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

CHESS FINANCIAL CORP

CRD 106225

BEACHWOOD, OH

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:917aab57-bf50-3a4b-3cdd-bc6db07fbb9d

Data as of Nov 7, 2011 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:58 PM UTC and rebuilt at most every 15 minutes.

Relationships: 18
Dated events: 0
On other graphs: 0
Observed: Nov 7, 2011 to Nov 7, 2011
1 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: $455MItem 5.F on the latest filing (2011-11-07); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
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
Accounts: 645
Custody, client assets: $567M
SEC number: 801-30569
CRD: 106225
Filings on the tape: 1
First filed: Nov 7, 2011
Latest filed: Nov 7, 2011
Organised: Corporation, Ohio

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
ALTHANS, GREGORY, PAUL	SENIOR MANAGING DIRECTOR	Na	yes	08/2010	Nov 7, 2011	Nov 7, 2011
BARTLETT, JAMES, THEODORE	CHAIRMAN OF THE BOARD	Na	yes	12/2001	Nov 7, 2011	Nov 7, 2011
FULTON, DAVID, CAMPBELL	PRESIDENT/CHIEF OPERATING OFFICER	Na	yes	12/2009	Nov 7, 2011	Nov 7, 2011
HARTLAND & CO	Entity	E	yes	10/2011	Nov 7, 2011	Nov 7, 2011
HARTLAND, THOMAS, JAMES	CHIEF EXECUTIVE OFFICER	Na	yes	06/1989	Nov 7, 2011	Nov 7, 2011
HARTLAND, THOMAS, JAMES	CHIEF EXECUTIVE OFFICER	C	yes	06/1989	Nov 7, 2011	Nov 7, 2011
STERRETT, CHRISTINE, CASIMIRA	CHIEF ADMINISTRATION OFFICER	Na	yes	01/2001	Nov 7, 2011	Nov 7, 2011
TIPPIT, CARL, JUSTIN	SENIOR MANAGING DIRECTOR	Na	yes	11/2009	Nov 7, 2011	Nov 7, 2011
TURNER, BRADLEY, EARL	SENIOR MANAGING DIRECTOR, INVESTMENTS/DIRECTOR OF RESEARCH	Na	yes	10/2006	Nov 7, 2011	Nov 7, 2011
WALTER, F., CARL	VICE -CHAIRMAN OF THE BOARD	Na	yes	10/2011	Nov 7, 2011	Nov 7, 2011
WOLKEN, STEVEN, FRANCIS	CHIEF COMPLIANCE OFFICER	Na	yes	06/2008	Nov 7, 2011	Nov 7, 2011

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
HARTLAND & CO	n/a	Independent wealth	$34B	n/a	n/a	n/a

Relationships

Affiliated with (1)

→ CLEARSTEAD; CLEARSTEAD ADVISORY SOLUTIONSRegistered adviserother investment adviser
factForm ADV

Controls (10)

← HARTLAND & COOwnerENTITY, ownership code E, domestic entity
Nov 7, 2011 to presentfactForm ADV
← ALTHANS, GREGORY, PAULOwnerSENIOR MANAGING DIRECTOR, ownership code NA, individual
Nov 7, 2011 to presentfactForm ADV
← TURNER, BRADLEY, EARLOwnerSENIOR MANAGING DIRECTOR, INVESTMENTS/DIRECTOR OF RESEARCH, ownership code NA, individual
Nov 7, 2011 to presentfactForm ADV
← FULTON, DAVID, CAMPBELLOwnerPRESIDENT/CHIEF OPERATING OFFICER, ownership code NA, individual
Nov 7, 2011 to presentfactForm ADV
← WALTER, F., CARLOwnerVICE -CHAIRMAN OF THE BOARD, ownership code NA, individual
Nov 7, 2011 to presentfactForm ADV
← TIPPIT, CARL, JUSTINOwnerSENIOR MANAGING DIRECTOR, ownership code NA, individual
Nov 7, 2011 to presentfactForm ADV
← BARTLETT, JAMES, THEODOREOwnerCHAIRMAN OF THE BOARD, ownership code NA, individual
Nov 7, 2011 to presentfactForm ADV
← STERRETT, CHRISTINE, CASIMIRAOwnerCHIEF ADMINISTRATION OFFICER, ownership code NA, individual
Nov 7, 2011 to presentfactForm ADV
← WOLKEN, STEVEN, FRANCISOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Nov 7, 2011 to presentfactForm ADV
← HARTLAND, THOMAS, JAMESOwnerCHIEF EXECUTIVE OFFICER, ownership code C, individual
Nov 7, 2011 to presentfactForm ADV

Registered with (6)

← BRADLEY EARL TURNERAdvisorregistration: previous registration
May 15, 2006 to Mar 30, 2012factForm ADV
← JOHN (NMN) MARINOAdvisorregistration: previous registration
Jan 7, 2005 to Mar 30, 2012factForm ADV
← MICHAEL STEPHEN DEARDENAdvisorregistration: previous registration
Jan 2, 2008 to Mar 30, 2012factForm ADV
← STEVEN FRANCIS WOLKENAdvisorregistration: previous registration
May 1, 2007 to Mar 30, 2012factForm ADV
← ANDREW JACOB RIFFLEAdvisorregistration: previous registration
Dec 7, 2007 to Nov 12, 2008factForm ADV
← MICHAEL THOMAS NOVAKAdvisorregistration: previous registration
Jan 7, 2005 to Feb 27, 2007factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:917aab57-bf50-3a4b-3cdd-bc6db07fbb9d
First observed: Nov 7, 2011
Last observed: Nov 7, 2011 181 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.

CHESS FINANCIAL CORP

CRD 106225

BEACHWOOD, OH

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:917aab57-bf50-3a4b-3cdd-bc6db07fbb9d

Data as of Nov 7, 2011 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:58 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ALTHANS, GREGORY, PAUL

SENIOR MANAGING DIRECTOR

yes

08/2010

Nov 7, 2011

BARTLETT, JAMES, THEODORE

CHAIRMAN OF THE BOARD

yes

12/2001

Nov 7, 2011

FULTON, DAVID, CAMPBELL

PRESIDENT/CHIEF OPERATING OFFICER

yes

12/2009

Nov 7, 2011

HARTLAND & CO

Entity

yes

10/2011

Nov 7, 2011

HARTLAND, THOMAS, JAMES

CHIEF EXECUTIVE OFFICER

yes

06/1989

Nov 7, 2011

HARTLAND, THOMAS, JAMES

CHIEF EXECUTIVE OFFICER

yes

06/1989

Nov 7, 2011

STERRETT, CHRISTINE, CASIMIRA

CHIEF ADMINISTRATION OFFICER

yes

01/2001

Nov 7, 2011

TIPPIT, CARL, JUSTIN

SENIOR MANAGING DIRECTOR

yes

11/2009

Nov 7, 2011

TURNER, BRADLEY, EARL

SENIOR MANAGING DIRECTOR, INVESTMENTS/DIRECTOR OF RESEARCH

yes

10/2006

Nov 7, 2011

WALTER, F., CARL

VICE -CHAIRMAN OF THE BOARD

yes

10/2011

Nov 7, 2011

WOLKEN, STEVEN, FRANCIS

CHIEF COMPLIANCE OFFICER

yes

06/2008

Nov 7, 2011

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

HARTLAND & CO

n/a

Independent wealth

$34B

n/a