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CRD 133204
CHARLOTTE, NC
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 |
|---|---|---|---|---|---|---|
| RICHARD JAMES BURKE | Chartered Financial Analyst | CHARLOTTE, NC | 9 | 10 | n/a | no |
| GREGORY SCOTT NASSOUR | Chartered Financial Analyst | Plymouth Meeting, PA | 4 | 33 | n/a | no |
| LORELY ANA MACHIN | Chartered Financial Analyst | PARAMUS, NJ | 4 | 30 | n/a | no |
| JOHN PATRICK FRITH | Chartered Financial Analyst | CHARLOTTE, NC | 4 | 31 | n/a | no |
| Marshall Lindsey Stuckey | Chartered Financial Analyst | CHARLOTTE, NC | 4 | 20 | n/a | no |
| JEREMIAH PHILLIP JOHN | n/a | CHARLOTTE, NC | 4 | 22 | n/a | no |
| Autumn Williams | n/a | CHARLOTTE, NC | 4 | 26 | n/a | no |
| BENEDICT CHI-HIN WONG | n/a | CHARLOTTE, NC | 4 | 29 | 1 | no |
| Jonathan North | n/a | MINNEAPOLIS, MN | 4 | 12 | n/a | no |
| NICHOLAS ANTON NEGRINI | n/a | MINNEAPOLIS, MN | 4 | 13 | 1 | no |
| JEFFREY TROY SAWYERS | Chartered Financial Analyst | CHARLOTTE, NC | 4 | 30 | n/a | no |
| BRUCE ALLEN WARREN | Chartered Financial Analyst | CHARLOTTE, NC | 4 | 20 | n/a | no |
| MATTHEW KELLY WOODS | Chartered Financial Analyst | CHARLOTTE, NC | 4 | 18 | n/a | no |
| JOSHUA J LINDSTEADT | Chartered Financial Analyst | CHARLOTTE, NC | 4 | 11 | n/a | no |
| Ryan Tyler Hill | Chartered Financial Analyst | Denver, CO | 4 | 18 | n/a | no |
| MARY JANE GRINDLAND | n/a | MINNEAPOLIS, MN | 4 | 22 | n/a | no |
| DANIEL KENNY OCONNELL | Certified Financial Planner | Dallas, TX | 4 | 40 | 1 | no |
| GEORGE EDWARD RUSNAK | Chartered Financial Analyst | Princeton, NJ | 4 | 31 | n/a | no |
| BRENDAN JOHN O'SULLIVAN | n/a | MINNEAPOLIS, MN | 4 | 16 | n/a | no |
| Redmond Tudos | n/a | PHILADELPHIA, PA | 4 | 26 | n/a | no |
| TROY SEILER | n/a | CHARLOTTE, NC | 4 | 35 | 2 | no |
| Michael Dawayne Harris | n/a | CHARLOTTE, NC | 4 | 10 | n/a | no |
| Melissa Whalen | n/a | Wyomissing, PA | 4 | 17 | n/a | no |
| Brian J Heath | n/a | CHARLOTTE, NC | 4 | 27 | n/a | no |
| SEAN ORR | n/a | CHARLOTTE, NC | 4 | 10 | n/a | no |
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| STRATEGIC PARTNERS VIII ASP FUND | Other Private Fund | $307M | Mar 30, 2022 | 422 | Mar 30, 2020 | dropped | 021-192145 |
| APOLLO CREDIT STRATEGIES ASP FUND | Other Private Fund | $247M | Mar 30, 2022 | 560 | Mar 29, 2019 | dropped | 021-192145 |
| STRATEGIC PARTNERS VII ASP FUND | Private Equity Fund | $241M | Mar 30, 2022 | 544 | Mar 31, 2017 | dropped | 021-138400 |
| ANGELO GORDON PARTNERS SELECT ASP FUND | Other Private Fund | $224M | Mar 30, 2022 | 674 | Mar 30, 2016 | dropped | 021-192145 |
| MARSHALL WACE EUREKA ASP FUND | Other Private Fund | $221M | Mar 30, 2022 | 590 | Mar 31, 2015 | dropped | 021-192145 |
| PRINCIPAL ENHANCED PROPERTY ASP FUND | Real Estate Fund | $170M | Jan 24, 2022 | 349 | Mar 30, 2012 | dropped | 021-164898 |
