DFX Intelligence

Data Factory

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

FIRST ALLIED ADVISORY SERVICES, INC.

CRD 137888

SAN DIEGO, 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:7ab3e2b5-fb97-06e5-bb17-fafe2a49da70

Data as of Nov 16, 2020 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:24 PM UTC and rebuilt at most every 15 minutes.

Relationships: 936
Dated events: 5
On other graphs: 1
Observed: Nov 15, 2011 to Nov 16, 2020
67 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

First Allied Advisory Services, Inc.

Investment consultant · shared crd

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: $7.0BItem 5.F on the latest filing (2020-11-16); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $6.9B
Private client RAUM: $6.7BderivedItem 5.D individuals plus high net worth individuals
Private client share: 95%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 564
Advisory employees: 510
Offices: 359Schedule D 1.F, beyond the principal office
Accounts: 29,608
Individual clients: 24,347
High net worth clients: 4,788
Custody, client assets: $0
SEC number: 801-66653
CRD: 137888
Filings on the tape: 67
First filed: Nov 15, 2011
Latest filed: Nov 16, 2020
Organised: Corporation, 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
ARETEC GROUP, INC.	SOLE MEMBER	E	yes	04/2014	May 31, 2016	Nov 16, 2020
BREGOZZO, MATTHEW, GREGORY	CHIEF COMPLIANCE OFFICER	Na	yes	10/2018	Oct 24, 2018	Nov 16, 2020
CETERA FIRST HOLDINGS, INC.	SOLE MEMBER	E	yes	02/2018	Sep 3, 2019	Nov 16, 2020
FAS HOLDINGS, INC.	SOLE SHAREHOLDER	E	yes	10/1994	Nov 15, 2011	Nov 16, 2020
FIRST ALLIED HOLDINGS INC.	SOLE SHAREHOLDER	E	yes	11/2011	Nov 15, 2011	Nov 16, 2020
HARRISON, BRETT, LAMAR	Ceo	Na	yes	03/2017	Aug 8, 2016	Nov 16, 2020
NEARY, JOSEPH, DANIEL	MANAGER/DIRECTOR	Na	yes	05/2019	Sep 3, 2019	Nov 16, 2020
OLSON, GREGORY, EDWARD	ASSISTANT SECRETARY	Na	yes	07/2016	Aug 8, 2016	Nov 16, 2020
Schott, Mary, Frances	President	Na	yes	03/2018	Mar 28, 2018	Nov 16, 2020
SHELSON, MARK, PAUL	Treasurer	Na	yes	07/2016	Aug 8, 2016	Nov 16, 2020
SMILEY, STANLEY, ROBERT	VICE PRESIDENT	Na	yes	07/2016	Aug 8, 2016	Nov 16, 2020

