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CRD 155649
WESTWOOD, NJ
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 |
|---|---|---|---|---|---|---|
| THOMAS ANTHONY ORECCHIO | Certified Financial Planner|Chartered Financial Consultant|Chartered Financial Analyst | WESTWOOD, NJ | 15 | 35 | 1 | no |
| ROBERT JAMES DOWLING | Certified Financial Planner | WESTWOOD, NJ | 15 | 29 | 3 | no |
| WILLIAM EMERSON HOUCK | Certified Financial Planner|Chartered Financial Consultant | WESTWOOD, NJ | 15 | 27 | 4 | no |
| ADAM JOSEPH LEONE | Certified Financial Planner|Chartered Financial Consultant | WESTWOOD, NJ | 15 | 17 | 1 | no |
| GEORGE THOMAS PADULA | Certified Financial Planner|Chartered Financial Analyst | BOSTON, MA | 15 | 28 | 2 | no |
| MARK ANTHONY WILLOUGHBY | Certified Financial Planner|Chartered Financial Analyst | ATLANTA, GA | 15 | 24 | 2 | no |
| KELLY ANN HENNING | Certified Financial Planner | WESTWOOD, NJ | 12 | 12 | n/a | no |
| JOHN JOSEPH CEPARANO | Certified Financial Planner|Personal Financial Specialist | INVERNESS, FL | 12 | 32 | 3 | no |
| CHRISTOPHER CORY WHITE | Certified Financial Planner | Boston, MA | 12 | 14 | 1 | no |
| PETER JOHN SOMICH | Certified Financial Planner|Chartered Financial Analyst | BOSTON, MA | 11 | 12 | n/a | no |
| BRIAN K SCHIESS | Certified Financial Planner | WESTWOOD, NJ | 10 | 12 | n/a | no |
| MICHAEL DAVID GIBNEY | Certified Financial Planner | NEW YORK CITY, NY | 10 | 26 | 2 | no |
| BARRY HOWARD KAPLAN | Certified Financial Planner | ATLANTA, GA | 9 | 22 | 1 | no |
| RYAN LEE POPE | Certified Financial Planner | ATLANTA, GA | 8 | 16 | 2 | no |
| BRETT VAUGHN CALDWELL | Certified Financial Planner | Bountiful, UT | 8 | 12 | 2 | no |
| TANA L FLORES | n/a | Atlanta, GA | WESTWOOD, NJ | 8 | 18 | n/a | no |
| PETER JAMES MCKENNA | Certified Financial Planner | WESTWOOD, NJ | 8 | 14 | 1 | no |
| JONIE MARIE PARKS | Certified Financial Planner | CHARLOTTE, NC | 8 | 33 | 1 | no |
| JACOB EVAN BURLESON | Certified Financial Planner | WESTWOOD, NJ | Atlanta, GA | 7 | 11 | n/a | no |
| STEPHANIE HELEN SPIES | Certified Financial Planner | New Providence, NJ | WESTWOOD, NJ | 7 | 10 | n/a | no |
| VICTORIA MARY TEJEDA | Certified Financial Planner | BOSTON, MA | 7 | 10 | n/a | no |
| DINA MEGRETSKAIA | Certified Financial Planner | BOSTON, MA | 7 | 10 | 1 | no |
| THOMAS EDWARD KENNEDY | Chartered Financial Analyst | BOSTON, MA | 6 | 11 | 1 | no |
| MELISSA J BOYER | Certified Financial Planner | CHARLOTTE, NC | 6 | 25 | 3 | no |
| ERICA JANE YOUNT | Certified Financial Planner|Chartered Financial Analyst | CHARLOTTE, NC | 6 | 10 | 1 | no |
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| MODERA ALTERNATIVE INVESTMENTS, L.P. | Private Equity Fund | $135,045 | Jan 25, 2021 | 51 | Mar 29, 2012 | dropped | 021-67553 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| CEPARANO, JOHN, JOSEPH | ELECTED MANAGER | Na | yes | 05/2018 | Sep 14, 2026 | Sep 14, 2026 |
| DAYS, THERESA, APRUZZESE | CHIEF COMPLIANCE OFFICER AND PRINCIPAL | Na | yes | 01/2019 | Sep 14, 2026 | Sep 14, 2026 |
| DERGARABEDIAN, SARAH, DUFFELL | ELECTED MANAGER | Na | yes | 05/2025 | Sep 14, 2026 | Sep 14, 2026 |
