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AVANTAX ADVISORY SERVICES, INC., CRD 104556
DALLAS, TX
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 |
|---|---|---|---|---|---|---|
| ARETEC GROUP, INC. | SOLE SHAREHOLDER | E | yes | 11/2023 | Mar 28, 2024 | Oct 22, 2024 |
| AVANTAX HOLDINGS, LLC | Shareholder | E | yes | 10/2022 | Nov 16, 2022 | Oct 22, 2024 |
| AVANTAX WEALTH MANAGEMENT, INC. | Shareholder | E | yes | 12/1986 | Feb 27, 2020 | Oct 22, 2024 |
| AVANTAX WM HOLDINGS, INC. | SOLE SHAREHOLDER | E | yes | 10/2011 | Sep 14, 2020 | Oct 22, 2024 |
| AVANTAX, INC. | Shareholder | E | yes | 10/2022 | Feb 2, 2023 | Oct 22, 2024 |
| BREGOZZO, MATTHEW, GREGORY | CHIEF COMPLIANCE OFFICER | Na | yes | 04/2024 | Apr 16, 2024 | Oct 22, 2024 |
| Chaffin, Gary, Lynn | TAX OFFICER | Na | yes | 01/2024 | Mar 28, 2024 | Oct 22, 2024 |
| FRIES, MATTHEW, NEIL KALANI | VICE PRESIDENT | Na | yes | 10/2024 | Oct 22, 2024 | Oct 22, 2024 |
| GC THREE HOLDINGS, INC. | SOLE SHAREHOLDER | E | yes | 11/2023 | Dec 26, 2023 | Oct 22, 2024 |
| GC TWO HOLDINGS, INC. | SOLE SHAREHOLDER | E | yes | 11/2023 | Mar 28, 2024 | Oct 22, 2024 |
| GC TWO INTERMEDIATE HOLDINGS, INC. | SOLE SHAREHOLDER | E | yes | 11/2023 | Dec 26, 2023 | Oct 22, 2024 |
| GOK, LISA, ANNE | CO-SECRETARY | Na | yes | 01/2024 | Mar 28, 2024 | Oct 22, 2024 |
| Gooley, Thomas, Andrew | CHIEF OPERATIONS OFFICER | Na | yes | 01/2024 | Mar 28, 2024 | Oct 22, 2024 |
| LEE, WINNIE, AI-LING | ASSISTANT SECRETARY | Na | yes | 01/2024 | Mar 28, 2024 | Oct 22, 2024 |
| Mackay, Todd, Christopher | VICE PRESIDENT | Na | yes | 10/2024 | Jan 3, 2019 | Oct 22, 2024 |
| NEARY, JOSEPH, DANIEL | VICE PRESIDENT | Na | yes | 01/2024 | Mar 28, 2024 | Oct 22, 2024 |
| PROJECT BASEBALL SUB, INC. | Shareholder | E | yes | 12/2015 | Jan 19, 2016 | Oct 22, 2024 |
| SHORES, ALLAN, KEITH | CO-TREASURER | Na | yes | 01/2024 | Mar 28, 2024 | Oct 22, 2024 |
| Van Havermaat, David, James | ASSISTANT SECRETARY | Na | yes | 01/2024 | Mar 28, 2024 | Oct 22, 2024 |
| WATTS, ANDREW, DAVID | PRESIDENT & CO-SECRETARY | Na | yes | 10/2024 | May 12, 2020 | Oct 22, 2024 |
| 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 |
| AVANTAX PLANNING PARTNERS, INC. | n/a | Bd affiliated wealth | $7.6B | N | yes | n/a |
| THE RETIREMENT PLANNING GROUP, LLC | n/a | Independent wealth | $4.2B | 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 |
| AVANTAX INSURANCE AGENCY, LLC | n/a | n/a | n/a | N | yes | n/a |
| AVANTAX INSURANCE SERVICES, INC. | n/a | n/a | n/a | N | yes | n/a |
