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CRD 46214
HOUSTON, TX
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| ATRIA WEALTH SOLUTIONS, INC. | Shareholder | E | yes | 11/2018 | Jun 17, 2019 | Oct 31, 2024 |
| AWS 5, INC. | Shareholder | E | yes | 05/2019 | Jun 17, 2019 | Oct 31, 2024 |
| KETTERER, DOUGLAS JOHN | Director | Na | yes | 06/2019 | Jun 17, 2019 | Oct 31, 2024 |
| KNIGHT, BARRY GLENN | PRESIDENT/DIRECTOR | Na | yes | 12/2006 | Jan 31, 2012 | Oct 31, 2024 |
| LPL FINANCIAL HOLDINGS, INC. | PARENT COMPANY | E | yes | 10/2024 | Oct 31, 2024 | Oct 31, 2024 |
| LPL HOLDINGS, INC. | Shareholder | E | yes | 10/2024 | Oct 31, 2024 | Oct 31, 2024 |
| NEXT FINANCIAL HOLDINGS INC. | Shareholder | E | yes | 09/2004 | Aug 10, 2021 | Oct 31, 2024 |
| ELIAS JR, EUGENE HENRI | Director | Na | no | 06/2019 | Aug 5, 2024 | Oct 31, 2024 |
| TAYLOR, CHRISTIAN GABRIEL | CHIEF COMPLIANCE OFFICER | Na | no | 07/2024 | Jul 12, 2024 | Oct 31, 2024 |
| TYMKIW, TRISHA LYNN | PRINCIPAL FINANCIAL OFFICER | Na | no | 05/2022 | May 20, 2022 | Oct 31, 2024 |
| WHITE, LAURA NICOLE | ADVISORY CHIEF COMPLIANCE OFFICER | Na | no | 11/2023 | Nov 17, 2023 | Oct 31, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| LPL FINANCIAL LLC | n/a | Bd affiliated wealth | $819B | N | yes | n/a |
| LPL ENTERPRISE, LLC | n/a | Bd affiliated wealth | $25B | N | yes | n/a |
| CADARET, GRANT & CO., INC. | n/a | Former SEC adviser | $7.7B | N | yes | n/a |
| CUSO FINANCIAL SERVICES, L.P. | n/a | Former SEC adviser | $5.4B | N | yes | n/a |
| WESTERN INTERNATIONAL SECURITIES, INC. | n/a | Former SEC adviser | $3.5B | N | yes | n/a |
| GROVE POINT ADVISORS, LLC | n/a | Former SEC adviser | $2.5B | N | yes | n/a |
| GROVE POINT INVESTMENTS, LLC | n/a | Former SEC adviser | $2.0B | N | yes | n/a |
| SCF INVESTMENT ADVISORS, INC. | n/a | Former SEC adviser | $1.3B | N | yes | n/a |
| SORRENTO PACIFIC FINANCIAL, LLC | n/a | Former SEC adviser | $222M | N | yes | n/a |
| CFS INSURANCE & TECHNOLOGY SERVICES, LLC | n/a | n/a | n/a | N | yes | n/a |
| FIDUCIARY TRUST COMPANY OF NEW HAMPSHIRE | n/a | n/a | n/a | N | yes | n/a |
| LPL INSURANCE ASSOCIATES, INC. | n/a | n/a | n/a | N | yes | n/a |
| NEXT FINANCIAL INSURANCE SERVICES COMPANY | n/a | n/a | n/a | N | yes | n/a |
| SCF SECURITIES, INC. | n/a | n/a | n/a | N | yes | n/a |
| THE PRIVATE TRUST COMPANY, N.A. | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Roseville | CA | United States | 21 | yes |
| Altoona | Pa | United States | 14 | yes |
| Scottsdale | Az | United States | 6 | yes |
| NEWPORT BEACH | CA | United States | 6 | yes |
| FORT WAYNE | In | United States | 6 | yes |
