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CRD 22589
ST.PAUL, MN
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| CARPENTER, KIMBERLY KAY | SENIOR VICE PRESIDENT & CHIEF COMPLIANCE OFFICER & ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | Na | yes | 06/2017 | Mar 29, 2012 | Oct 15, 2021 |
| CONNOLLY, GEORGE IGNATIUS | PRESIDENT, CHIEF EXECUTIVE OFFICER & MEMBER OF BOARD OF GOVERNORS | Na | yes | 09/1999 | Mar 29, 2012 | Oct 15, 2021 |
| DEUTSCHLANDER, EDWARD GEORGE | MEMBER OF BOARD OF GOVERNORS | Na | yes | 04/2009 | Apr 27, 2012 | Oct 15, 2021 |
| FERGUSON, KRISTIN MARY | VICE PRESIDENT, TREASURER, CHIEF FINANCIAL OFFICER & FINOP | Na | yes | 04/2018 | Mar 27, 2019 | Oct 15, 2021 |
| MARTINS, ANTHONY JOSEPH | MEMBER OF BOARD OF GOVERNORS | Na | yes | 04/2009 | Apr 27, 2012 | Oct 15, 2021 |
| MINNESOTA LIFE INSURANCE COMPANY | Shareholder | D | yes | 01/2017 | Mar 29, 2012 | Oct 15, 2021 |
| MINNESOTA MUTUAL COMPANIES, INC. | Shareholder | E | yes | 10/1998 | Mar 29, 2012 | Oct 15, 2021 |
| PHILLIP C. RICHARDS AND SUSAN B. RICHARDS JOINT LIVING TRUST | Shareholder | D | yes | 03/2010 | Mar 27, 2014 | Oct 15, 2021 |
| RICHARDS, PHILLIP CROCE | CHAIRMAN OF THE BOARD OF GOVERNORS | Na | yes | 03/2010 | Mar 29, 2012 | Oct 15, 2021 |
| SECURIAN FINANCIAL GROUP, INC. | Shareholder | E | yes | 10/1998 | Mar 29, 2012 | Oct 15, 2021 |
| SECURIAN HOLDING COMPANY | Shareholder | E | yes | 10/1998 | Mar 29, 2012 | Oct 15, 2021 |
| VASOS, DAVID NMN | SR VICE PRESIDENT, MEMBER OF THE BOARD OF GOVERNORS | Na | yes | 09/1999 | Mar 29, 2012 | Oct 15, 2021 |
| ZELLMER, KJIRSTEN GARETH | MEMBER OF BOARD OF GOVERNORS, VICE PRESIDENT, PRINCIPAL OPERATIONS OFFICER - FINOP | Na | yes | 09/2018 | Mar 27, 2014 | Oct 15, 2021 |
| OBRIEN, KERI SUE | Secretary | Na | no | 06/2017 | Jun 20, 2017 | Oct 15, 2021 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| SECURIAN ASSET MANAGEMENT, INC. | n/a | Institutional manager | $42B | N | yes | n/a |
| SECURIAN FINANCIAL SERVICES, INC. | n/a | Former SEC adviser | $21B | N | yes | n/a |
| MINNESOTA LIFE INSURANCE COMPANY | n/a | n/a | n/a | N | yes | n/a |
| SECURIAN TRUST COMPANY | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Minneapolis | Mn | United States | 57 | yes |
| Minnetonka | Mn | United States | 16 | yes |
| SAN DIEGO | CA | United States | 14 | yes |
| Madison | Wi | United States | 12 | yes |
| Austin | TX | United States | 6 | yes |
| Austin | TX | United States | 6 | yes |
| Scottsdale | Az | United States | 5 | yes |
| ST CLOUD | Mn | United States | 5 | yes |
| Woodbury | Mn | United States | 4 | yes |
| Houston | TX | United States | 4 | yes |
| Denver | Co | United States | 3 | yes |
| IOWA CITY | Ia | United States | 3 | yes |
| Rogers | Mn | United States | 3 | yes |
| Portland | Or | United States | 3 | yes |
| Dallas | TX | United States | 3 | yes |
| Decatur | Ga | United States | 2 | yes |
| Chicago | IL | United States | 2 | yes |
| Bayport | Mn | United States | 2 | yes |
| ST PAUL | Mn | United States | 2 | yes |
| ST LOUIS | Mo | United States | 2 | yes |
| Philadelphia | Pa | United States | 2 | yes |
| Dallas | TX | United States | 2 | yes |
| FORT MEYERS | FL | United States | 1 | yes |
| ST PAUL | Mn | United States | 1 | yes |
| Seattle | Wa | United States | 1 | yes |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2020 | Mar 1, 2021 | $1.7B | $835M | 269 | 188 | 38 | n/a | n/a |
| 2019 | Mar 24, 2020 | $1.4B | $648M | 262 | 183 | 35 | n/a | n/a |