| AVANTAX INVESTMENT SERVICES, 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 |
| CETERA TRUST COMPANY, N.A. | n/a | n/a | n/a | N | yes | n/a |
| FASI INSURANCE SERVICES, INC. | 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, INC. | n/a | n/a | n/a | N | yes | n/a |
| NFG BROKERAGE, LLC | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| MOUNT ARLINGTON | Nj | United States | 52 | yes |
| Eugene | Or | United States | 39 | yes |
| Rochester | NY | United States | 38 | yes |
| Lafayette | La | United States | 30 | yes |
| SOUTH MILWAUKEE | Wi | United States | 28 | yes |
| Raleigh | Nc | United States | 25 | yes |
| Holland | Pa | United States | 24 | yes |
| Baytown | TX | United States | 24 | yes |
| ORLAND PARK | IL | United States | 23 | yes |
| Coldwater | Oh | United States | 23 | yes |
| ELK GROVE | IL | United States | 22 | yes |
| FORT SMITH | Ar | United States | 21 | yes |
| WALL TOWNSHIP | Nj | United States | 21 | yes |
| Celina | Oh | United States | 21 | yes |
| Atlanta | Ga | United States | 20 | yes |
| Buffalo | NY | United States | 20 | yes |
| Cleveland | Oh | United States | 20 | yes |
| Wenatchee | Wa | United States | 20 | yes |
| Surprise | Az | United States | 18 | yes |
| Indianapolis | In | United States | 18 | yes |
| Celina | Oh | United States | 18 | yes |
| MOUNT PLEASANT | Sc | United States | 18 | yes |
| CARSON CITY | Nv | United States | 17 | yes |
| SIOUX FALLS | Sd | United States | 17 | yes |
| Beaumont | TX | United States | 8 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2024 | Mar 31, 2025 | $46B | $38B | 2,278 | 2,278 | 1,923 | n/a | n/a |
| 2023 | Mar 28, 2024 | $42B | $34B | 2,478 | 2,478 | 1,580 | n/a | n/a |
| 2022 | Mar 30, 2023 | $31B | $23B | 2,433 | 2,433 | 1,514 | n/a | n/a |
| 2021 | Mar 30, 2022 | $34B | $25B | 2,488 | 2,488 | 1,710 | n/a | n/a |
| 2020 | Mar 29, 2021 | $30B | $19B | 2,564 | 2,564 | 1,710 | n/a | n/a |
| 2019 | Mar 30, 2020 | $26B | $16B | 2,488 | 2,488 | 1,733 | n/a | n/a |
| 2018 | Mar 29, 2019 | $13B | $5.5B | 1,982 | 1,982 | 1,733 | n/a | n/a |
| 2017 | Mar 30, 2018 | $13B | $5.5B | 7,786 | 2,057 | 1,850 | n/a | n/a |
| 2016 | Mar 31, 2017 | $11B | $4.7B | 2,238 | 2,238 | n/a | n/a | n/a |
| 2015 | Feb 9, 2016 | $9.2B | $3.6B | 2,160 | 2,160 | n/a | n/a | n/a |
| 2014 | Mar 30, 2015 | $9.9B | $3.7B | 2,061 | 2,061 | n/a | n/a | n/a |
| 2013 | Mar 27, 2014 | $8.7B | $2.8B | 1,992 | 1,992 | n/a | n/a | n/a |
| 2012 | Apr 1, 2013 | $7.0B | $1.7B | 1,962 | 1,962 | n/a | n/a | n/a |