| Williamsville | NY | United States | 6 | yes |
| SAN ANTONIO | TX | United States | 6 | yes |
| Novi | Mi | United States | 5 | yes |
| Harleysville | Pa | United States | 5 | yes |
| Houston | TX | United States | 5 | yes |
| Kingwood | TX | United States | 5 | yes |
| Phoenix | Az | United States | 4 | yes |
| EDEN PRAIRIE | Mn | United States | 4 | yes |
| EDEN PRAIRIE | Mn | United States | 4 | yes |
| CHERRY HILL | Nj | United States | 4 | yes |
| Chico | CA | United States | 3 | yes |
| COLORADO SPRINGS | Co | United States | 3 | yes |
| Honolulu | Hi | United States | 3 | yes |
| Salisbury | Ma | United States | 3 | yes |
| Dunkirk | NY | United States | 3 | yes |
| Medford | Or | United States | 3 | yes |
| Allentown | Pa | United States | 3 | yes |
| Patton | Pa | United States | 3 | yes |
| Austin | TX | United States | 3 | yes |
| SAN ANTONIO | TX | United States | 3 | yes |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2024 | Mar 31, 2025 | $3.8B | $3.7B | 564 | 307 | 225 | n/a | n/a |
| 2023 | Mar 28, 2024 | $3.5B | $3.5B | 613 | 358 | 257 | n/a | n/a |
| 2022 | Mar 31, 2023 | $2.9B | $2.9B | 587 | 410 | 280 | n/a | n/a |
| 2021 | Mar 31, 2022 | $3.1B | $3.1B | 556 | 399 | 286 | n/a | n/a |
| 2020 | Mar 31, 2021 | $2.6B | $2.6B | 413 | 393 | 271 | n/a | n/a |
| 2019 | Mar 12, 2020 | $2.4B | $2.3B | 423 | 407 | 317 | n/a | n/a |
| 2018 | Mar 29, 2019 | $1.7B | $1.5B | 457 | 451 | 317 | n/a | n/a |
| 2017 | Mar 22, 2018 | $1.7B | $817M | 495 | 480 | 354 | n/a | n/a |
| 2016 | Mar 30, 2017 | $1.6B | $979M | 586 | 537 | n/a | n/a | n/a |
| 2015 | Mar 28, 2016 | $1.6B | $882M | 603 | 549 | n/a | n/a | n/a |
| 2014 | Mar 26, 2015 | $1.7B | $991M | 685 | 618 | n/a | n/a | n/a |
| 2013 | Mar 28, 2014 | $1.7B | $1.7B | 790 | 747 | n/a | n/a | n/a |
| 2012 | Apr 1, 2013 | $3.3B | $1.4B | 764 | 621 | n/a | n/a | n/a |
| 2011 | Jan 31, 2012 | $1.3B | $1.3B | 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 |
|---|---|---|---|---|---|---|---|---|
| 1 | 3 | -2 | n/a | 0 | 0 | 0 | 10 | 111 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2024 | $3.8B | $3.5B | 7.0% | $3.1B | 6.6% | 564 | 613 | 225 | 257 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| SB ADVISORY, LLC | 2 | Jul 16, 2025 | Jul 28, 2025 | GRAND RAPIDS, MI | Team lift out | Ibd to RIA | 12.5% |
| HERITAGE WEALTH MANAGEMENT, LLC | 2 | Jul 10, 2025 | Aug 25, 2020 | MANCHESTER, TN | Team lift out | Other | 0.8% |
| BLAKELY WALTERS WEALTH MANAGEMENT | 4 | Jul 10, 2025 | Jun 12, 2023 | HOUSTON, TX | Team lift out | Ibd to RIA | 1.6% |
| MONEY MANAGERS, INC. | 2 | May 30, 2025 | May 2, 2023 | AUSTIN, TX | Team lift out | Other | 0.8% |