| FAD, REGAN, DARBY | CHIEF LEGAL OFFICER | Na | yes | 10/2023 | Sep 14, 2026 | Sep 14, 2026 |
| Kapoor, Shelly | CHIEF OPERATING OFFICER | Na | yes | 06/2026 | Sep 14, 2026 | Sep 14, 2026 |
| Kipp, James, Peter | CHIEF FINANCIAL OFFICER | Na | yes | 01/2026 | Sep 14, 2026 | Sep 14, 2026 |
| MALLIK, GAURAV | CHIEF INVESTMENT OFFICER | Na | yes | 06/2026 | Sep 14, 2026 | Sep 14, 2026 |
| MCCUINE, JOSEPH, EDWARD | President | Na | yes | 01/2026 | Sep 14, 2026 | Sep 14, 2026 |
| MODERA CAPITAL, INC. | Member | C | yes | 11/2010 | Sep 14, 2026 | Sep 14, 2026 |
| ORECCHIO, THOMAS, ANTHONY | ELECTED MANAGER AND CHIEF EXECUTIVE OFFICER | Na | yes | 11/2010 | Sep 14, 2026 | Sep 14, 2026 |
| PADULA, GEORGE, THOMAS | ELECTED MANAGER | Na | yes | 01/2022 | Sep 14, 2026 | Sep 14, 2026 |
| RUNYEN, PATRICK, DENNIS | ELECTED MANAGER | Na | yes | 05/2025 | Sep 14, 2026 | Sep 14, 2026 |
| WILLOUGHBY, MARK, ANTHONY | ELECTED MANAGER | Na | yes | 01/2024 | Sep 14, 2026 | Sep 14, 2026 |
| ZIEMER, MICHAEL, JOHN | ELECTED MANAGER | Na | yes | 05/2025 | Sep 14, 2026 | Sep 14, 2026 |
| BHARCAP PARTNERS II, LP | Member | E | yes | 05/2024 | Oct 28, 2024 | Dec 4, 2024 |
| BHARCAP PARTNERS, LLC | Manager | F | yes | 12/2023 | Oct 28, 2024 | Dec 4, 2024 |
| HENNING, KELLY, ANN | ELECTED MANAGER | Na | yes | 01/2022 | Jan 12, 2022 | Dec 4, 2024 |
| MANSKE, RICHARD, DALE | APPOINTED MANAGER | Na | yes | 04/2023 | May 24, 2023 | Dec 4, 2024 |
| ORECCHIO, THOMAS, ANTHONY | Shareholder | C | yes | 03/2000 | Mar 29, 2012 | Dec 4, 2024 |
| PALME, HARLI, LYNN | APPOINTED MANAGER, CHIEF OPERATING OFFICER | Na | yes | 04/2023 | May 24, 2023 | Dec 4, 2024 |
| ROBINS, BENJAMIN, JOHN | APPOINTED MANAGER | Na | no | 05/2023 | Sep 14, 2026 | Sep 14, 2026 |
| TCP FUND II, LLC | Member | B | no | 09/2024 | Sep 14, 2026 | Sep 14, 2026 |
| TRIA ASSET HOLDINGS A, LLC | Member | B | no | 12/2020 | Sep 14, 2026 | Sep 14, 2026 |
| TRIA ASSET HOLDINGS C, LLC | Member | B | no | 04/2023 | Sep 14, 2026 | Sep 14, 2026 |
| TRIA ASSET HOLDINGS F, LLC | Member | A | no | 09/2024 | Sep 14, 2026 | Sep 14, 2026 |
| WANG, ETHAN, JAY | APPOINTED MANAGER | Na | no | 05/2023 | Sep 14, 2026 | Sep 14, 2026 |
| CORTEZ, STEVEN, EDWARD | Member | C | no | 09/2021 | Jun 2, 2023 | Dec 4, 2024 |
| KANNER, YVONNE, NADINNE | Member | C | no | 09/2021 | Jun 2, 2023 | Dec 4, 2024 |
| ROBINS, BENJAMIN, JOHN | Member | C | no | 09/2021 | Jun 2, 2023 | Dec 4, 2024 |
| TRIA CAPITAL PARTNERS ASSETCO, LLC | Member | E | no | 04/2023 | Jun 2, 2023 | Dec 4, 2024 |
| TRIA CAPITAL PARTNERS ASSETCO, LLC | Member | E | no | 12/2020 | Jun 2, 2023 | Dec 4, 2024 |
| TRIA CAPITAL PARTNERS ASSETCO, LLC | Member | E | no | 09/2024 | Jun 2, 2023 | Dec 4, 2024 |
| TRIA CAPITAL PARTNERS HOLDINGS, LLC | Member | E | no | 09/2021 | Jun 2, 2023 | Dec 4, 2024 |
| TRIA CAPITAL PARTNERS, LLC | Member | E | no | 09/2021 | Jun 2, 2023 | Dec 4, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| ANDREW SMALL | n/a | n/a | n/a | Y | no | n/a |
| BETH DOWNER | n/a | n/a | n/a | Y | no | n/a |
| BRADFORD D BURLINGHAM | n/a | n/a | n/a | Y | no | n/a |
| MOLLIE SWANN | n/a | n/a | n/a | Y | no | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Asheville | Nc | United States | 15 | no |
| Boston | Ma | United States | 12 | no |