| 2011 | Mar 29, 2012 | $5.9B | $1.3B | n/a | n/a | n/a | n/a | n/a |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2024 | $46B | $42B | 10.6% | $34B | 10.3% | 2,278 | 2,478 | 1,923 | 1,580 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| AVANTAX PLANNING PARTNERS, INC. | 2 | Sep 5, 2025 | Feb 6, 2024 | ROGERS, AR | Channel change | Ibd to ibd | 0.1% |
| AVANTAX PLANNING PARTNERS, INC. | 12 | Sep 5, 2025 | Dec 16, 2024 | EL SEGUNDO, CA | Channel change | Ibd to ibd | 0.6% |
| AVANTAX PLANNING PARTNERS, INC. | 4 | Sep 5, 2025 | Jul 9, 2024 | PORT SAINT LUCIE, FL | Channel change | Ibd to ibd | 0.2% |
| AVANTAX PLANNING PARTNERS, INC. | 2 | Sep 5, 2025 | Nov 8, 2024 | MARIETTA, GA | Channel change | Ibd to ibd | 0.1% |
| AVANTAX PLANNING PARTNERS, INC. | 3 | Sep 5, 2025 | May 12, 2025 | DUBUQUE, IA | Channel change | Ibd to ibd | 0.1% |
| AVANTAX PLANNING PARTNERS, INC. | 3 | Sep 5, 2025 | May 15, 2025 | INDIANAPOLIS, IN | Channel change | Ibd to ibd | 0.1% |
| AVANTAX PLANNING PARTNERS, INC. | 2 | Sep 5, 2025 | Aug 18, 2022 | SOMERSET, KY | Channel change | Ibd to ibd | 0.1% |
| AVANTAX PLANNING PARTNERS, INC. | 2 | Sep 5, 2025 | Jan 5, 2024 | SALINE, MI | Channel change | Ibd to ibd | 0.1% |
| AVANTAX PLANNING PARTNERS, INC. | 3 | Sep 5, 2025 | Jul 5, 2024 | SAINT PAUL, MN | Channel change | Ibd to ibd | 0.1% |
| AVANTAX PLANNING PARTNERS, INC. | 6 | Sep 5, 2025 | Jan 29, 2025 | PARSIPPANY, NJ | Channel change | Ibd to ibd | 0.3% |
| AVANTAX PLANNING PARTNERS, INC. | 4 | Sep 5, 2025 | Apr 23, 2025 | STATEN ISLAND, NY | Channel change | Ibd to ibd | 0.2% |
| AVANTAX PLANNING PARTNERS, INC. | 18 | Sep 5, 2025 | Aug 12, 2025 | DALLAS, TX | Channel change | Ibd to ibd | 0.8% |
| MEADEN & MOORE FINANCIAL SERVICES, LTD. | 2 | Sep 5, 2025 | Jul 28, 2021 | CLEVELAND, OH | Team lift out | Other | 0.1% |
| DAVIE KAPLAN WEALTH CARE ADVISORS, LLC | 4 | Sep 5, 2025 | Aug 22, 2025 | ROCHESTER, NY | Team lift out | Ibd to state RIA | 0.2% |
| RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | 3 | Sep 3, 2025 | Sep 3, 2025 | BATON ROUGE, LA | Team lift out | Ibd to ibd | 0.1% |
| FORUM FINANCIAL MANAGEMENT, LP | 2 | Jul 2, 2025 | Jul 7, 2025 | HIGH POINT, NC | Team lift out | Ibd to RIA | 0.1% |
| MARINER WEALTH | 3 | Jun 20, 2025 | Jun 27, 2025 | TULSA, OK | Team lift out | Other | 0.1% |
| LPL FINANCIAL LLC | 6 | Jun 9, 2025 | Jun 4, 2025 | CINCINNATI, OH | Team lift out | Ibd to ibd | 0.3% |
| LPL FINANCIAL LLC | 2 | Jun 9, 2025 | Jun 4, 2025 | DALLAS, TX | Team lift out | Ibd to ibd | 0.1% |
