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CRD 284656
WALTHAM, MA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
Dated 2026-09-15 (filing); first seen by DFX 2026-09-16.
Dated 2026-07-06 (filing); first seen by DFX 2026-09-15.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| JOSHUA MARK BARRON | n/a | ROYAL OAK, MI | TROY, MI | BLOOMFIELD HILLS, MI | 16 | 24 | 2 | yes |
| MATTHEW SEAN DONOVAN | n/a | Rockland, MA | WALTHAM, MA | 10 | 27 | 1 | yes |
| MARTHA M PAYNE | n/a | WALTHAM, MA | 10 | 23 | n/a | yes |
| JOHN CHARLES PASTORE | n/a | WALTHAM, MA | 9 | 26 | 1 | yes |
| MICHAEL PAUL DIONNE | Chartered Financial Consultant | Rockland, MA | 9 | 42 | 2 | yes |
| ANN LAMONTAGNE SWARTZ | Chartered Financial Consultant | ROCKLAND, MA | 9 | 36 | 2 | yes |
| JOHN ORION FLORENCE | n/a | WALTHAM, MA | SAVANNAH, GA | 9 | 28 | 2 | no |
| WILLIAM DANIEL HACKLER | n/a | LEOMINSTER, MA | MYRTLE BEACH, SC | 9 | 30 | 1 | yes |
| THOMAS MICHAEL PORTENTOSO | n/a | Rockalnd, MA | 9 | 29 | 1 | yes |
| R. JASON HORWITZ | Certified Financial Planner | Rockland, MA | 9 | 22 | 2 | yes |
| DAVID KLINE | Certified Financial Planner | WALTHAM, MA | 9 | 16 | 2 | no |
| NELSON NASCIMENTO SANTOS | n/a | ARLINGTON, VA | 9 | 19 | 2 | yes |
| ANDREW J ROSS | Certified Financial Planner | WALTHAM, MA | 9 | 17 | 2 | no |
| GULSANGA JALAWAN | n/a | ARLINGTON, VA | 9 | 23 | 2 | yes |
| DAVID CHARLES GRIMALDI | Certified Financial Planner | GLASTONBURY, CT | 9 | 39 | 2 | yes |
| JEFFREY EDWARD COWLING | Certified Financial Planner | GLASTONBURY, CT | ORLEANS, MA | 9 | 27 | 2 | yes |
| MARK DAVID CAVASINO | Certified Financial Planner | GLASTONBURY, CT | 9 | 34 | 3 | yes |
| CHRISTOPHER FRANCIS MICHALMAN | Certified Financial Planner | BEDFORD, NH | GLASTONBURY, CT | 9 | 30 | 2 | no |
| CHRISTOPHER ANDREW FLETCHER | n/a | GLASTONBURY, CT | 9 | 23 | 2 | yes |
| RICHARD CHARLES OSMAN | Certified Financial Planner|Chartered Financial Consultant | Severna Park, MD | 9 | 34 | 2 | yes |
| CASSIDY CORWIN KING | n/a | WALTHAM, MA | 9 | 22 | 2 | yes |
| PETER ALAN GAINES | Chartered Financial Consultant | CHATHAM, MA | 9 | 46 | 1 | yes |
| ALBERT KWOK FOO LI | Chartered Financial Consultant | WALTHAM, MA | 9 | 42 | 2 | no |
| JOHN KENNEDY ULWICK | Certified Financial Planner | WALTHAM, MA | 9 | 38 | 2 | yes |
| SEAN JOSEPH BOYLAN | Certified Financial Planner | WALTHAM, MA | 9 | 37 | 2 | yes |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| CARLSON, KRISTI, LEE | CHIEF FINANCE OFFICER | Na | yes | 04/1998 | Aug 3, 2026 | Aug 3, 2026 |
| Donnelly, Kathleen, Lee | DIRECTOR OF FINANCE & ACCOUNTING | Na | yes | 04/2017 | Aug 3, 2026 | Aug 3, 2026 |
