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CRD 104753
ST PAUL, MN
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 |
|---|---|---|---|---|---|---|
| CHRISTIAN AUDREY NIELSEN | Chartered Financial Analyst | ST PAUL, MN | 12 | 15 | n/a | no |
| JOHN H. OBERG | Certified Financial Planner | ST PAUL, MN | 12 | 34 | n/a | no |
| ELIZABETH B. VAN HOEVER | Certified Financial Planner | ST PAUL, MN | 12 | 29 | n/a | no |
| JEFFREY R. TOLZIN | Certified Financial Planner | ST PAUL, MN | 12 | 37 | n/a | no |
| THOMAS W. WALSH | Certified Financial Planner | ST PAUL, MN | 9 | 35 | n/a | no |
| JOHN JOSEPH KEOLKER | Certified Financial Planner | TACOMA, WA | ST PAUL, MN | 8 | 22 | 2 | no |
| MEAGHAN E BRASSEY | Certified Financial Planner | ST PAUL, MN | TACOMA, WA | 8 | 11 | n/a | no |
| ADAM J TLUSTY | n/a | ST PAUL, MN | 8 | 19 | n/a | no |
| LIDDY MARIE ACHTER | n/a | ST PAUL, MN | 5 | 21 | 1 | no |
| ANDREW EDWARD LANG | Chartered Financial Analyst | ST PAUL, MN | 5 | 22 | n/a | no |
| ISAAC BLAINE DAUGHERTY | n/a | ST PAUL, MN | 5 | 10 | n/a | no |
| SEAN PATRICK DEICHERT | Certified Financial Planner | ST PAUL, MN | 4 | 15 | 2 | no |
| Jaclyn Steiger Roof | Certified Financial Planner | TACOMA, WA | ST PAUL, MN | 4 | 10 | 1 | no |
| Devon Mikala Sandhu | Chartered Financial Analyst | ST PAUL, MN | 2 | 10 | n/a | no |
| MICHAEL PATRICK CLANCEY | Chartered Financial Analyst | ST PAUL, MN | 1 | 18 | n/a | no |
| Patrick Daniel Carotenuto | Certified Financial Planner | ST PAUL, MN | 1 | 10 | n/a | no |
| LAURA W NEAL | n/a | ST PAUL, MN | 0 | 12 | 2 | no |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| BURNS, ANN, BARRY | Director | Na | yes | 08/2008 | Mar 17, 2026 | Mar 17, 2026 |
| CASSIOPEIA HOLDINGS COMPANY | Shareholder | E | yes | 04/2023 | Mar 17, 2026 | Mar 17, 2026 |
| CASTELLANO, JAMES, GUY | Director | Na | yes | 03/2012 | Mar 17, 2026 | Mar 17, 2026 |
| CLIFFORD, SHARI, LYNN | CHIEF FINANCIAL OFFICER CHIEF OPERATIONS OFFICER | Na | yes | 02/2014 | Mar 17, 2026 | Mar 17, 2026 |
| FIELDS, AMY, G | Director | Na | yes | 12/2023 | Mar 17, 2026 | Mar 17, 2026 |
| ISABEL, SARAH, G | PRESIDENT, CHIEF EXECUTIVE OFFICER AND DIRECTOR | Na | yes | 07/2025 | Mar 17, 2026 | Mar 17, 2026 |
| LANG, ANDREW, EDWARD | CHIEF INVESTMENT OFFICER | Na | yes | 04/2022 | Mar 17, 2026 | Mar 17, 2026 |
| SOMMERS, JOEL, ALAN | DIRECTOR - ESTATE, TRUST & LEGAL | Na | yes | 09/2025 | Mar 17, 2026 | Mar 17, 2026 |
| WEINSTEIN, STEVEN, BARRY | Director | Na | yes | 12/2011 | Mar 17, 2026 | Mar 17, 2026 |
| FIDUCIARY SERVICES COMPANY, LLC | Trustee | F | yes | 04/2023 | May 1, 2023 | Mar 12, 2024 |
| GREINER-QUIETT, ELIZABETH, ANN | CHIEF OPERATIONS OFFICER | Na | yes | 10/2014 | Jan 9, 2017 | Mar 12, 2024 |
| LINEBERRY, DOUGLAS, JAY | CHIEF TRUST OFFICER | Na | yes | 04/2022 | Apr 18, 2022 | Mar 12, 2024 |
| MCKINLEY, MARY, JULIE | PRESIDENT, CHIEF EXECUTIVE OFFICER AND DIRECTOR | Na | yes | 02/2011 | Mar 30, 2012 | Mar 12, 2024 |
| TIES THAT BIND PURPOSE TRUST | Shareholder | E | yes | 04/2023 | May 1, 2023 | Mar 12, 2024 |
| MITCHELL, JASON, KEITH | CHIEF COMPLIANCE OFFICER | Na | no | 03/2021 | Mar 25, 2021 | Mar 12, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| FIDUCIARY SERVICES COMPANY, LLC | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Tacoma | Wa | United States | 4 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 17, 2026 | $10B | $4.4B | 87 | 18 | 1 | n/a | n/a |
| 2024 | Mar 5, 2025 | $9.5B | $4.0B | 91 | 18 | 1 | n/a | n/a |
| 2023 | Mar 12, 2024 | $9.5B | $3.7B | 88 | 18 | 1 | n/a | n/a |
| 2022 | Mar 10, 2023 | $12B | $3.3B | 84 | 17 | 1 | n/a | n/a |
| 2021 | Mar 22, 2022 | $11B | $4.3B | 78 | 17 | 1 | n/a | n/a |
| 2020 | Mar 25, 2021 | $9.1B | $3.4B | 76 | 17 | 1 | n/a | n/a |
| 2019 | Mar 16, 2020 | $7.7B | $3.0B | 74 | 15 | 1 | n/a | n/a |
| 2018 | Mar 15, 2019 | $5.8B | $2.5B | 74 | 15 | 1 | n/a | n/a |
| 2017 | Mar 23, 2018 | $5.6B | $2.9B | 71 | 13 | 1 | n/a | n/a |
| 2016 | Mar 24, 2017 | $4.8B | $2.4B | 73 | 12 | n/a | n/a | n/a |
| 2015 | Mar 28, 2016 | $4.6B | $2.4B | 72 | 6 | n/a | n/a | n/a |
| 2014 | Mar 31, 2015 | $4.8B | $2.5B | 74 | 6 | n/a | n/a | n/a |
| 2013 | Mar 28, 2014 | $4.6B | $2.2B | 74 | 5 | n/a | n/a | n/a |
| 2012 | Mar 28, 2013 | $5.0B | $2.0B | 72 | 5 | n/a | n/a | n/a |
| 2011 | Mar 30, 2012 | $3.7B | $1.7B | n/a | n/a | 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 |
|---|---|---|---|---|---|---|---|---|
| 1 | 0 | 1 | 0.0% | 1 | 0 | 0 | 1 | 0 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $10B | $9.5B | 5.8% | $12B | -4.5% | 87 | 91 | 1 | 1 |