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

MANNING & NAPIER ADVISORY ADVANTAGE COMPANY, LLC

CRD 106652

FAIRPORT, NY

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:6e8eaecd-8cd9-e559-97b5-26949ce5f1a4

Data as of Jun 28, 2013 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:04 AM UTC and rebuilt at most every 15 minutes.

Relationships: 40
Dated events: 0
On other graphs: 0
Observed: Mar 29, 2012 to Jun 28, 2013
5 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: $2.5BItem 5.F on the latest filing (2013-06-28); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $2.5B
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: 14
Advisory employees: 14
Accounts: 3,899
Custody, client assets: $0
SEC number: 801-37236
CRD: 106652
Filings on the tape: 5
First filed: Mar 29, 2012
Latest filed: Jun 28, 2013
Organised: Limited Liability Company, Delaware

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
AUSPITZ, B, REUBEN	CHIEF COMPLIANCE OFFICER	Na	yes	10/2011	Mar 29, 2012	Jun 28, 2013
CUNNINGHAM, PATRICK	CHIEF EXECUTIVE OFFICER	Na	yes	10/2011	Mar 29, 2012	Jun 28, 2013
GALUSHA, BETH, HENDERSHOT	Treasurer	Na	yes	10/2011	Mar 29, 2012	Jun 28, 2013
M&N GROUP HOLDINGS, LLC	Member	E	yes	10/2011	Mar 29, 2012	Jun 28, 2013
MANNING & NAPIER GROUP, LLC	MANAGING MEMBER	E	yes	10/2011	Mar 29, 2012	Jun 28, 2013
MANNING & NAPIER, INC	SOLE MANAGING MEMBER	F	yes	06/2011	Mar 29, 2012	Jun 28, 2013
MANNING, WILLIAM	MANAGING MEMBER	E	yes	06/2011	Mar 29, 2012	Jun 28, 2013
MIKOLAICHIK, JAMES, EDWARD	CHIEF FINANCIAL OFFICER	Na	yes	10/2011	Mar 29, 2012	Jun 28, 2013
STAMEY, CHARLES, HOWARD	MANAGING DIRECTOR, CLIENT RELATIONS	Na	yes	10/2011	Mar 29, 2012	Jun 28, 2013
YATES, RICHARD, BUTLER	CORPORATE SECRETARY	Na	yes	10/2011	Mar 29, 2012	Jun 28, 2013

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
MANNING & NAPIER ADVISORS, LLC	n/a	Mixed wealth	$17B	N	yes	n/a
EXETER ADVISORS I, LLC	n/a	Former SEC adviser	$36.0M	N	yes	n/a
EXETER TRUST COMPANY	n/a	n/a	n/a	N	yes	Nh
MANNING & NAPIER ALTERNATIVE OPPORTUNITIES, LLC	n/a	Former SEC adviser	n/a	N	yes	n/a
MANNING & NAPIER BENEFITS, LLC	n/a	n/a	n/a	N	yes	n/a
MANNING & NAPIER INVESTOR SERVICES, INC.	n/a	n/a	n/a	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
ST. PETERSBURG	FL	United States	n/a	no
Dublin	Oh	United States	n/a	no

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
2012	Mar 28, 2013	$2.5B	$2.5B	14	14	n/a	n/a	n/a
2011	Mar 29, 2012	$2.4B	$2.4B	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
2012	$2.5B	$2.4B	2.2%	n/a	n/a	14	n/a	n/a	n/a

Relationships

Affiliated with (3)

→ MANNING & NAPIER ADVISORS, LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
→ EXETER ADVISORS, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ MANNING & NAPIER ALTERNATIVE OPPORTUNITIES, LLCRegistered adviserother investment adviser, common control
factForm ADV

Controls (9)

← MANNING, WILLIAMOwnerMANAGING MEMBER, ownership code E, individual
Mar 29, 2012 to presentfactForm ADV
← CUNNINGHAM, PATRICKOwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← AUSPITZ, B, REUBENOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← GALUSHA, BETH, HENDERSHOTOwnerTREASURER, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← STAMEY, CHARLES, HOWARDOwnerMANAGING DIRECTOR, CLIENT RELATIONS, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← MIKOLAICHIK, JAMES, EDWARDOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← YATES, RICHARD, BUTLEROwnerCORPORATE SECRETARY, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← M&N GROUP HOLDINGS, LLCOwnerMEMBER, ownership code E, domestic entity
Mar 29, 2012 to presentfactForm ADV
← MANNING & NAPIER GROUP, LLCOwnerMANAGING MEMBER, ownership code E, domestic entity
Mar 29, 2012 to presentfactForm ADV

Registered with (25)