| Frament, Caitlyn, E | DIRECTOR OF BUSINESS PROCESS OPTIMIZATION | Na | yes | 10/2023 | Aug 3, 2026 | Aug 3, 2026 |
| INTEGRATED PARTNERS, LLC | MANAGING MEMBER | E | yes | 04/2025 | Aug 3, 2026 | Aug 3, 2026 |
| KOLANO, STEPHEN | CHIEF INVESTMENT OFFICER | Na | yes | 11/2023 | Aug 3, 2026 | Aug 3, 2026 |
| MOHR, ANDREE, NICOLE | President | Na | yes | 04/2024 | Aug 3, 2026 | Aug 3, 2026 |
| SWARTZ, ANN, LAMONTAGNE | CHIEF COMPLIANCE OFFICER | Na | yes | 11/2023 | Oct 19, 2023 | Nov 7, 2024 |
| SAGANEY, PAUL, ANTON | MEMBER AND FOUNDER | Na | no | 09/2016 | Aug 3, 2026 | Aug 3, 2026 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Waltham | Ma | United States | 76 | no |
| SAN DIEGO | CA | United States | 24 | no |
| Worcester | Ma | United States | 17 | no |
| Rockland | Ma | United States | 16 | no |
| Fairfax | Va | United States | 16 | no |
| Glastonbury | Ct | United States | 15 | no |
| GIG HARBOR | Wa | United States | 11 | no |
| Leominster | Ma | United States | 10 | no |
| Fresno | CA | United States | 9 | no |
| BLOOMFIELD HILLS | Mi | United States | 8 | no |
| Cranston | Ri | United States | 8 | no |
| NEWPORT BEACH | CA | United States | 7 | no |
| Visalia | CA | United States | 6 | no |
| ST. JOSEPH | Mo | United States | 6 | no |
| Houston | TX | United States | 6 | no |
| Naperville | IL | United States | 5 | no |
| SEVERNA PARK | Md | United States | 5 | no |
| Chesapeake | Va | United States | 5 | no |
| Mclean | Va | United States | 5 | no |
| Roanoke | Va | United States | 5 | no |
| Englewood | Co | United States | 4 | no |
| Danbury | Ct | United States | 4 | no |
| Louisville | Ky | United States | 4 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Apr 22, 2026 | $19B | $19B | 493 | 491 | 120 | n/a | n/a |
| 2024 | Apr 10, 2025 | $15B | $15B | 455 | 452 | 112 | n/a | n/a |
| 2023 | Mar 29, 2024 | $12B | $12B | 424 | 423 | 120 | n/a | n/a |
| 2022 | Mar 31, 2023 | $7.5B | $7.5B | 178 | 178 | 57 | n/a | n/a |
| 2021 | Mar 30, 2022 | $7.8B | $7.8B | 376 | 187 | 57 | n/a | n/a |
| 2020 | Mar 30, 2021 | $5.0B | $5.0B | 326 | 158 | 44 | n/a | n/a |
| 2019 | Mar 24, 2020 | $3.5B | $3.5B | 298 | 194 | 44 | n/a | n/a |
| 2018 | Mar 29, 2019 | $1.4B | $1.4B | 197 | 170 | 44 | n/a | n/a |
| 2017 | Mar 30, 2018 | $1.0B | $1.0B | 199 | 155 | 28 | n/a | n/a |
| 2016 | Mar 31, 2017 | $550M | $550M | 205 | 137 | 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 |
|---|---|---|---|---|---|---|---|---|
| 62 | 4 | 58 | 0.8% | 16 | 0 | 0 | 112 | 25 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $24B | $15B | 55.4% | $7.5B | 46.7% | 493 | 455 | 120 | 112 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| WEALTHCARE ADVISORY PARTNERS LLC | 7 | Apr 1, 2025 | Apr 2, 2025 | BLOOMFIELD HILLS, MI | Team lift out | RIA to RIA | 1.9% |
