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CRD 313171
ROCKVILLE, MD
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 | 10/2024 | Sep 28, 2023 | Oct 31, 2024 |
| AWS 10, INC. | Member | E | yes | 08/2023 | Sep 28, 2023 | Oct 31, 2024 |
| BEARD, KEVIN, LAWRENCE | President | Na | yes | 02/2024 | Feb 5, 2024 | Oct 31, 2024 |
| ELIAS JR, EUGENE, HENRI | ASSISTANT SECRETARY | Na | yes | 08/2023 | Sep 28, 2023 | Oct 31, 2024 |
| GROVE POINT FINANCIAL, LLC | Member | E | yes | 04/2021 | Mar 24, 2021 | Oct 31, 2024 |
| Hawley, Amanda, Candelmo | CORPORATE SECRETARY | Na | yes | 08/2023 | Sep 28, 2023 | Oct 31, 2024 |
| KETTERER, DOUGLAS, JOHN | ASSISTANT SECRETARY | Na | yes | 08/2023 | Sep 28, 2023 | 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 |
| MCGEE, DENISE, MARIE | SENIOR VICE PRESIDENT, ADVISOR SOLUTIONS | Na | yes | 04/2022 | Mar 31, 2023 | Oct 31, 2024 |
| TYMKIW, TRISHA, LYNN | PRINCIPAL FINANCIAL OFFICER | Na | yes | 08/2023 | Sep 28, 2023 | Oct 31, 2024 |
| White, Laura, Nicole | ADVISORY CHIEF COMPLIANCE OFFICER | Na | yes | 11/2023 | Dec 4, 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 |
| NEXT FINANCIAL GROUP, INC. | n/a | Former SEC adviser | $3.8B | N | yes | n/a |
| WESTERN INTERNATIONAL SECURITIES, INC. | n/a | Former SEC adviser | $3.5B | 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 AND 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 |
|---|---|---|---|---|
| Gaithersburg | Md | United States | 10 | yes |
| ST. LOUIS PARK | Mn | United States | 7 | yes |
| ELM GROVE | Wi | United States | 6 | yes |
| Victor | NY | United States | 5 | yes |
| ST SIMONS ISLAND | Ga | United States | 4 | yes |
| Frederick | Md | United States | 4 | yes |
| Lutherville | Md | United States | 4 | yes |
| Lutherville | Md | United States | 4 | yes |
| OCEAN CITY | Md | United States | 4 | yes |
| Rockville | Md | United States | 4 | yes |
| Rockville | Md | United States | 4 | yes |
| Thurmont | Md | United States | 4 | yes |
| GRAND BLANC | Mi | United States | 4 | yes |
| Mcmurray | Pa | United States | 4 | yes |
| Centennial | Co | United States | 3 | yes |
| Canonsburg | Pa | United States | 3 | yes |
| Dover | Pa | United States | 3 | yes |
| Wexford | Pa | United States | 3 | yes |
| Knoxville | Tn | United States | 3 | yes |
| Victoria | TX | United States | 3 | yes |
| n/a | n/a | n/a | 3 | yes |
| Tustin | CA | United States | 2 | yes |
| Millbury | Ma | United States | 2 | yes |
| Greensboro | Nc | United States | 2 | yes |
| Palm | Pa | United States | 2 | yes |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2024 | Mar 28, 2025 | $2.5B | $566M | 389 | 264 | 188 | n/a | n/a |
| 2023 | Mar 28, 2024 | $2.4B | $425M | 420 | 322 | 224 | n/a | n/a |
| 2022 | Mar 31, 2023 | $1.9B | $398M | 333 | 317 | 208 | n/a | n/a |