← JULIE ANN SCHNEIDERAdvisorregistration: previous registration
May 29, 2013 to Dec 31, 2013factForm ADV
← MICHAEL JAMES PURCELLAdvisorregistration: previous registration
May 21, 2010 to Dec 31, 2013factForm ADV
← Scott Ronald PilchardAdvisorregistration: previous registration
Apr 10, 2001 to Dec 31, 2013factForm ADV
← DAVID LEE IMMONENAdvisorregistration: previous registration
Sep 16, 2009 to Dec 31, 2013factForm ADV
← ANTONY JOHN DESORBOAdvisorregistration: previous registration
Jul 1, 2002 to Dec 31, 2013factForm ADV
← MICHAEL THOMAS VALENTIAdvisorregistration: previous registration
Sep 15, 2009 to Dec 31, 2013factForm ADV
← KEVIN JOSEPH KALEAdvisorregistration: previous registration
Jan 27, 2006 to Dec 31, 2013factForm ADV
← JAMES WILLIAM HAKEWILLAdvisorregistration: previous registration
Aug 27, 2010 to Dec 31, 2013factForm ADV
← FRANK EDWARD LESCZINSKIAdvisorregistration: previous registration
Aug 27, 2010 to Dec 31, 2013factForm ADV
← Joshua William PryorAdvisorregistration: previous registration
Apr 17, 2013 to Dec 31, 2013factForm ADV
← CHRISTOPHER CHARLES PORPIGLIAAdvisorregistration: previous registration
Mar 8, 2013 to Dec 31, 2013factForm ADV
← Gregory TedoneAdvisorregistration: previous registration
Mar 16, 2012 to Dec 31, 2013factForm ADV
← CHRISTOPHER JOSEPH LABOUNTYAdvisorregistration: previous registration
Apr 11, 2011 to Dec 31, 2013factForm ADV
← CHRISTOPHER MICHAEL SANDSAdvisorregistration: previous registration
Jul 12, 2013 to Dec 31, 2013factForm ADV
← Kelly A ReeyAdvisorregistration: previous registration
Sep 16, 2011 to Mar 20, 2013factForm ADV
← JUSTIN TODD GOLDMANAdvisorregistration: previous registration
Jan 24, 2001 to Oct 23, 2012factForm ADV
← Scott Brandon DooleyAdvisorregistration: previous registration
Mar 1, 2007 to Jul 19, 2012factForm ADV
← ADAM WESCOTT GRAVESAdvisorregistration: previous registration
Jan 21, 2011 to May 13, 2011factForm ADV
← SUSAN LIPPMAN HALPERNAdvisorregistration: previous registration
Feb 18, 2003 to Mar 30, 2011factForm ADV
← DAVID MICHAEL SUCHLANDAdvisorregistration: previous registration
Sep 22, 2005 to Jan 22, 2010factForm ADV
← MICHAEL WILLIAM DICKSONAdvisorregistration: previous registration
Jan 17, 2007 to Oct 24, 2008factForm ADV
← ANTHONY M STRITTHOLTAdvisorregistration: previous registration
Jul 25, 2002 to Jan 19, 2005factForm ADV
← IAN THOMAS ROBERTSONAdvisorregistration: previous registration
Aug 27, 2002 to Sep 17, 2003factForm ADV
← ELIZABETH MEZEI RAABEAdvisorregistration: previous registration
Jul 3, 2002 to Aug 22, 2002factForm ADV
← JAMES RUSSELL MAGBEEAdvisorregistration: previous registration
Aug 27, 2001 to Jul 1, 2002factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6e8eaecd-8cd9-e559-97b5-26949ce5f1a4
First observed: Mar 29, 2012
Last observed: Jun 28, 2013 161 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.

MANNING & NAPIER ADVISORY ADVANTAGE COMPANY, LLC

CRD 106652

FAIRPORT, NY

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:6e8eaecd-8cd9-e559-97b5-26949ce5f1a4

Data as of Jun 28, 2013 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:04 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

AUSPITZ, B, REUBEN

CHIEF COMPLIANCE OFFICER

yes

10/2011

Mar 29, 2012

Jun 28, 2013

CUNNINGHAM, PATRICK

CHIEF EXECUTIVE OFFICER

yes

10/2011

Mar 29, 2012

Jun 28, 2013

GALUSHA, BETH, HENDERSHOT

Treasurer

yes

10/2011

Mar 29, 2012

Jun 28, 2013

M&N GROUP HOLDINGS, LLC

Member

yes

10/2011

Mar 29, 2012

Jun 28, 2013

MANNING & NAPIER GROUP, LLC

MANAGING MEMBER

yes

10/2011

Mar 29, 2012

Jun 28, 2013

MANNING & NAPIER, INC

SOLE MANAGING MEMBER

yes

06/2011

Mar 29, 2012

Jun 28, 2013

MANNING, WILLIAM

MANAGING MEMBER

yes

06/2011

Mar 29, 2012

Jun 28, 2013

MIKOLAICHIK, JAMES, EDWARD

CHIEF FINANCIAL OFFICER

yes

10/2011

Mar 29, 2012

Jun 28, 2013

STAMEY, CHARLES, HOWARD

MANAGING DIRECTOR, CLIENT RELATIONS

yes

10/2011

Mar 29, 2012

Jun 28, 2013

YATES, RICHARD, BUTLER

CORPORATE SECRETARY

yes

10/2011

Mar 29, 2012

Jun 28, 2013

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

MANNING & NAPIER ADVISORS, LLC

n/a

Mixed wealth

$17B

yes

n/a

EXETER ADVISORS I, LLC

n/a

Former SEC adviser

$36.0M

yes

n/a

EXETER TRUST COMPANY

n/a

yes

MANNING & NAPIER ALTERNATIVE OPPORTUNITIES, LLC

n/a

Former SEC adviser

n/a

yes

n/a

MANNING & NAPIER BENEFITS, LLC

n/a

yes

n/a

MANNING & NAPIER INVESTOR SERVICES, INC.

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

ST. PETERSBURG

United States

n/a

Dublin

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2012

Mar 28, 2013

$2.5B

n/a

2011

Mar 29, 2012

$2.4B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2012

$2.5B

$2.4B

2.2%

n/a