| THE AMERIFLEX GROUP | 3 | Aug 20, 2024 | Sep 25, 2024 | WALTHAM, MA | Team lift out | RIA to ibd | 0.9% |
| LAKE AVENUE FINANCIAL LLC | 2 | Oct 15, 2021 | Jan 3, 2022 | PASADENA, CA | Team lift out | RIA to new firm | 1.0% |
| VICUS CAPITAL, INC. | 2 | Sep 6, 2018 | Oct 3, 2018 | CAMP HILL, PA | Team lift out | RIA to RIA | 1.6% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| KEATING FINANCIAL ADVISORY SERVICES | 2 | Sep 15, 2026 | Sep 15, 2026 | MANHATTAN, KS | Team lift out | RIA to RIA | 7.1% |
| HIGHTOWER ADVISORS, LLC | 6 | Jul 6, 2026 | Jul 6, 2026 | CHICAGO, IL | Team lift out | Ibd to RIA | 0.6% |
| AMERIPRISE FINANCIAL SERVICES, LLC | 7 | May 15, 2026 | May 12, 2026 | WILMINGTON, MA | Team lift out | Ibd to RIA | 0.1% |
| QUESTMONT VIRTUAL FAMILY OFFICE, LLC | 3 | May 14, 2026 | Mar 25, 2026 | TAMPA, FL | Firm absorbed | RIA to RIA | 100.0% |
| MILESTONE WEALTH | 3 | May 11, 2026 | May 11, 2026 | GREENVILLE, NC | Firm absorbed | RIA to RIA | 100.0% |
| AMERIPRISE FINANCIAL SERVICES, LLC | 4 | Apr 2, 2026 | Mar 27, 2026 | BROOMFIELD, CO | Team lift out | Ibd to RIA | 0.0% |
| Dynamic | 2 | Jan 2, 2026 | Dec 8, 2025 | GUILFORD, CT | Team lift out | RIA to RIA | 2.4% |
| OSAIC WEALTH, INC. | 2 | Dec 15, 2025 | Dec 11, 2025 | EAST LANSING, MI | Team lift out | Ibd to RIA | 0.0% |
| CLARO ADVISORS INC. | 2 | Jul 1, 2025 | Apr 3, 2025 | BOSTON, MA | Team lift out | RIA to RIA | 11.8% |
| CG ADVISORY SERVICES | 3 | Apr 2, 2025 | Feb 21, 2025 | WILLIAMSTON, MI | Team lift out | RIA to RIA | 4.5% |
| CWM, LLC | 2 | Apr 1, 2025 | Mar 31, 2025 | CREVE COEUR, MO | Team lift out | Ibd to RIA | 0.4% |
| Onedigital | 7 | Jan 16, 2025 | Feb 9, 2026 | ESCONDIDO, CA | Team lift out | Other | 2.4% |
| Onedigital | 4 | Jan 6, 2025 | Nov 5, 2024 | HONOLULU, HI | Team lift out | Other | 1.4% |
| Onedigital | 3 | Jan 2, 2025 | May 16, 2025 | OVERLAND PARK, KS | Team lift out | Other | 1.0% |
| CLARO ADVISORS INC. | 3 | Dec 2, 2024 | Oct 8, 2024 | BOSTON, MA | Team lift out | RIA to RIA | 17.6% |
| AMERIPRISE FINANCIAL SERVICES, LLC | 2 | Feb 27, 2024 | Feb 26, 2024 | PORTSMOUTH, NH | Team lift out | Ibd to RIA | 0.0% |
| PRISM FINANCIAL STRATEGIES, LLC | 5 | Dec 14, 2023 | May 10, 2023 | ENGLEWOOD, CO | Firm absorbed | RIA to RIA | 83.3% |
| WEALTHCARE ADVISORY PARTNERS LLC | 5 | May 17, 2023 | Jan 11, 2023 | WEST CHESTER, PA | Team lift out | RIA to RIA | 4.1% |
| WEALTHCARE ADVISORY PARTNERS LLC | 2 | Apr 4, 2023 | Jan 3, 2023 | BLOOMFIELD HILLS, MI | Team lift out | RIA to RIA | 1.7% |
| LAUREL WEALTH ADVISORS, INC. | 2 | Feb 21, 2023 | Feb 3, 2023 | SOLANA BEACH, CA | Team lift out | RIA to RIA | 5.3% |