DFX Intelligence

Data Factory

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

MID ATLANTIC FINANCIAL MANAGEMENT, INC.

CRD 109771

PITTSBURGH, PA

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:9a549a14-e660-9832-06e1-56931b263163

Data as of Jul 30, 2021 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:25 AM UTC and rebuilt at most every 15 minutes.

Relationships: 189
Dated events: 5
On other graphs: 1
Observed: Mar 29, 2012 to Jul 30, 2021
37 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

Mid Atlantic Financial Management, Inc.

Investment consultant · shared crd

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: $3.4BItem 5.F on the latest filing (2021-07-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $2.8B
Private client RAUM: $2.3BderivedItem 5.D individuals plus high net worth individuals
Private client share: 67%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 96
Advisory employees: 96
Offices: 56Schedule D 1.F, beyond the principal office
Accounts: 9,652
Individual clients: 3,974
High net worth clients: 541
SEC number: 801-21527
CRD: 109771
Filings on the tape: 37
First filed: Mar 29, 2012
Latest filed: Jul 30, 2021
Organised: Corporation, Pennsylvania

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
MID ATLANTIC SECURITIES PARTNERSHIP	Other Private Fund	$5.2M	Sep 28, 2015	22	Mar 29, 2012	dropped	021-127525
SELECT OPPORTUNITY FUND (IN LIQUIDATION)	Other Private Fund	$90,177	Feb 12, 2021	22	Mar 29, 2012	reported	021-129141

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
BANCO, JOSEPH, FRANKLIN	SECTY/TREASUER	Na	yes	02/1997	Mar 29, 2012	Jul 30, 2021
DECK, TENZING, THOMAS	CHIEF COMPLIANCE OFFICER	Na	yes	08/2019	Aug 15, 2019	Jul 30, 2021
DOWN, DAVID, JOHN	President	Na	yes	03/1997	Mar 29, 2012	Jul 30, 2021
EDGECO GUARANTOR, LP	Shareholder	E	yes	10/2020	Nov 1, 2020	Jul 30, 2021
EDGECO HOLDINGS, LP	Shareholder	E	yes	12/2019	Nov 1, 2020	Jul 30, 2021
EDGECO INVESTOR HOLDING, L.P.	Shareholder	E	yes	06/2018	Jun 25, 2018	Jul 30, 2021
EDGECO WEALTH MANAGEMENT GP, LLC	GP	F	yes	02/2020	Nov 1, 2020	Jul 30, 2021
EDGECO WEALTH MANAGEMENT GP, LLC	GP	F	yes	07/2020	Nov 1, 2020	Jul 30, 2021
FONG, SARAH, F	VICE PRESIDENT	Na	yes	05/2004	Mar 29, 2012	Jul 30, 2021
NEW EDGE WEALTH HOLDINGS, L.P.	Shareholder	E	yes	10/2020	Nov 1, 2020	Jul 30, 2021
NEWEDGE CAPITAL GROUP, LLC	MAFM IS WHOLLY OWNED BY EDGECO WEALTH MANAGEMENT, LLC	E	yes	10/2020	Jan 29, 2021	Jul 30, 2021
PARTHENON INVESTORS V, L.P.	Shareholder	D	yes	06/2018	Jun 25, 2018	Jul 30, 2021
PCP AGGREGATOR GP, LLC	GP	F	yes	03/2018	Nov 1, 2020	Jul 30, 2021
SMITH, KYLE, PETER	SENIOR VICE PRESIDENT	Na	yes	01/2005	Mar 29, 2012	Jul 30, 2021
WATERFALL EDEN MASTER FUND, LTD.	Shareholder	C	no	06/2018	Jun 25, 2018	Jul 30, 2021