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
CETERA INVESTMENT ADVISERS LLC	n/a	Bd affiliated wealth	$257B	N	yes	n/a
CETERA ADVISOR NETWORKS LLC	n/a	Former SEC adviser	$47B	N	yes	n/a
CETERA ADVISORS LLC	n/a	Former SEC adviser	$22B	N	yes	n/a
SUMMIT FINANCIAL GROUP INC	n/a	Former SEC adviser	$4.5B	N	yes	n/a
CETERA INVESTMENT SERVICES LLC	n/a	Former SEC adviser	$1.2B	N	yes	n/a
CETERA ADVISORY SERVICES LLC	n/a	No RAUM reported	$0	N	yes	n/a
CETERA INVESTMENT MANAGEMENT LLC	n/a	No RAUM reported	$0	N	yes	n/a
ASSOCIATES IN EXCELLENCE, INC.	n/a	n/a	n/a	N	yes	n/a
CETERA ADVISOR NETWORKS INSURANCE SERVICES LLC	n/a	n/a	n/a	N	yes	n/a
CETERA ADVISORS INSURANCE SERVICES LLC	n/a	n/a	n/a	N	yes	n/a
CETERA FINANCIAL SPECIALISTS LLC	n/a	n/a	n/a	N	yes	n/a
CETERA INSURANCE AGENCY LLC	n/a	n/a	n/a	N	yes	n/a
FASI INSURANCE SERVICES	n/a	n/a	n/a	N	yes	n/a
FASI OF TX, INC.	n/a	n/a	n/a	N	yes	n/a
FIRST ALLIED RETIREMENT SERVICES	n/a	n/a	n/a	N	yes	n/a
FIRST ALLIED SECURITIES, INC.	n/a	Former SEC adviser	n/a	N	yes	n/a
SBS INSURANCE AGENCY OF FL, INC.	n/a	n/a	n/a	N	yes	n/a
SBS OF CALIFORNIA INSURANCE AGENCY, INC.	n/a	n/a	n/a	N	yes	n/a
SBSI INSURANCE AGENCY OF TX, 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
Indianapolis	In	United States	12	yes
STATEN ISLAND	NY	United States	11	yes
BLOOMFIELD HILLS	Mi	United States	10	yes
Austin	TX	United States	8	yes
Livonia	Mi	United States	7	yes
TEXAS CITY	TX	United States	7	yes
Deerfield	IL	United States	6	yes
NEW YORK	NY	United States	6	yes
NEW YORK	NY	United States	6	yes
Bellevue	Wa	United States	6	yes
Orange	CA	United States	5	yes
Sacramento	CA	United States	5	yes
SAN DIEGO	CA	United States	5	yes
GROSSE POINTE FARMS	Mi	United States	5	yes
Eatontown	Nj	United States	5	yes
DEER PARK	TX	United States	5	yes
Friendswood	TX	United States	5	yes
REDWOOD SHORES	CA	United States	4	yes
Honolulu	Hi	United States	4	yes
BLOOMFIELD HILLS	Mi	United States	4	yes
Iselin	Nj	United States	4	yes
RED BANK	Nj	United States	4	yes
NEW YORK	NY	United States	4	yes
Warminster	Pa	United States	4	yes
Seattle	Wa	United States	4	yes

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
2019	Mar 28, 2020	$7.0B	$6.9B	564	510	359	n/a	n/a
2018	Mar 29, 2019	$6.0B	$5.9B	609	553	392	n/a	n/a
2017	Mar 28, 2018	$5.8B	$5.8B	651	588	549	n/a	n/a
2016	Mar 31, 2017	$4.5B	$4.5B	680	593	n/a	n/a	n/a
2015	Mar 30, 2016	$4.4B	$4.1B	729	671	n/a	n/a	n/a
2014	Mar 30, 2015	$4.9B	$4.8B	752	703	n/a	n/a	n/a
2013	Mar 31, 2014	$4.6B	$4.4B	758	740	n/a	n/a	n/a
2012	Apr 1, 2013	$3.7B	$3.6B	770	742	n/a	n/a	n/a
2011	Mar 30, 2012	$851M	$757M	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
2019	$7.0B	$6.0B	17.1%	$4.5B	15.5%	564	609	359	392