| Atlanta | Ga | United States | 8 | no |
| Charlotte | Nc | United States | 8 | no |
| Wayne | Pa | United States | 7 | no |
| Charlotte | Nc | United States | 6 | no |
| Mclean | Va | United States | 6 | no |
| Annapolis | Md | United States | 4 | no |
| NEW YORK | NY | United States | 4 | no |
| Inverness | FL | United States | 3 | no |
| NEW PROVIDENCE | Nj | United States | 3 | no |
| Westwood | Ma | United States | 2 | no |
| Asheville | Nc | United States | 2 | no |
| Tryon | Nc | United States | 2 | no |
| WINSTON-SALEM | Nc | United States | 2 | no |
| Allentown | Pa | United States | 2 | no |
| SOUTHERN PINES | Nc | United States | 1 | no |
| n/a | n/a | n/a | 1 | no |
| Sarasota | FL | United States | 0 | no |
| ST. PETERSBURG | FL | United States | 0 | no |
| Stevensville | Md | United States | 0 | no |
| RYE BROOK | NY | United States | 0 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 18, 2026 | $18B | $17B | 238 | 106 | 30 | n/a | n/a |
| 2024 | Mar 24, 2025 | $16B | $15B | 219 | 113 | 29 | n/a | n/a |
| 2023 | Mar 26, 2024 | $13B | $12B | 200 | 100 | 20 | n/a | n/a |
| 2022 | Mar 17, 2023 | $6.8B | $6.8B | 111 | 64 | 11 | n/a | n/a |
| 2021 | Mar 30, 2022 | $7.0B | $6.9B | 87 | 51 | 10 | n/a | n/a |
| 2020 | Mar 30, 2021 | $5.0B | $4.9B | 81 | 52 | 6 | n/a | n/a |
| 2019 | Mar 11, 2020 | $2.7B | $2.7B | 64 | 37 | 5 | 1 | $135,045 |
| 2018 | Mar 8, 2019 | $2.4B | $2.4B | 69 | 39 | 4 | 1 | $482,702 |
| 2017 | Mar 28, 2018 | $2.4B | $2.4B | 54 | 30 | 6 | 1 | $4.0M |
| 2016 | Mar 30, 2017 | $2.1B | $2.1B | 56 | 31 | n/a | 1 | $6.8M |
| 2015 | Mar 25, 2016 | $1.6B | $1.6B | 45 | 25 | n/a | 1 | $10.2M |
| 2014 | Mar 30, 2015 | $1.6B | $1.5B | 42 | 24 | n/a | 1 | $16.0M |
| 2013 | Mar 27, 2014 | $1.3B | $1.2B | 34 | 20 | n/a | 1 | $20.5M |
| 2012 | Mar 27, 2013 | $1.1B | $1.1B | 30 | 19 | n/a | 1 | $24.6M |
| 2011 | Mar 29, 2012 | $982M | $952M | n/a | n/a | n/a | 1 | $26.8M |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 27 | 9 | 18 | 6.7% | 12 | 0 | 0 | 41 | 15 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $18B | $16B | 14.0% | $6.8B | 37.5% | 238 | 219 | 30 | 29 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| NORTHSTAR FINANCIAL PLANNERS, INC. | 3 | Jul 10, 2026 | Jul 13, 2026 | PLANTATION, FL | Firm absorbed | RIA to RIA | 100.0% |
| BAY POINT WEALTH | 4 | Nov 21, 2024 | Nov 21, 2024 | STEVENSVILLE, MD | Firm absorbed | RIA to RIA | 100.0% |
| BALDRIGE ASSET MANAGEMENT | 2 | Jun 30, 2023 | Jul 3, 2023 | ALLENTOWN, PA | Team lift out | RIA to RIA | 100.0% |
| BERNHARDT WEALTH MANAGEMENT, INC. | 4 | Nov 30, 2022 | Nov 17, 2022 | MCLEAN, VA | Firm absorbed | RIA to RIA | 100.0% |
| GREYSTONE WEALTH ADVISORS LLC | 2 | Jan 3, 2022 | Jan 3, 2022 | RYE, NY | Team lift out | RIA to RIA | 100.0% |
| INDEPENDENCE ADVISORS, LLC | 10 | Jan 4, 2021 | Jan 5, 2021 | WAYNE, PA | Firm absorbed | RIA to RIA | 100.0% |
| KEATLEY WEALTH MANAGEMENT, LLC | 2 | Dec 31, 2019 | Jan 2, 2020 | CHARLOTTE, NC | Team lift out | RIA to RIA | 100.0% |
| MATRIX WEALTH ADVISORS, INC. | 3 | Jul 2, 2018 | Jul 2, 2018 | MONROE, NC | Firm absorbed | RIA to RIA | 100.0% |
| CAMBRIDGE WEALTH COUNSEL | 3 | Feb 28, 2017 | Jan 5, 2017 | ATLANTA, GA | Firm absorbed | Other | 100.0% |