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
GWM ADVISORS, LLC	n/a	Bd affiliated wealth	$43B	N	yes	n/a
NEWEDGE WEALTH, LLC	n/a	Bd affiliated wealth	$20B	N	yes	n/a
LPA INSURANCE AGENCY, INC.	n/a	n/a	n/a	N	yes	n/a
MID ATLANTIC CAPITAL CORPORATION	n/a	n/a	n/a	N	yes	n/a
MID ATLANTIC CLEARING & SETTLEMENT CORPORATION	n/a	n/a	n/a	N	yes	n/a
MID ATLANTIC TRUST COMPANY	n/a	n/a	n/a	N	yes	Pa

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Exeter	Nh	United States	4	no
Mcmurray	Pa	United States	4	yes
Sarasota	FL	United States	3	no
Canonsburg	Pa	United States	3	yes
n/a	n/a	n/a	3	yes
Jupiter	FL	United States	2	yes
Northfield	IL	United States	2	yes
Dover	Oh	United States	2	yes
Canonsburg	Pa	United States	2	yes
Erie	Pa	United States	2	yes
NEW CASTLE	Pa	United States	2	yes
Pittsburgh	Pa	United States	2	yes
Dallas	TX	United States	2	yes
LOS ANGLELES	CA	United States	1	yes
Novato	CA	United States	1	yes
Ontario	CA	United States	1	yes
Excelsior	Mn	United States	1	yes
Albuquerque	Nm	United States	1	yes
Beachwood	Oh	United States	1	yes
ROCKY RIVER	Oh	United States	1	yes
Westlake	Oh	United States	1	yes
Irwin	Pa	United States	1	yes
Lititz	Pa	United States	1	yes
n/a	n/a	n/a	1	yes
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2020	Mar 31, 2021	$3.4B	$2.8B	96	96	56	n/a	n/a
2019	Mar 31, 2020	$3.0B	$2.4B	99	99	56	1	$90,177
2018	Mar 29, 2019	$2.4B	$2.0B	101	101	42	1	$114,458
2017	Mar 29, 2018	$2.4B	$1.9B	100	100	42	1	$182,599
2016	Mar 31, 2017	$1.9B	$1.4B	106	100	n/a	1	$12.2M
2015	Mar 24, 2016	$1.8B	$1.4B	104	100	n/a	1	$13.1M
2014	Mar 27, 2015	$1.6B	$1.3B	98	97	n/a	2	$24.5M
2013	Mar 27, 2014	$1.3B	$997M	90	83	n/a	2	$23.9M
2012	Mar 28, 2013	$1.0B	$800M	90	53	n/a	2	$29.9M
2011	Mar 29, 2012	$821M	$670M	n/a	n/a	n/a	2	$35.5M

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2020	$3.4B	$3.0B	12.5%	$2.4B	12.0%	96	99	56	56

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
NEW EDGE WEALTH	2	Nov 1, 2021	Oct 28, 2020	PITTSBURGH, PA	Team lift out	Ibd to RIA	2.7%
FCG INVESTMENT COMPANY	6	Jun 1, 2020	Apr 22, 2020	PITTSBURGH, PA	Team lift out	Ibd to new firm	7.6%
LPL FINANCIAL LLC	2	Dec 16, 2019	Dec 16, 2019	PITTSBURGH, PA	Team lift out	Ibd to ibd	2.5%
CWM, LLC	2	Oct 18, 2019	May 6, 2019	WEXFORD, PA	Team lift out	Ibd to ibd	2.5%
AMERIPRISE FINANCIAL SERVICES, LLC	2	Sep 25, 2017	Sep 25, 2017	AKRON, OH	Team lift out	Other	2.6%
NORTHEAST PLANNING ASSOCIATES, INC.	2	Jul 31, 2017	Nov 3, 2016	BANGOR, ME	Team lift out	Other	2.5%
PENOBSCOT FINANCIAL ADVISORS	2	Jul 31, 2017	Jan 30, 2017	PITTSBURGH, PA	Team lift out	Other	2.5%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
NEWDAY SOLUTIONS, LLC	3	Oct 1, 2020	Sep 25, 2019	HAMPTON, NH	Firm absorbed	RIA to ibd	100.0%
UBS FINANCIAL SERVICES INC.	2	Nov 8, 2018	Dec 24, 2018	ERIE, PA	Team lift out	Wirehouse to ibd	0.0%
AMERIPRISE FINANCIAL SERVICES, LLC	3	Oct 16, 2017	Oct 13, 2017	SARASOTA, FL	Team lift out	Other	0.0%
COMMONWEALTH FINANCIAL NETWORK	2	Jul 13, 2015	Jul 10, 2015	WEXFORD, PA	Team lift out	Other	0.1%
CONCORDE ASSET MANAGEMENT, LLC	2	May 22, 2015	May 15, 2015	WORTHINGTON, OH	Team lift out	Other	5.9%