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction; showing 20 of 31

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
PREMIER WEALTH ADVISORS, LLC	4	Nov 12, 2020	Jun 14, 2017	NEW YORK, NY	Team lift out	Ibd to RIA	0.9%
RIDGE CAPITAL MANAGEMENT, LLC	3	Nov 12, 2020	May 14, 2018	WOODSTOCK, GA	Team lift out	Ibd to RIA	0.7%
LIFESTYLE ASSET MANAGEMENT, INC.	7	Nov 12, 2020	Jun 25, 2018	TEXAS CITY, TX	Team lift out	Ibd to RIA	1.6%
CETERA INVESTMENT MANAGEMENT LLC	2	Nov 12, 2020	Nov 9, 2015	SAN DIEGO, CA	Channel change	Other	0.5%
PRESIDIO CAPITAL MANAGEMENT, LLC	2	Nov 12, 2020	Jan 30, 2020	SAN DIEGO, CA	Team lift out	Ibd to RIA	0.5%
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	2	Nov 3, 2020	Nov 3, 2020	STEUBENVILLE, OH	Team lift out	Ibd to ibd	0.5%
LPL FINANCIAL LLC	2	Jun 15, 2020	Jun 15, 2020	WEST ST PAUL, MN	Team lift out	Ibd to ibd	0.5%
PETERSON WEALTH MANAGEMENT, LLC	3	Dec 20, 2019	Jan 5, 2026	CARSON CITY, NV	Team lift out	Ibd to RIA	0.7%
ROBERTSON INVESTMENT MANAGEMENT	3	Nov 22, 2019	Dec 5, 2018	HOUSTON, TX	Team lift out	Ibd to RIA	0.7%
PERIGON WEALTH MANAGEMENT, LLC	2	May 24, 2019	Nov 17, 2023	RANCHO SANTA FE, CA	Team lift out	Ibd to RIA	0.4%
ALTUM WEALTH ADVISORS	2	May 20, 2019	May 17, 2019	SAN FRANCISCO, CA	Team lift out	Ibd to new firm	0.4%
MUTUAL ADVISORS, LLC	2	May 6, 2019	May 7, 2019	EL SEGUNDO, CA	Team lift out	Ibd to ibd	0.4%
LPL FINANCIAL LLC	2	Sep 25, 2018	Sep 26, 2018	SAN DIEGO, CA	Team lift out	Ibd to RIA	0.4%
LPL FINANCIAL LLC	2	Jul 27, 2018	Jul 30, 2018	HAWTHRONE, NY	Team lift out	Ibd to RIA	0.4%
AMERIPRISE FINANCIAL SERVICES, LLC	2	Apr 20, 2018	Apr 18, 2018	MANITOWOC, WI	Team lift out	Ibd to ibd	0.4%
CREATIVE FINANCIAL DESIGNS, INC.	2	Feb 27, 2018	Feb 27, 2018	URBANA, IL	Team lift out	Other	0.4%
CASTLE ROCK WEALTH MANAGEMENT, LLC	2	Feb 13, 2018	Nov 17, 2016	SUITE , CA	Team lift out	Other	0.4%
INDEPENDENT FINANCIAL GROUP, LLC	2	Sep 21, 2017	Aug 26, 2021	SAN LUIS OBISPO, CA	Team lift out	Other	0.4%
CW ADVISORS, LLC	2	May 16, 2017	Feb 11, 2026	MESA, AZ	Team lift out	Other	0.4%
J. W. COLE ADVISORS, INC.	3	Mar 9, 2017	Feb 3, 2017	GLASTONBURY, CT	Team lift out	Other	0.6%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
LAKESIDE WEALTH MANAGEMENT GROUP, LLC	4	Jun 30, 2020	Jan 3, 2007	CHESTERTON, IN	Team lift out	RIA to ibd	20.0%
WELLS FARGO ADVISORS	2	Jun 9, 2020	Jun 5, 2020	ATLANTA, GA	Team lift out	Wirehouse to ibd	0.0%
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	2	Jul 13, 2018	Aug 15, 2018	FRESNO, CA	Team lift out	Ibd to ibd	0.1%
FIRST ALLIED SECURITIES, INC.	3	Mar 23, 2018	Mar 23, 2018	SAN DIEGO, CA	Firm absorbed	Other	75.0%
GITTERMAN WEALTH MANAGEMENT, LLC	2	Sep 26, 2016	Oct 5, 2016	EDISON, NJ	Team lift out	Other	11.8%
RG ADVISOR GROUP	2	Oct 30, 2015	Apr 22, 2015	PHOENIX, AZ	Team lift out	Other	100.0%
NFP ADVISOR SERVICES, LLC	2	Jun 26, 2015	Jun 26, 2015	TROY, MI	Team lift out	Other	0.5%
SII INVESTMENTS, INC.	2	Jun 16, 2015	Jun 29, 2015	SEASIDE HEIGHTS, NJ	Team lift out	Other	0.5%