| 2021 | Mar 31, 2022 | $2.1B | $443M | 337 | 327 | 227 | 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 |
|---|---|---|---|---|---|---|---|---|
| 0 | 1 | -1 | n/a | 0 | 0 | 0 | 2 | 73 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2024 | $2.5B | $2.4B | 4.7% | $2.1B | 5.3% | 389 | 420 | 188 | 224 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| CATOCTIN RIDGE WEALTH PARTNER | 2 | May 1, 2025 | Feb 5, 2025 | ROCKVILLE, MD | Team lift out | Ibd to RIA | 0.8% |
| MFG PRIVATE WEALTH | 2 | May 1, 2025 | Mar 27, 2025 | CANONSBURG, PA | Team lift out | Ibd to new firm | 0.8% |
| FLFS ADVISORY LLC | 4 | May 1, 2025 | Apr 29, 2025 | ROCKVILLE, MD | Team lift out | Ibd to new firm | 1.6% |
| CETERA INVESTMENT ADVISERS LLC | 2 | Nov 6, 2024 | Nov 6, 2024 | ROCKVILLE, MD | Team lift out | Ibd to ibd | 0.8% |
| CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | 2 | Sep 12, 2024 | Sep 19, 2024 | ROCKVILLE, MD | Team lift out | Ibd to ibd | 0.7% |
| J. W. COLE ADVISORS, INC. | 2 | Aug 29, 2024 | Aug 29, 2024 | ROCKVILLE, MD | Team lift out | Ibd to ibd | 0.7% |
| UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER | 2 | Aug 21, 2024 | Aug 20, 2024 | ROCKVILLE, MD | Team lift out | Ibd to RIA | 0.7% |
| UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER | 2 | Aug 19, 2024 | Aug 16, 2024 | ST LOUIS PARK, MN | Team lift out | Ibd to RIA | 0.7% |
| LPL FINANCIAL LLC | 2 | Jun 11, 2024 | Jun 10, 2024 | ROCKVILLE, MD | Team lift out | Ibd to ibd | 0.7% |
| INDEPENDENT FINANCIAL PARTNERS | 2 | May 3, 2024 | May 1, 2024 | ROCKVILLE, MD | Team lift out | Ibd to ibd | 0.7% |
| J. W. COLE ADVISORS, INC. | 2 | Aug 1, 2023 | Aug 1, 2023 | ROCKVILLE, MD | Team lift out | Ibd to ibd | 0.7% |
| WOODBURY FINANCIAL SERVICES, INC. | 2 | May 6, 2022 | May 10, 2022 | ROCKVILLE, MD | Team lift out | Ibd to ibd | 0.7% |
| INTEGRATED WEALTH CONCEPTS LLC | 2 | Dec 20, 2021 | Dec 20, 2021 | ROCKVILLE, MD | Team lift out | Ibd to RIA | 0.7% |
| CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | 2 | Dec 15, 2021 | Jan 1, 2025 | SARAOTA, FL | Team lift out | Ibd to ibd | 0.7% |
| COMMONWEALTH FINANCIAL NETWORK | 3 | Sep 9, 2021 | Sep 8, 2021 | ROCKVILLE, MD | Team lift out | Ibd to ibd | 1.0% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| INDEPENDENT FINANCIAL GROUP, LLC | 2 | Mar 8, 2023 | Mar 7, 2023 | PASO ROBLES, CA | Team lift out | Ibd to ibd | 0.5% |
| WOODBURY FINANCIAL SERVICES, INC. | 2 | Feb 13, 2023 | Feb 16, 2023 | BELLEVUE, WA | Team lift out | Ibd to ibd | 0.2% |
| LPL FINANCIAL LLC | 2 | Oct 26, 2022 | Oct 18, 2022 | TOWACO, NJ | Team lift out | RIA to ibd | 0.0% |
| VALIC FINANCIAL ADVISORS, INC. | 2 | May 19, 2022 | May 13, 2022 | ADDISON, TX | Team lift out | Ibd to ibd | 0.2% |
| ANNEX WEALTH MANAGEMENT, LLC | 3 | Apr 30, 2019 | Apr 1, 2021 | BROOKFIELD, WI | Team lift out | RIA to ibd | 9.4% |