Relationships

showing 80 of 189

Affiliated with (2)

→ NEWEDGE ADVISORSRegistered adviserother investment adviser, common control
factForm ADV
→ NEW EDGE WEALTHRegistered adviserother investment adviser, common control
factForm ADV

Controls (13)

← DOWN, DAVID, JOHNOwnerPRESIDENT, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← SMITH, KYLE, PETEROwnerSENIOR VICE PRESIDENT, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← BANCO, JOSEPH, FRANKLINOwnerSECTY/TREASUER, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← FONG, SARAH, FOwnerVICE PRESIDENT, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← DECK, TENZING, THOMASOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Aug 15, 2019 to presentfactForm ADV
← EDGECO GUARANTOR, LPOwnerSHAREHOLDER, ownership code E, domestic entity
Nov 1, 2020 to presentfactForm ADV
← EDGECO HOLDINGS, LPOwnerSHAREHOLDER, ownership code E, domestic entity
Nov 1, 2020 to presentfactForm ADV
← EDGECO INVESTOR HOLDING, L.P.OwnerSHAREHOLDER, ownership code E, domestic entity
Jun 25, 2018 to presentfactForm ADV
← EDGECO WEALTH MANAGEMENT GP, LLCOwnerGP, ownership code F, domestic entity
Nov 1, 2020 to presentfactForm ADV
← NEW EDGE WEALTH HOLDINGS, L.P.OwnerSHAREHOLDER, ownership code E, domestic entity
Nov 1, 2020 to presentfactForm ADV
← NEWEDGE CAPITAL GROUP, LLCOwnerMAFM IS WHOLLY OWNED BY EDGECO WEALTH MANAGEMENT, LLC, ownership code E, domestic entity
Jan 29, 2021 to presentfactForm ADV
← PARTHENON INVESTORS V, L.P.OwnerSHAREHOLDER, ownership code D, domestic entity
Jun 25, 2018 to presentfactForm ADV
← PCP AGGREGATOR GP, LLCOwnerGP, ownership code F, domestic entity
Nov 1, 2020 to presentfactForm ADV

Owns (1)

← WATERFALL EDEN MASTER FUND, LTD.OwnerSHAREHOLDER, ownership code C, foreign entity
Jun 25, 2018 to presentfactForm ADV

Advises (1)

→ SELECT OPPORTUNITY FUND (IN LIQUIDATION)Private fundOther Private Fund, IA
Mar 29, 2012 to presentfactForm ADV

Registered with (62)