| FORTRESS SPECIAL OPPORTUNITIES ASP FUND | Other Private Fund | $170M | Mar 30, 2022 | 351 | Mar 31, 2015 | dropped | 021-192145 |
| CARLYLE DISTRESSED OPPORTUNITIES IV ASP FUND | Private Equity Fund | $169M | Mar 30, 2022 | 324 | Apr 2, 2018 | dropped | 021-198484 |
| GRAHAM ABSOLUTE RETURN ASP FUND | Other Private Fund | $166M | Jan 24, 2022 | 566 | Apr 2, 2018 | dropped | 021-192145 |
| RIVERSIDE CAPITAL APPRECIATION VII ASP FUND | Other Private Fund | $165M | Mar 30, 2022 | 436 | Mar 30, 2020 | dropped | 021-192145 |
| CARLYLE REALTY PARTNERS VIII ASP FUND | Private Equity Fund | $153M | Mar 30, 2022 | 429 | Apr 2, 2018 | dropped | 021-198484 |
| CANYON BALANCED ASP FUND | Other Private Fund | $147M | Mar 30, 2022 | 348 | Mar 30, 2016 | dropped | 021-192145 |
| CORBIN PINEHURST ASP FUND | Other Private Fund | $144M | Mar 30, 2022 | 253 | Mar 30, 2012 | dropped | 021-132789 |
| MANAGED FUTURES LEGENDS ASP FUND, A SERIES OF ALTERNATIVE STRATEGIES MANAGED FUTURES & COMMODITIES PLATFORM, LLC | Other Private Fund | $121M | Nov 20, 2014 | 264 | Mar 30, 2012 | dropped | 021-137096 |
| BREP ASIA II FUND | Private Equity Fund | $118M | Mar 30, 2022 | 370 | Mar 29, 2019 | dropped | 021-192145 |
| BRIDGE MULTIFAMILY IV ASP FUND | Other Private Fund | $115M | Mar 30, 2022 | 296 | Mar 30, 2020 | dropped | 021-192145 |
| LANDMARK EQUITY PARTNERS XVI ASP FUND | Other Private Fund | $115M | Mar 30, 2022 | 270 | Mar 29, 2019 | dropped | 021-192145 |
| GWL U.S. PROPERTY ASP FUND | Real Estate Fund | $100M | Jan 24, 2022 | 265 | Mar 30, 2012 | dropped | 021-91429 |
| AURORA GLOBAL OPPORTUNITIES ASP FUND, A SERIES OF ALTERNATIVE STRATEGIES PLATFORM, LLC | Other Private Fund | $99.8M | Oct 31, 2016 | 269 | Mar 30, 2012 | dropped | 021-86916 |
| KKR SPECIAL SITUATIONS II ASP FUND | Private Equity Fund | $96.0M | Mar 30, 2022 | 398 | Mar 30, 2016 | dropped | 021-198484 |
| GSO CAPITAL SOLUTIONS III ASP FUND | Other Private Fund | $95.1M | Mar 30, 2022 | 289 | Mar 29, 2019 | dropped | 021-192145 |
| ABS GLOBAL LONG SHORT ASP FUND | Other Private Fund | $94.2M | Mar 30, 2022 | 121 | Mar 30, 2012 | dropped | 021-120906 |
| BREP IX ASP FUND | Other Private Fund | $90.2M | Mar 30, 2022 | 208 | Mar 30, 2020 | dropped | 021-192145 |
| SHANNON RIVER ASP FUND | Other Private Fund | $89.7M | Mar 30, 2022 | 336 | Mar 31, 2015 | dropped | 021-192145 |
| APOLLO NATURAL RESOURCES II ASP FUND | Private Equity Fund | $83.9M | Mar 30, 2022 | 526 | Mar 30, 2016 | dropped | 021-192145 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| CRONK, DARRELL, LYNN | PRESIDENT AND CHIEF INVESTMENT OFFICER, DIRECTOR | Na | yes | 12/2014 | Mar 23, 2026 | Mar 23, 2026 |
| MCCORDUCK, BRITTA, PERKIO | MANAGING DIRECTOR AND SECRETARY | Na | yes | 03/2019 | Mar 23, 2026 | Mar 23, 2026 |