Relationships

showing 80 of 936

Affiliated with (14)

→ CETERA ADVISORS LLCRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ CETERA INVESTMENT ADVISERS LLCRegistered adviserother investment adviser, common control
factForm ADV
→ SUMMIT FINANCIAL GROUP INCRegistered adviserother investment adviser, common control
factForm ADV
→ CETERA ADVISOR NETWORKS LLCRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ CETERA INVESTMENT SERVICES LLCRegistered adviserbroker-dealer, common control
factForm ADV
→ CETERA INVESTMENT MANAGEMENT LLCRegistered adviserother investment adviser, common control
factForm ADV
→ CETERA ADVISORY SERVICES LLCRegistered adviserother investment adviser, common control
factForm ADV
→ FIRST ALLIED SECURITIES, INC.Registered adviserbroker-dealer, common control
factForm ADV
← FIRST ALLIED SECURITIES, INC.Registered adviserother investment adviser, common control
factForm ADV
← GIRARD SECURITIES, INC.Registered adviserother investment adviser, common control
factForm ADV
← INVESTORS CAPITAL ADVISORYRegistered adviserother investment adviser, common control
factForm ADV
← VSR ADVISORY SERVICESRegistered adviserother investment adviser, common control
factForm ADV
← J P TURNER & COMPANY CAPITAL MANAGEMENT, LLCRegistered adviserother investment adviser, common control
factForm ADV
← FIRST ALLIED ASSET MANAGEMENT, INC.Registered adviserother investment adviser, common control
factForm ADV

Controls (11)

← Schott, Mary, FrancesOwnerPRESIDENT, ownership code NA, individual
Mar 28, 2018 to presentfactForm ADV
← SHELSON, MARK, PAULOwnerTREASURER, ownership code NA, individual
Aug 8, 2016 to presentfactForm ADV
← OLSON, GREGORY, EDWARDOwnerASSISTANT SECRETARY, ownership code NA, individual
Aug 8, 2016 to presentfactForm ADV
← NEARY, JOSEPH, DANIELOwnerMANAGER/DIRECTOR, ownership code NA, individual
Sep 3, 2019 to presentfactForm ADV
← SMILEY, STANLEY, ROBERTOwnerVICE PRESIDENT, ownership code NA, individual
Aug 8, 2016 to presentfactForm ADV
← HARRISON, BRETT, LAMAROwnerCEO, ownership code NA, individual
Aug 8, 2016 to presentfactForm ADV
← BREGOZZO, MATTHEW, GREGORYOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Oct 24, 2018 to presentfactForm ADV
← ARETEC GROUP, INC.OwnerSOLE MEMBER, ownership code E, domestic entity
May 31, 2016 to presentfactForm ADV
← CETERA FIRST HOLDINGS, INC.OwnerSOLE MEMBER, ownership code E, domestic entity
Sep 3, 2019 to presentfactForm ADV
← FAS HOLDINGS, INC.OwnerSOLE SHAREHOLDER, ownership code E, domestic entity
Nov 15, 2011 to presentfactForm ADV
← FIRST ALLIED HOLDINGS INC.OwnerSOLE SHAREHOLDER, ownership code E, domestic entity
Nov 15, 2011 to presentfactForm ADV

Moved with (5)

→ CW ADVISORS, LLCRegistered adviser2 advisors, team lift out, same day
May 16, 2017 to Feb 11, 2026factForm ADV
→ PETERSON WEALTH MANAGEMENT, LLCRegistered adviser3 advisors, team lift out, same day
Dec 20, 2019 to Jan 5, 2026factForm ADV
→ DIVERSIFY ADVISORY SERVICES, LLCRegistered adviser7 advisors, team lift out, same day
Dec 21, 2015 to Jan 1, 2025factForm ADV
→ PERIGON WEALTH MANAGEMENT, LLCRegistered adviser2 advisors, team lift out, same day
May 24, 2019 to Nov 17, 2023factForm ADV
→ INDEPENDENT FINANCIAL GROUP, LLCRegistered adviser2 advisors, team lift out, same day
Sep 21, 2017 to Aug 26, 2021factForm ADV

