to new firm | 0.4% |
| EDWARD JONES | 2 | Jul 28, 2025 | May 28, 2026 | VICTORVILLE, CA | Team lift out | Ibd to ibd | 0.4% |
| KESTRA ADVISORY SERVICES, LLC | 2 | Jun 20, 2025 | Jun 19, 2025 | ENCINITAS, CA | Team lift out | Ibd to ibd | 0.4% |
| LPL FINANCIAL LLC | 3 | May 16, 2025 | May 16, 2025 | FERNDALE, WA | Team lift out | Ibd to ibd | 0.6% |
| WELLS FARGO ADVISORS | 2 | Feb 3, 2025 | Feb 3, 2025 | SAN DIEGO, CA | Team lift out | Ibd to wirehouse | 0.4% |
| OSAIC WEALTH, INC. | 2 | Dec 3, 2024 | Jan 22, 2025 | LOS ALAMITOS, CA | Team lift out | Ibd to ibd | 0.5% |
| LPL FINANCIAL LLC | 4 | Jul 31, 2024 | Aug 6, 2024 | SAN DIEGO, CA | Team lift out | Ibd to ibd | 0.9% |
| COMPREHENSIVE WEALTH MANAGEMENT | 2 | Mar 11, 2024 | Mar 11, 2024 | LYNNWOOD, WA | Team lift out | Ibd to RIA | 0.5% |
| COMMONWEALTH FINANCIAL NETWORK | 3 | Oct 4, 2023 | Oct 4, 2023 | SAN DIEGO, CA | Team lift out | Ibd to ibd | 0.7% |
| AVANTAX ADVISORY SERVICES | 2 | Aug 1, 2023 | Aug 1, 2023 | SAN DIEGO, CA | Team lift out | Ibd to ibd | 0.5% |
| THE AMERIFLEX GROUP | 2 | Jul 17, 2023 | Jul 17, 2023 | SAN DIEGO, CA | Team lift out | Ibd to ibd | 0.5% |
| THE AMERIFLEX GROUP | 3 | Jul 17, 2023 | Jul 17, 2023 | SIKESTON, MO | Team lift out | Ibd to ibd | 0.7% |
| Interwise | 4 | Jul 17, 2023 | Nov 30, 2022 | HOLLADAY, UT | Team lift out | Ibd to RIA | 1.0% |
| AVANTAX ADVISORY SERVICES | 2 | Mar 22, 2023 | Mar 27, 2023 | LIBERTY CORNER, NJ | Team lift out | Ibd to ibd | 0.5% |
| PYSNIK FINANCIAL, LLC | 2 | Mar 22, 2023 | Mar 21, 2023 | SAN DIEGO, CA | Team lift out | Ibd to new firm | 0.5% |
| GROVE POINT ADVISORS, LLC | 2 | Mar 8, 2023 | Mar 7, 2023 | PASO ROBLES, CA | Team lift out | Ibd to ibd | 0.5% |
| BURR FINANCIAL SERVICES, LLC | 3 | Sep 30, 2022 | Sep 30, 2022 | PLEASANT HILL, CA | Team lift out | Ibd to new firm | 0.7% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| OSAIC WEALTH, INC. | 5 | Apr 6, 2026 | Apr 3, 2026 | ST LOUIS, MO | Team lift out | Ibd to ibd | 0.1% |
| STRATOS WEALTH PARTNERS, LTD | 2 | Mar 30, 2026 | Mar 27, 2026 | WILLOUGHBY HILLS, OH | Team lift out | Ibd to ibd | 0.5% |
| AMERITAS ADVISORY SERVICES, LLC | 2 | Feb 20, 2026 | Feb 20, 2026 | EVERETT, WA | Team lift out | Ibd to ibd | 0.4% |
| CETERA INVESTMENT ADVISERS LLC | 2 | Dec 31, 2025 | Jan 2, 2026 | HARKER HEIGHTS, TX | Team lift out | Ibd to ibd | 0.0% |
| COMMONWEALTH FINANCIAL NETWORK | 2 | Oct 7, 2025 | Oct 3, 2025 | GLENELG, MD | Team lift out | Ibd to ibd | 0.1% |
| PLANNED ASSET MANAGEMENT | 2 | Apr 29, 2025 | May 4, 2010 | CALABASAS, CA | Team lift out | RIA to ibd | 66.7% |
| REALTA INVESTMENT ADVISORS, INC | 2 | Feb 14, 2025 | Apr 24, 2025 | WILMINGTON, DE | Team lift out | Ibd to ibd | 3.8% |
| PASH & BENSON INTERNATIONAL LTD. | 2 | Jan 21, 2025 | Jul 27, 2022 | ENCINO, CA | Team lift out | Other | 100.0% |
| CETERA INVESTMENT ADVISERS LLC | 2 | Nov 7, 2024 | Nov 7, 2024 | GEORGETOWN, TX | Team lift out | Ibd to ibd | 0.0% |
| WEALTH ADVISORS, INC. | 2 | Feb 16, 2024 | Feb 9, 2009 | SAN DIEGO, CA | Team lift out | RIA to ibd | 50.0% |
| CROWN CAPITAL SECURITIES, L.P. | 3 | Feb 9, 2024 | Feb 2, 2024 | CAYUCOS, CA | Team lift out | Ibd to ibd | 3.6% |
| CORNERSTONE FINANCIAL SERVICES, INC. | 3 | Dec 31, 2023 | Dec 13, 2023 | DALLAS, TX | Firm absorbed | Other | 100.0% |
| CROWN CAPITAL SECURITIES, L.P. | 2 | Oct 11, 2023 | Oct 6, 2023 | IRVINE, CA | Team lift out | Ibd to ibd | 1.7% |
| INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC | 2 | Jun 30, 2023 | Jun 9, 2023 | ROCKWALL, TX | Team lift out | Ibd to ibd | 1.9% |
| ARQUE CAPITAL, LTD. | 2 | Jun 16, 2023 | Jun 23, 2023 | SCOTTSDALE, AZ | Team lift out | Other | 66.7% |
| OSAIC WEALTH, INC. | 3 | Nov 1, 2022 | Oct 31, 2022 | BRENTWOOD, TN | Team lift out | Ibd to ibd | 0.2% |
| NPB FINANCIAL GROUP, LLC | 17 | Jul 15, 2022 | Jan 13, 2026 | BURBANK, CA | Firm absorbed | RIA to ibd | 65.4% |
| INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC | 2 | Apr 4, 2022 | Apr 13, 2022 | HOUSTON, TX | Team lift out | Ibd to ibd | 2.0% |
| CETERA ADVISOR NETWORKS LLC | 4 | Aug 12, 2021 | Aug 13, 2021 | THE WOODLANDS, TX | Team lift out | Ibd to ibd | 0.7% |
| KALOS MANAGEMENT | 2 | Aug 2, 2021 | Aug 11, 2021 | PONTE VEDRA BEACH, FL | Team lift out | Ibd to ibd | 3.4% |