| Ronzio, Haley, Lynn | CHIEF FINANCIAL OFFICER, TREASURER | Na | yes | 11/2023 | Mar 23, 2026 | Mar 23, 2026 |
| RUSNAK, GEORGE, EDWARD | DIRECTOR (BOARD MEMBER) | Na | yes | 11/2023 | Mar 23, 2026 | Mar 23, 2026 |
| SIGMUND, GREGORY, SCOTT | CHIEF OPERATING OFFICER, DIRECTOR (BOARD MEMBER) | Na | yes | 04/2021 | Mar 23, 2026 | Mar 23, 2026 |
| SOMMERS, BARRY | DIRECTOR (BOARD MEMBER) | Na | yes | 08/2020 | Mar 23, 2026 | Mar 23, 2026 |
| WILLIAMS, DAVID, M | CHIEF COMPLIANCE OFFICER | Na | yes | 11/2025 | Mar 23, 2026 | Mar 23, 2026 |
| MAVICO, DANIEL, JAMES | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | Na | yes | 11/2017 | Dec 15, 2017 | Apr 29, 2024 |
| WELLS FARGO & COMPANY | Shareholder | E | yes | 07/2017 | Mar 30, 2012 | Apr 29, 2024 |
| WELLS FARGO BANK, N.A. | Shareholder | E | yes | 07/2017 | Jul 10, 2017 | Apr 29, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| WELLS FARGO CLEARING SERVICES, LLC | n/a | Wirehouse | $671B | N | yes | Mo |
| WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC | n/a | Wirehouse | $252B | N | yes | n/a |
| WELLS FARGO BANK, NATIONAL ASSOCIATION | n/a | n/a | n/a | Y | yes | Sd |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| SAINT LOUIS | Mo | United States | 85 | no |
| Minneapolis | Mn | United States | 13 | no |
| SAN FRANCISCIO | CA | United States | 6 | no |
| Denver | Co | United States | 6 | no |
| Jacksonville | FL | United States | 6 | no |
| WEST DES MOINES | Ia | United States | 6 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 23, 2026 | $43B | $43B | 225 | 143 | 2 | n/a | n/a |
| 2024 | Mar 24, 2025 | $41B | $41B | 233 | 151 | 4 | n/a | n/a |
| 2023 | Mar 29, 2024 | $44B | $44B | 251 | 169 | 6 | n/a | n/a |
| 2022 | Mar 30, 2023 | $38B | $38B | 264 | 175 | 38 | n/a | n/a |
| 2021 | Mar 30, 2022 | $51B | $51B | 212 | 142 | 33 | 53 | $4.3B |
| 2020 | Mar 30, 2021 | $5.9B | $5.9B | 143 | 101 | 13 | 64 | $4.6B |
| 2019 | Mar 30, 2020 | $6.3B | $6.3B | 164 | 98 | 13 | 72 | $4.8B |
| 2018 | Mar 29, 2019 | $5.9B | $5.9B | 188 | 100 | 13 | 76 | $4.0B |
| 2017 | Apr 2, 2018 | $6.4B | $6.4B | 189 | 95 | 12 | 77 | $3.7B |
| 2016 | Mar 31, 2017 | $3.9B | $3.9B | 159 | 81 | n/a | 67 | $3.3B |
| 2015 | Mar 30, 2016 | $3.4B | $3.4B | 101 | 64 | n/a | 68 | $3.3B |
| 2014 | Mar 31, 2015 | $4.0B | $4.0B | 102 | 43 | n/a | 66 | $3.1B |
| 2013 | Mar 31, 2014 | $3.7B | $3.7B | 40 | 15 | n/a | 58 | $2.9B |
| 2012 | Apr 1, 2013 | $3.3B | $3.3B | 41 | 16 | n/a | 55 | $2.7B |
| 2011 | Mar 30, 2012 | $2.8B | $2.8B | n/a | n/a | n/a | 55 | $2.3B |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 5 | 4 | 1 | 8.0% | 0 | 0 | 0 | 12 | 11 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $43B | $41B | 5.3% | $38B | 4.1% | 225 | 233 | 2 | 4 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| WELLS FARGO ADVISORS | 2 | Mar 23, 2022 | May 24, 2024 | ST LOUIS, MO | Team lift out | Wirehouse to RIA | 0.0% |