Registered with (49)

← WILLIAM ROBERT JOINERAdvisorregistration: previous registration
Jul 2, 2012 to Nov 13, 2020factForm ADV
← JOSEPH ALAN PERRYAdvisorregistration: previous registration
Jan 8, 2013 to Nov 13, 2020factForm ADV
← MARSHA ANN KADEMIANAdvisorregistration: previous registration
Jul 2, 2012 to Nov 12, 2020factForm ADV
← TIMOTHY STUART MICKEYAdvisorregistration: previous registration
Apr 29, 2013 to Nov 12, 2020factForm ADV
← CRAIG RUSSELL LAWLERAdvisorregistration: previous registration
Jul 2, 2012 to Nov 12, 2020factForm ADV
← ROBERT ALLEN DICOLAAdvisorregistration: previous registration
Jun 5, 2019 to Nov 12, 2020factForm ADV
← CHANG SOO HANAdvisorregistration: previous registration
Jul 2, 2012 to Nov 12, 2020factForm ADV
← THOMAS ANDERSON CASSEDYAdvisorregistration: previous registration
Jun 6, 2012 to Nov 12, 2020factForm ADV
← JUDITH CHERYL SLAWSKYAdvisorregistration: previous registration
Jul 2, 2012 to Nov 12, 2020factForm ADV
← MICHAEL ANTHONY RAEBERAdvisorregistration: previous registration
Jan 1, 2007 to Nov 12, 2020factForm ADV
← SEAN KEVIN FITZPATRICKAdvisorregistration: previous registration
Jul 2, 2012 to Nov 12, 2020factForm ADV
← DRAKE HOWARD ZIMMERMANAdvisorregistration: previous registration
Jul 2, 2012 to Nov 12, 2020factForm ADV
← KEVIN JOSEPH FAYAdvisorregistration: previous registration
Jul 2, 2012 to Nov 12, 2020factForm ADV
← ROBERT STEVEN WEISSBEINAdvisorregistration: previous registration
Mar 19, 2014 to Nov 12, 2020factForm ADV
← ROBERT NEWMAN WEBSTERAdvisorregistration: previous registration
Jul 2, 2012 to Nov 12, 2020factForm ADV
← MICHAEL LOUIS THIELAdvisorregistration: previous registration
Jan 1, 2007 to Nov 12, 2020factForm ADV
← DAVID JOSEPH PRUSHANAdvisorregistration: previous registration
Jul 2, 2012 to Nov 12, 2020factForm ADV
← JOHN JOSEPH KOZOLAdvisorregistration: previous registration
Jul 2, 2012 to Nov 12, 2020factForm ADV
← DEBRA JILL OWENAdvisorregistration: previous registration
Jul 2, 2012 to Nov 12, 2020factForm ADV
← JAMES EDWARD PEDEAdvisorregistration: previous registration
Jan 3, 2007 to Nov 12, 2020factForm ADV
← PATRICK JOSEPH MCDEVITTAdvisorregistration: previous registration
Jul 2, 2012 to Nov 12, 2020factForm ADV
← STEPHEN CURTIS LAWLERAdvisorregistration: previous registration
Mar 31, 2015 to Nov 12, 2020factForm ADV
← MICHAEL JOHN PASSAGEAdvisorregistration: previous registration
Jul 2, 2012 to Nov 12, 2020factForm ADV
← Gregory PowellAdvisorregistration: previous registration
Jul 3, 2013 to Nov 12, 2020factForm ADV
← DANIEL GRIECOAdvisorregistration: previous registration
Sep 29, 2016 to Nov 12, 2020factForm ADV
← KEVEN JAMES PICARDOAdvisorregistration: previous registration
Jul 2, 2012 to Nov 12, 2020factForm ADV
← SANDRA SUE PATRICKAdvisorregistration: previous registration
Jul 1, 2014 to Nov 12, 2020factForm ADV
← BRIAN NEAL EVERETTAdvisorregistration: previous registration
Jul 2, 2012 to Nov 12, 2020factForm ADV
← ROCCO ANTHONY DOMICOLOAdvisorregistration: previous registration
Jul 9, 2020 to Nov 12, 2020factForm ADV
← DALE E HOHLBAUGHAdvisorregistration: previous registration
Jul 2, 2012 to Nov 12, 2020factForm ADV
and 19 more