← PAUL RAYMOND HAKELAdvisorregistration: previous registration
Dec 20, 2018 to Nov 1, 2021factForm ADV
← PATRICIA ADAIR MORGANAdvisorregistration: previous registration
Apr 2, 2012 to Nov 1, 2021factForm ADV
← JAMES NORMAN WERTAdvisorregistration: previous registration
Feb 19, 1991 to Nov 1, 2021factForm ADV
← JAMES KEVIN PHENEYAdvisorregistration: previous registration
Aug 1, 2017 to Nov 1, 2021factForm ADV
← DANIEL KEITH HOCKINGAdvisorregistration: previous registration
Jun 6, 2021 to Nov 1, 2021factForm ADV
← JAMES PAUL REESEAdvisorregistration: previous registration
Feb 19, 1991 to Nov 1, 2021factForm ADV
← MICHAEL THOMAS BIGLEYAdvisorregistration: previous registration
Feb 19, 1991 to Nov 1, 2021factForm ADV
← RICK MEYERESAdvisorregistration: previous registration
Mar 15, 2013 to Nov 1, 2021factForm ADV
← GARY ANTHONY GULLOAdvisorregistration: previous registration
Jan 2, 2015 to Nov 1, 2021factForm ADV
← BRUCE CARL GILMOREAdvisorregistration: previous registration
May 20, 2015 to Nov 1, 2021factForm ADV
← IRIS JOY ROTHAdvisorregistration: previous registration
Sep 19, 2006 to Nov 1, 2021factForm ADV
← DAVID JOHN DOWNAdvisorregistration: previous registration
Aug 24, 1994 to Nov 1, 2021factForm ADV
← PETER FREDERICK BUTLERAdvisorregistration: previous registration
Feb 10, 2017 to Nov 1, 2021factForm ADV
← WILLIAM CLYDE MCMORRANAdvisorregistration: previous registration
May 4, 2004 to Nov 1, 2021factForm ADV
← GLENN DALE HOYERAdvisorregistration: previous registration
Sep 15, 2015 to Nov 1, 2021factForm ADV
← BRIAN MATTHEW KAHLAdvisorregistration: previous registration
Dec 5, 2007 to Nov 1, 2021factForm ADV
← JIM HARRISON BOOTSMAAdvisorregistration: previous registration
May 4, 2004 to Nov 1, 2021factForm ADV
← DAVID THOMAS HARRISONAdvisorregistration: previous registration
Aug 18, 2003 to Nov 1, 2021factForm ADV
← KYLE PETER SMITHAdvisorregistration: previous registration
Apr 2, 1999 to Nov 1, 2021factForm ADV
← JOSEPH JAMES WAGNERAdvisorregistration: previous registration
Apr 16, 2015 to Nov 1, 2021factForm ADV
← GREG LESLIE MCMULLENAdvisorregistration: previous registration
Aug 28, 2012 to Nov 1, 2021factForm ADV
← KENT RODNEY BEALAdvisorregistration: previous registration
Feb 7, 2020 to Nov 1, 2021factForm ADV
← BRIAN RICHARD LOSEYAdvisorregistration: previous registration
Jan 16, 2003 to Nov 1, 2021factForm ADV
← DALE M DOMINICKAdvisorregistration: previous registration
Apr 2, 2012 to Nov 1, 2021factForm ADV
← RICHARD LEE HURTAdvisorregistration: previous registration
Jul 12, 2019 to Nov 1, 2021factForm ADV
← PHILLIP AUSTIN GEBHARDTAdvisorregistration: previous registration
Jan 3, 2017 to Nov 1, 2021factForm ADV
← ALAN MATTHEW STRICKERAdvisorregistration: previous registration
Sep 3, 2010 to Nov 1, 2021factForm ADV
← Timothy John HalchuckAdvisorregistration: previous registration
Jun 28, 2010 to Nov 1, 2021factForm ADV
← BRIAN PATRICK MURPHYAdvisorregistration: previous registration
Oct 26, 2009 to Nov 1, 2021factForm ADV
← WILLIAM JAMES DONNELLYAdvisorregistration: previous registration
May 4, 2004 to Nov 1, 2021factForm ADV
and 32 more

