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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

TEAM FINANCIAL MANAGERS

TEAM FINANCIAL MANAGERS, INC., CRD 115130

HARRISBURG, PA

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:7bf39b75-6f38-c73e-7714-d07a160cc6f4

Data as of Sep 27, 2013 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:31 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: Dec 12, 2011 to Sep 27, 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: $175MItem 5.F on the latest filing (2013-09-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $175M
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: 6
Advisory employees: 6
Accounts: 892
SEC number: 801-61069
CRD: 115130
Filings on the tape: 5
First filed: Dec 12, 2011
Latest filed: Sep 27, 2013
Organised: Corporation, Pennsylvania

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
DAILEY, JAMES, LOUIS	CHIEF MARKET STRATEGIST	C	yes	01/2005	Dec 12, 2011	Sep 27, 2013
LINDENBERG, SAMUEL, STANLEY	PRESIDENT/CHIEF COMPLIANCE OFFICER	D	yes	08/1994	Dec 12, 2011	Sep 27, 2013
JACKSON, CHRISTOPHER, JOSEPH	CHIEF INVESTMENT OFFICER	Na	no	03/2012	Mar 17, 2012	Sep 27, 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
TEAM FINANCIAL ASSET MANAGEMENT, LLC	n/a	Former SEC adviser	$29.9M	Y	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
Shippensburg	Pa	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	Feb 27, 2013	$175M	$175M	6	6	n/a	n/a	n/a
2011	Mar 17, 2012	$179M	$179M	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	$175M	$179M	-2.5%	n/a	n/a	6	n/a	n/a	n/a

Relationships

Affiliated with (2)

→ TEAM FINANCIAL ASSET MANAGEMENT, LLCRegistered adviserother investment adviser, control, common control
factForm ADV
← TEAM FINANCIAL ASSET MANAGEMENT, LLCRegistered adviserother investment adviser, common control
factForm ADV

Controls (2)

← LINDENBERG, SAMUEL, STANLEYOwnerPRESIDENT/CHIEF COMPLIANCE OFFICER, ownership code D, individual
Dec 12, 2011 to presentfactForm ADV
← DAILEY, JAMES, LOUISOwnerCHIEF MARKET STRATEGIST, ownership code C, individual
Dec 12, 2011 to presentfactForm ADV

Owns (1)

← JACKSON, CHRISTOPHER, JOSEPHOwnerCHIEF INVESTMENT OFFICER, ownership code NA, individual
Mar 17, 2012 to presentfactForm ADV

Registered with (3)

← SETH WILLIAM ARBOGASTAdvisorregistration: previous registration
Oct 13, 2010 to Dec 31, 2013factForm ADV
← DAVID MICHAEL BOROWSKYAdvisorregistration: previous registration
Sep 30, 2011 to Dec 31, 2013factForm ADV
← CHRISTOPHER JOSEPH JACKSONAdvisorregistration: previous registration
Mar 14, 2012 to Dec 31, 2013factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7bf39b75-6f38-c73e-7714-d07a160cc6f4
First observed: Dec 12, 2011
Last observed: Sep 27, 2013 158 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.

TEAM FINANCIAL MANAGERS

TEAM FINANCIAL MANAGERS, INC., CRD 115130

HARRISBURG, PA

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:7bf39b75-6f38-c73e-7714-d07a160cc6f4

Data as of Sep 27, 2013 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:31 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

DAILEY, JAMES, LOUIS

CHIEF MARKET STRATEGIST

yes

01/2005

Dec 12, 2011

Sep 27, 2013

LINDENBERG, SAMUEL, STANLEY

PRESIDENT/CHIEF COMPLIANCE OFFICER

yes

08/1994

Dec 12, 2011

Sep 27, 2013

JACKSON, CHRISTOPHER, JOSEPH

CHIEF INVESTMENT OFFICER

03/2012

Mar 17, 2012

Sep 27, 2013

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

TEAM FINANCIAL ASSET MANAGEMENT, LLC

n/a

Former SEC adviser

$29.9M

yes

n/a

City

State

Country

Employees

Also broker-dealer

Shippensburg

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2012

Feb 27, 2013

$175M

n/a

2011

Mar 17, 2012

$179M

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

$175M

$179M

-2.5%

n/a