Dated events

2 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Sep 3, 2019
Control person left
Nicholas Adam Antoniades (Director) no longer on Schedule A of First Allied Advisory Services, Inc. (listed 2019-04-09, absent 2019-09-03)
Form ADVobserved 4 days ago
Occurred
Sep 3, 2019
Control person joined
Daniel Joseph Neary (Manager/Director) appeared on Schedule A of First Allied Advisory Services, Inc.
Form ADVobserved 4 days ago
Occurred
Mar 28, 2018
Regulatory AUM changed
First Allied Advisory Services, Inc. reported RAUM $5.8B, up 29% from $4.5B (2017-12-19 to 2018-03-28)
Form ADVobserved 4 days ago
$1.3B

Show 2 bookkeeping events

Occurred
Mar 28, 2020
First Allied Advisory Services, Inc. reported 359 offices beyond its principal office, down from 392 (2020-01-31 to 2020-03-28)
Occurred
Mar 29, 2019
First Allied Advisory Services, Inc. reported 392 offices beyond its principal office, down from 549 (2018-10-24 to 2019-03-29)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7ab3e2b5-fb97-06e5-bb17-fafe2a49da70
First observed: Nov 15, 2011
Last observed: Nov 16, 2020 71 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.

FIRST ALLIED ADVISORY SERVICES, INC.

CRD 137888

SAN DIEGO, 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:7ab3e2b5-fb97-06e5-bb17-fafe2a49da70

Data as of Nov 16, 2020 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:24 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ARETEC GROUP, INC.

SOLE MEMBER

yes

04/2014

May 31, 2016

Nov 16, 2020

BREGOZZO, MATTHEW, GREGORY

CHIEF COMPLIANCE OFFICER

yes

10/2018

Oct 24, 2018

Nov 16, 2020

CETERA FIRST HOLDINGS, INC.

SOLE MEMBER

yes

02/2018

Sep 3, 2019

Nov 16, 2020

FAS HOLDINGS, INC.

SOLE SHAREHOLDER

yes

10/1994

Nov 15, 2011

Nov 16, 2020

FIRST ALLIED HOLDINGS INC.