| 2018 | Mar 27, 2019 | $1.1B | $496M | 265 | 180 | 31 | n/a | n/a |
| 2017 | Mar 26, 2018 | $1.4B | $663M | 291 | 102 | 31 | n/a | n/a |
| 2016 | Mar 29, 2017 | $970M | $369M | 278 | 172 | n/a | n/a | n/a |
| 2015 | Mar 29, 2016 | $828M | $312M | 281 | 172 | n/a | n/a | n/a |
| 2014 | Mar 30, 2015 | $826M | $311M | 274 | 169 | n/a | n/a | n/a |
| 2013 | Mar 27, 2014 | $747M | $278M | 251 | 158 | n/a | n/a | n/a |
| 2012 | Mar 27, 2013 | $605M | $210M | 245 | 126 | n/a | n/a | n/a |
| 2011 | Mar 29, 2012 | $515M | $157M | 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 |
|---|---|---|---|---|---|---|---|---|---|
| 2020 | $1.7B | $1.4B | 22.1% | $1.4B | 7.1% | 269 | 262 | 38 | 35 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| SECURIAN FINANCIAL SERVICES, INC. | 19 | Nov 4, 2021 | Oct 5, 2020 | ST PAUL, MN | Firm absorbed | Ibd to ibd | 79.2% |
| CETERA INVESTMENT ADVISERS LLC | 2 | Oct 22, 2021 | Aug 10, 2023 | SCOTTSDALE, AZ | Team lift out | Ibd to ibd | 2.0% |
| CETERA INVESTMENT ADVISERS LLC | 2 | Oct 20, 2021 | Aug 10, 2023 | PORTLAND, OR | Team lift out | Ibd to ibd | 1.5% |
| CETERA INVESTMENT ADVISERS LLC | 2 | Oct 19, 2021 | Aug 10, 2023 | MADISON, WI | Team lift out | Ibd to ibd | 1.3% |
| CETERA INVESTMENT ADVISERS LLC | 9 | Oct 18, 2021 | Aug 10, 2023 | MINNEAPOLIS, MN | Team lift out | Ibd to ibd | 5.1% |
| CETERA INVESTMENT ADVISERS LLC | 5 | Oct 18, 2021 | Aug 10, 2023 | AUSTIN, TX | Team lift out | Ibd to ibd | 2.8% |
| WINTER & ASSOCIATES, INC. | 2 | Jan 6, 2021 | Jan 4, 2021 | MINNEAPOLIS, MN | Team lift out | Ibd to RIA | 1.2% |
| SECURIAN FINANCIAL SERVICES, INC. | 2 | Oct 23, 2020 | Nov 4, 2019 | MINNEAPOLIS, MN | Channel change | Ibd to ibd | 1.2% |
| SECURIAN FINANCIAL SERVICES, INC. | 2 | Aug 16, 2018 | Jan 7, 2018 | BLOOMINGTON, MN | Channel change | Ibd to ibd | 1.2% |
| COMMONWEALTH FINANCIAL NETWORK | 4 | Aug 16, 2018 | Aug 15, 2018 | BLOOMINGTON, MN | Team lift out | Ibd to ibd | 2.4% |
| SECURIAN FINANCIAL SERVICES, INC. | 2 | Mar 14, 2017 | Oct 6, 2016 | MINNEAPOLIS, MN | Channel change | Other | 1.4% |
| SECURIAN FINANCIAL SERVICES, INC. | 2 | Jun 9, 2016 | Feb 4, 2016 | MINNEAPOLIS, MN | Channel change | Other | 1.4% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| SECURIAN FINANCIAL SERVICES, INC. | 16 | Aug 10, 2023 | Oct 14, 2020 | ST PAUL, MN | Channel change | RIA to ibd | 1.8% |
| SECURIAN FINANCIAL SERVICES, INC. | 2 | Aug 10, 2023 | Dec 13, 2018 | AUSTIN, TX | Channel change | RIA to ibd | 0.2% |
| SECURIAN FINANCIAL SERVICES, INC. | 2 | Jan 6, 2021 | Jul 31, 2020 | MINNEAPOLIS, MN | Channel change | Ibd to ibd | 0.2% |
| SECURIAN FINANCIAL SERVICES, INC. | 2 | Apr 2, 2020 | May 23, 2019 | AUSTIN, TX | Channel change | Ibd to ibd | 0.2% |
| QUESTAR ASSET MANAGEMENT, INC. | 2 | Jul 15, 2019 | Oct 5, 2020 | MINNEAPOLIS, MN | Team lift out | Ibd to ibd | 66.7% |
| SECURIAN FINANCIAL SERVICES, INC. | 4 | Aug 16, 2018 | Apr 6, 2018 | BLOOMINGTON, MN | Channel change | Ibd to ibd | 0.5% |
| FORESTERS ADVISORY SERVICES, LLC | 2 | Aug 2, 2018 | Aug 13, 2018 | SAN ANTONIO, TX | Team lift out | Ibd to ibd | 0.6% |
| SECURIAN FINANCIAL SERVICES, INC. | 2 | Jul 6, 2018 | Sep 27, 2016 | MINNEAPOLIS, MN | Channel change | Ibd to ibd | 0.2% |
| SECURIAN FINANCIAL SERVICES, INC. | 2 | Nov 2, 2017 | Apr 13, 2017 | PHILADELPHIA, PA | Channel change | Other | 0.2% |
| SECURIAN FINANCIAL SERVICES, INC. | 2 | Jun 3, 2016 | Dec 26, 2017 | ST PAUL, MN | Channel change | Other | 0.3% |