| LPL FINANCIAL LLC | 2 | Nov 29, 2024 | Nov 21, 2024 | JACKSON, MI | Team lift out | Ibd to ibd | 0.1% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| DKCB FINANCIAL ADVISORS, LLC | 2 | Feb 26, 2026 | Oct 24, 2023 | ROCHESTER, NY | Team lift out | Other | 14.3% |
| LEGACY CORNERSTONE WEALTH LLC | 2 | Dec 12, 2025 | Jul 31, 2025 | PEORIA, AZ | Team lift out | RIA to ibd | 40.0% |
| MEADEN & MOORE FINANCIAL SERVICES, LTD. | 2 | Sep 18, 2025 | Oct 25, 2019 | CLEVELAND, OH | Team lift out | Other | 40.0% |
| LPL FINANCIAL LLC | 2 | Jul 30, 2025 | Jul 28, 2025 | MENTOR, OH | Team lift out | Ibd to ibd | 0.0% |
| OSAIC WEALTH, INC. | 2 | Jun 23, 2025 | Jun 18, 2025 | RICHLAND, MS | Team lift out | Ibd to ibd | 0.0% |
| PARK AVENUE SECURITIES LLC | 2 | May 9, 2025 | May 9, 2025 | MELVILLE, NY | Team lift out | Ibd to ibd | 0.1% |
| J.P. MORGAN SECURITIES LLC | 2 | Jan 7, 2025 | Jan 6, 2025 | FRISCO, TX | Team lift out | Wirehouse to ibd | 0.0% |
| LPL FINANCIAL LLC | 3 | Jun 24, 2024 | Jun 24, 2024 | AUGUSTA, GA | Team lift out | Ibd to ibd | 0.0% |
| OSAIC FA, INC. | 2 | May 6, 2024 | May 3, 2024 | EAST AMHERST, NY | Team lift out | Ibd to ibd | 0.2% |
| EDWARD JONES | 2 | Mar 28, 2024 | Mar 25, 2024 | LOCKHART, TX | Team lift out | Ibd to ibd | 0.0% |
| INDEPENDENT FINANCIAL PARTNERS | 2 | Nov 22, 2023 | Nov 2, 2023 | POWELL, OH | Team lift out | Ibd to ibd | 0.9% |
| OSAIC WEALTH, INC. | 3 | Nov 16, 2023 | Nov 16, 2023 | HAUPPAUGE, NY | Team lift out | Ibd to ibd | 0.1% |
| CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | 3 | Oct 11, 2023 | Oct 3, 2023 | MCCORMICK, SC | Team lift out | Ibd to ibd | 0.1% |
| SECURITIES AMERICA ADVISORS, INC. | 2 | Aug 6, 2023 | Aug 1, 2023 | CHEEKTOWAGA, NY | Team lift out | Ibd to ibd | 0.1% |
| INDEPENDENT FINANCIAL GROUP, LLC | 2 | Aug 1, 2023 | Aug 1, 2023 | SAN DIEGO, CA | Team lift out | Ibd to ibd | 0.5% |
| HORAN WEALTH MANAGEMENT | 2 | Jul 19, 2023 | Aug 3, 2023 | CINCINNATI, OH | Team lift out | RIA to ibd | 14.3% |
| SECURITIES AMERICA ADVISORS, INC. | 3 | Jun 26, 2023 | Jun 22, 2023 | SCOTTSDALE, AZ | Team lift out | Ibd to ibd | 0.2% |
| INDEPENDENT FINANCIAL GROUP, LLC | 2 | Mar 22, 2023 | Mar 27, 2023 | LIBERTY CORNER, NJ | Team lift out | Ibd to ibd | 0.5% |
| PK FINANCIAL STRATEGIES, LLC | 3 | Dec 31, 2022 | Oct 25, 2019 | PHOENIX, AZ | Firm absorbed | Other | 75.0% |
| PFG ADVISORS | 2 | Nov 30, 2022 | Dec 1, 2022 | CUPERTINO, CA | Team lift out | RIA to ibd | 2.6% |