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Aug 15, 2019
Control person left
Lee Timothy Brown (Chief Compliance Officer/Executive Vice President) no longer on Schedule A of Mid Atlantic Financial Management, Inc. (listed 2019-03-29, absent 2019-08-15)
Form ADVobserved 5 days ago
Occurred
Aug 15, 2019
Control person joined
Thomas Tenzing Deck (Chief Compliance Officer) appeared on Schedule A of Mid Atlantic Financial Management, Inc.
Form ADVobserved 5 days ago
Occurred
Jan 23, 2019
Control person left
Colditz Jeanine Devine (Vice President) no longer on Schedule A of Mid Atlantic Financial Management, Inc. (listed 2018-06-25, absent 2019-01-23)
Form ADVobserved 5 days ago
Occurred
Mar 29, 2018
Regulatory AUM changed
Mid Atlantic Financial Management, Inc. reported RAUM $2.4B, up 29% from $1.9B (2017-08-07 to 2018-03-29)
Form ADVobserved 5 days ago
$536M

Show 1 bookkeeping events

Occurred
Mar 31, 2020
Mid Atlantic Financial Management, Inc. reported 56 offices beyond its principal office, up from 42 (2020-03-19 to 2020-03-31)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9a549a14-e660-9832-06e1-56931b263163
First observed: Mar 29, 2012
Last observed: Jul 30, 2021 62 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.

MID ATLANTIC FINANCIAL MANAGEMENT, INC.

CRD 109771

PITTSBURGH, PA

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:9a549a14-e660-9832-06e1-56931b263163

Data as of Jul 30, 2021 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:25 AM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

MID ATLANTIC SECURITIES PARTNERSHIP

Other Private Fund

$5.2M

Sep 28, 2015

Mar 29, 2012

dropped

021-127525

SELECT OPPORTUNITY FUND (IN LIQUIDATION)

Other Private Fund

$90,177

Feb 12, 2021

Mar 29, 2012

reported

021-129141

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BANCO, JOSEPH, FRANKLIN

SECTY/TREASUER

yes

02/1997

Mar 29, 2012

Jul 30, 2021

DECK, TENZING, THOMAS

CHIEF COMPLIANCE OFFICER

yes

08/2019

Aug 15, 2019

Jul 30, 2021

DOWN, DAVID, JOHN

President

yes

03/1997

Mar 29, 2012

Jul 30, 2021

EDGECO GUARANTOR, LP

Shareholder

yes

10/2020

Nov 1, 2020

Jul 30, 2021

EDGECO HOLDINGS, LP

Shareholder

yes

12/2019

Nov 1, 2020

Jul 30, 2021

EDGECO INVESTOR HOLDING, L.P.

Shareholder

yes

06/2018

Jun 25, 2018

Jul 30, 2021

EDGECO WEALTH MANAGEMENT GP, LLC

yes

02/2020

Nov 1, 2020

Jul 30, 2021

EDGECO WEALTH MANAGEMENT GP, LLC

yes

07/2020

Nov 1, 2020

Jul 30, 2021

FONG, SARAH, F

VICE PRESIDENT

yes

05/2004

Mar 29, 2012

Jul 30, 2021

NEW EDGE WEALTH HOLDINGS, L.P.

Shareholder

yes

10/2020

Nov 1, 2020

Jul 30, 2021

NEWEDGE CAPITAL GROUP, LLC

MAFM IS WHOLLY OWNED BY EDGECO WEALTH MANAGEMENT, LLC

yes

10/2020

Jan 29, 2021

Jul 30, 2021

PARTHENON INVESTORS V, L.P.

Shareholder

yes

06/2018

Jun 25, 2018

Jul 30, 2021

PCP AGGREGATOR GP, LLC

yes

03/2018

Nov 1, 2020

Jul 30, 2021

SMITH, KYLE, PETER

SENIOR VICE PRESIDENT

yes

01/2005

Mar 29, 2012

Jul 30, 2021

WATERFALL EDEN MASTER FUND, LTD.