| SOVEREIGN ASSET MANAGEMENT | 2 | May 22, 2025 | Aug 16, 2017 | WILLIAMSVILLE, NY | Team lift out | Ibd to RIA | 0.8% |
| CETERA INVESTMENT ADVISERS LLC | 2 | Apr 9, 2025 | Apr 10, 2025 | INDEPENDENCE, OH | Team lift out | Ibd to ibd | 0.7% |
| DAHRING | CUSMANO AND ASSOCIATES | 5 | Mar 31, 2025 | Nov 19, 2025 | NOVI, MI | Team lift out | Ibd to RIA | 1.8% |
| WESTMARK WEALTH MANAGEMENT | 4 | Jan 6, 2025 | Jan 3, 2025 | PHOENIX, AZ | Team lift out | Ibd to new firm | 1.4% |
| LVZ, INC. | 2 | Nov 26, 2024 | Nov 25, 2024 | FRIENDSWOOD, TX | Team lift out | Ibd to RIA | 0.7% |
| CETERA INVESTMENT ADVISERS LLC | 2 | Oct 23, 2024 | Oct 23, 2024 | JOHNS CREEK, GA | Team lift out | Ibd to ibd | 0.7% |
| KINGWOOD INVESTMENT GROUP | 2 | Oct 18, 2024 | May 9, 2024 | KINGWOOD, TX | Team lift out | Ibd to RIA | 0.7% |
| CETERA INVESTMENT ADVISERS LLC | 3 | Aug 22, 2024 | Aug 21, 2024 | HOUSTON, TX | Team lift out | Ibd to ibd | 1.0% |
| STRONG INVESTMENT MANAGEMENT, LLC | 2 | Jul 3, 2024 | Feb 25, 2021 | CANTON, OH | Team lift out | Ibd to RIA | 0.7% |
| RM FINANCIAL SERVICES, LLC | 2 | Oct 20, 2023 | Mar 6, 2023 | FALMOUTH, ME | Team lift out | Ibd to RIA | 0.6% |
| HARBOUR INVESTMENTS, INC. | 2 | Apr 20, 2023 | Apr 20, 2023 | ELM GROVE, WI | Team lift out | Ibd to RIA | 0.6% |
| FOUNDERS FINANCIAL SECURITIES, LLC | 2 | Sep 7, 2022 | Sep 7, 2022 | DOWNINGTOWN, PA | Team lift out | Ibd to RIA | 0.7% |
| SECURITIES AMERICA ADVISORS, INC. | 2 | Aug 19, 2022 | Aug 19, 2022 | DEPEW, NY | Team lift out | Ibd to ibd | 0.6% |
| PROSPERITAS FINANCIAL, LLC | 4 | Apr 25, 2022 | Aug 31, 2021 | VALENCIA, CA | Team lift out | Ibd to RIA | 1.3% |
| FSC WEALTH ADVISORS, LLC | 2 | Oct 22, 2021 | Aug 10, 2021 | WAPPINGERS FALLS, NY | Team lift out | Ibd to RIA | 0.6% |
| AMERIPRISE FINANCIAL SERVICES, LLC | 2 | Jan 25, 2021 | Jan 22, 2021 | INDEPENDENCE, OH | Team lift out | Ibd to ibd | 0.6% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| PRINCIPAL SECURITIES, INC. | 2 | Jul 17, 2023 | Aug 11, 2023 | GRAND RAPIDS, MI | Team lift out | Ibd to ibd | 0.2% |
| COMMONWEALTH FINANCIAL NETWORK | 3 | Mar 24, 2023 | Mar 24, 2023 | ABILENE, TX | Team lift out | Ibd to ibd | 0.1% |
| TRANSAMERICA FINANCIAL ADVISORS, LLC | 2 | Mar 31, 2022 | Mar 30, 2022 | MADISON, WI | Team lift out | Ibd to ibd | 0.2% |
| WELLS FARGO ADVISORS | 2 | Jun 2, 2020 | Jun 2, 2020 | SAN ANTONIO, TX | Team lift out | Wirehouse to ibd | 0.0% |
| EQUITABLE ADVISORS, LLC | 2 | Apr 27, 2018 | Apr 27, 2018 | MORRISTOWN, NJ | Team lift out | Ibd to RIA | 0.1% |
| WADDELL & REED | 2 | Apr 17, 2018 | Apr 23, 2018 | RENO, NV | Team lift out | Ibd to RIA | 0.2% |