SOLE SHAREHOLDER

yes

11/2011

Nov 15, 2011

Nov 16, 2020

HARRISON, BRETT, LAMAR

Ceo

yes

03/2017

Aug 8, 2016

Nov 16, 2020

NEARY, JOSEPH, DANIEL

MANAGER/DIRECTOR

yes

05/2019

Sep 3, 2019

Nov 16, 2020

OLSON, GREGORY, EDWARD

ASSISTANT SECRETARY

yes

07/2016

Aug 8, 2016

Nov 16, 2020

Schott, Mary, Frances

President

yes

03/2018

Mar 28, 2018

Nov 16, 2020

SHELSON, MARK, PAUL

Treasurer

yes

07/2016

Aug 8, 2016

Nov 16, 2020

SMILEY, STANLEY, ROBERT

VICE PRESIDENT

yes

07/2016

Aug 8, 2016

Nov 16, 2020

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

CETERA INVESTMENT ADVISERS LLC

n/a

Bd affiliated wealth

$257B

yes

n/a

CETERA ADVISOR NETWORKS LLC

n/a

Former SEC adviser

$47B

yes

n/a

CETERA ADVISORS LLC

n/a

Former SEC adviser

$22B

yes

n/a

SUMMIT FINANCIAL GROUP INC

n/a

Former SEC adviser

$4.5B

yes

n/a

CETERA INVESTMENT SERVICES LLC

n/a

Former SEC adviser

$1.2B

yes

n/a

CETERA ADVISORY SERVICES LLC

n/a

No RAUM reported

yes

n/a

CETERA INVESTMENT MANAGEMENT LLC

n/a

No RAUM reported

yes

n/a

ASSOCIATES IN EXCELLENCE, INC.

n/a

yes

n/a

CETERA ADVISOR NETWORKS INSURANCE SERVICES LLC

n/a

yes

n/a

CETERA ADVISORS INSURANCE SERVICES LLC

n/a

yes

n/a

CETERA FINANCIAL SPECIALISTS LLC

n/a

yes

n/a

CETERA INSURANCE AGENCY LLC

n/a

yes

n/a

FASI INSURANCE SERVICES

n/a

yes

n/a

FASI OF TX, INC.

n/a

yes

n/a

FIRST ALLIED RETIREMENT SERVICES

n/a

yes

n/a

FIRST ALLIED SECURITIES, INC.

n/a

Former SEC adviser

n/a

yes

n/a

SBS INSURANCE AGENCY OF FL, INC.

n/a

yes

n/a

SBS OF CALIFORNIA INSURANCE AGENCY, INC.

n/a

yes

n/a

SBSI INSURANCE AGENCY OF TX, INC.

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Indianapolis

United States

yes

STATEN ISLAND

United States

yes

BLOOMFIELD HILLS

United States

yes

Austin

United States

yes

Livonia

United States

yes

TEXAS CITY

United States

yes

Deerfield

United States

yes

NEW YORK

United States

yes

NEW YORK

United States

yes

Bellevue

United States

yes

Orange

United States

yes

Sacramento

United States

yes

SAN DIEGO

United States

yes

GROSSE POINTE FARMS

United States

yes

Eatontown

United States

yes

DEER PARK

United States

yes

Friendswood

United States

yes

REDWOOD SHORES

United States

yes

Honolulu

United States

yes

BLOOMFIELD HILLS

United States

yes

Iselin

United States

yes

RED BANK

United States

yes

NEW YORK

United States

yes

Warminster

United States

yes

Seattle

United States

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2019

Mar 28, 2020

$7.0B

$6.9B

564

510

359

n/a

2018

Mar 29, 2019

$6.0B

$5.9B

609

553

392

n/a

2017

Mar 28, 2018

$5.8B

651

588

549

n/a

2016

Mar 31, 2017

$4.5B

680

593

n/a

2015

Mar 30, 2016

$4.4B

$4.1B

729

671

n/a

2014

Mar 30, 2015

$4.9B

$4.8B

752

703

n/a

2013

Mar 31, 2014

$4.6B

$4.4B

758

740

n/a

2012

Apr 1, 2013

$3.7B

$3.6B

770

742

n/a

2011

Mar 30, 2012

$851M

$757M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2019

$7.0B

$6.0B

17.1%

$4.5B

15.5%

564

609

359

392

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

PREMIER WEALTH ADVISORS, LLC

Nov 12, 2020

Jun 14, 2017

NEW YORK, NY

Team lift out

Ibd to RIA

0.9%

RIDGE CAPITAL MANAGEMENT, LLC

Nov 12, 2020

May 14, 2018

WOODSTOCK, GA

Team lift out

Ibd to RIA

0.7%

LIFESTYLE ASSET MANAGEMENT, INC.