Shareholder

06/2018

Jun 25, 2018

Jul 30, 2021

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

GWM ADVISORS, LLC

n/a

Bd affiliated wealth

$43B

yes

n/a

NEWEDGE WEALTH, LLC

n/a

Bd affiliated wealth

$20B

yes

n/a

LPA INSURANCE AGENCY, INC.

n/a

yes

n/a

MID ATLANTIC CAPITAL CORPORATION

n/a

yes

n/a

MID ATLANTIC CLEARING & SETTLEMENT CORPORATION

n/a

yes

n/a

MID ATLANTIC TRUST COMPANY

n/a

yes

City

State

Country

Employees

Also broker-dealer

Exeter

United States

Mcmurray

United States

yes

Sarasota

United States

Canonsburg

United States

yes

n/a

yes

Jupiter

United States

yes

Northfield

United States

yes

Dover

United States

yes

Canonsburg

United States

yes

Erie

United States

yes

NEW CASTLE

United States

yes

Pittsburgh

United States

yes

Dallas

United States

yes

LOS ANGLELES

United States

yes

Novato

United States

yes

Ontario

United States

yes

Excelsior

United States

yes

Albuquerque

United States

yes

Beachwood

United States

yes

ROCKY RIVER

United States

yes

Westlake

United States

yes

Irwin

United States

yes

Lititz

United States

yes

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2020

Mar 31, 2021

$3.4B

$2.8B

n/a

2019

Mar 31, 2020

$3.0B

$2.4B

$90,177

2018

Mar 29, 2019

$2.4B

$2.0B

101

$114,458

2017

Mar 29, 2018

$2.4B

$1.9B

100

$182,599

2016

Mar 31, 2017

$1.9B

$1.4B

106

100

n/a

$12.2M

2015

Mar 24, 2016

$1.8B

$1.4B

104

100

n/a

$13.1M

2014

Mar 27, 2015

$1.6B

$1.3B

n/a

$24.5M

2013

Mar 27, 2014

$1.3B

$997M

n/a

$23.9M

2012

Mar 28, 2013

$1.0B

$800M

n/a

$29.9M

2011

Mar 29, 2012

$821M

$670M

n/a

$35.5M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2020

$3.4B

$3.0B

12.5%

$2.4B

12.0%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

NEW EDGE WEALTH

Nov 1, 2021

Oct 28, 2020

PITTSBURGH, PA

Team lift out

Ibd to RIA

2.7%

FCG INVESTMENT COMPANY

Jun 1, 2020

Apr 22, 2020

PITTSBURGH, PA

Team lift out

Ibd to new firm

7.6%

LPL FINANCIAL LLC

Dec 16, 2019

PITTSBURGH, PA

Team lift out

Ibd to ibd

2.5%

CWM, LLC

Oct 18, 2019

May 6, 2019

WEXFORD, PA

Team lift out

Ibd to ibd

2.5%

AMERIPRISE FINANCIAL SERVICES, LLC

Sep 25, 2017

AKRON, OH

Team lift out

Other

2.6%

NORTHEAST PLANNING ASSOCIATES, INC.

Jul 31, 2017

Nov 3, 2016

BANGOR, ME

Team lift out

Other

2.5%

PENOBSCOT FINANCIAL ADVISORS

Jul 31, 2017

Jan 30, 2017

PITTSBURGH, PA

Team lift out

Other

2.5%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

NEWDAY SOLUTIONS, LLC

Oct 1, 2020

Sep 25, 2019

HAMPTON, NH

Firm absorbed

RIA to ibd

100.0%

UBS FINANCIAL SERVICES INC.

Nov 8, 2018

Dec 24, 2018

ERIE, PA

Team lift out

Wirehouse to ibd

0.0%

AMERIPRISE FINANCIAL SERVICES, LLC

Oct 16, 2017

Oct 13, 2017

SARASOTA, FL

Team lift out

Other

0.0%

COMMONWEALTH FINANCIAL NETWORK

Jul 13, 2015

Jul 10, 2015

WEXFORD, PA

Team lift out

Other

0.1%

CONCORDE ASSET MANAGEMENT, LLC

May 22, 2015

May 15, 2015

WORTHINGTON, OH

Team lift out

Other

5.9%