Nov 12, 2020

Jun 25, 2018

TEXAS CITY, TX

Team lift out

Ibd to RIA

1.6%

CETERA INVESTMENT MANAGEMENT LLC

Nov 12, 2020

Nov 9, 2015

SAN DIEGO, CA

Channel change

Other

0.5%

PRESIDIO CAPITAL MANAGEMENT, LLC

Nov 12, 2020

Jan 30, 2020

SAN DIEGO, CA

Team lift out

Ibd to RIA

0.5%

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Nov 3, 2020

STEUBENVILLE, OH

Team lift out

Ibd to ibd

0.5%

LPL FINANCIAL LLC

Jun 15, 2020

WEST ST PAUL, MN

Team lift out

Ibd to ibd

0.5%

PETERSON WEALTH MANAGEMENT, LLC

Dec 20, 2019

Jan 5, 2026

CARSON CITY, NV

Team lift out

Ibd to RIA

0.7%

ROBERTSON INVESTMENT MANAGEMENT

Nov 22, 2019

Dec 5, 2018

HOUSTON, TX

Team lift out

Ibd to RIA

0.7%

PERIGON WEALTH MANAGEMENT, LLC

May 24, 2019

Nov 17, 2023

RANCHO SANTA FE, CA

Team lift out

Ibd to RIA

0.4%

ALTUM WEALTH ADVISORS

May 20, 2019

May 17, 2019

SAN FRANCISCO, CA

Team lift out

Ibd to new firm

0.4%

MUTUAL ADVISORS, LLC

May 6, 2019

May 7, 2019

EL SEGUNDO, CA

Team lift out

Ibd to ibd

0.4%

LPL FINANCIAL LLC

Sep 25, 2018

Sep 26, 2018

SAN DIEGO, CA

Team lift out

Ibd to RIA

0.4%

LPL FINANCIAL LLC

Jul 27, 2018

Jul 30, 2018

HAWTHRONE, NY

Team lift out

Ibd to RIA

0.4%

AMERIPRISE FINANCIAL SERVICES, LLC

Apr 20, 2018

Apr 18, 2018

MANITOWOC, WI

Team lift out

Ibd to ibd

0.4%

CREATIVE FINANCIAL DESIGNS, INC.

Feb 27, 2018

URBANA, IL

Team lift out

Other

0.4%

CASTLE ROCK WEALTH MANAGEMENT, LLC

Feb 13, 2018

Nov 17, 2016

SUITE , CA

Team lift out

Other

0.4%

INDEPENDENT FINANCIAL GROUP, LLC

Sep 21, 2017

Aug 26, 2021

SAN LUIS OBISPO, CA

Team lift out

Other

0.4%

CW ADVISORS, LLC

May 16, 2017

Feb 11, 2026

MESA, AZ

Team lift out

Other

0.4%

J. W. COLE ADVISORS, INC.

Mar 9, 2017

Feb 3, 2017

GLASTONBURY, CT

Team lift out

Other

0.6%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

LAKESIDE WEALTH MANAGEMENT GROUP, LLC

Jun 30, 2020

Jan 3, 2007

CHESTERTON, IN

Team lift out

RIA to ibd

20.0%

WELLS FARGO ADVISORS

Jun 9, 2020

Jun 5, 2020

ATLANTA, GA

Team lift out

Wirehouse to ibd

0.0%

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Jul 13, 2018

Aug 15, 2018

FRESNO, CA

Team lift out

Ibd to ibd

0.1%

FIRST ALLIED SECURITIES, INC.

Mar 23, 2018

SAN DIEGO, CA

Firm absorbed

Other

75.0%

GITTERMAN WEALTH MANAGEMENT, LLC

Sep 26, 2016

Oct 5, 2016

EDISON, NJ

Team lift out

Other

11.8%

RG ADVISOR GROUP

Oct 30, 2015

Apr 22, 2015

PHOENIX, AZ

Team lift out

Other

100.0%

NFP ADVISOR SERVICES, LLC

Jun 26, 2015

TROY, MI

Team lift out

Other

0.5%

SII INVESTMENTS, INC.

Jun 16, 2015

Jun 29, 2015

SEASIDE HEIGHTS, NJ

Team lift out

Other

0.5%