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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

CL WEALTH MANAGEMENT LLC

CRD 134922

SCHAUMBURG, IL

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:a5921899-dc45-7c39-6ea0-280298f90c03

Data as of Aug 20, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:04 PM UTC and rebuilt at most every 15 minutes.

Relationships: 131
Dated events: 11
On other graphs: 0
Observed: Dec 19, 2011 to Aug 20, 2026
86 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: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=39.0
Regulatory AUM: $734MItem 5.F on the latest filing (2026-08-20); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $375M
Private client RAUM: $732MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 42
RAUM per advisor: $17.5Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 42
Advisory employees: 39
Offices: 41Schedule D 1.F, beyond the principal office
Accounts: 2,165
Individual clients: 1,528
High net worth clients: 637
Custody, client assets: $185M
SEC number: 801-72701
CRD: 134922
Filings on the tape: 86
First filed: Dec 19, 2011
Latest filed: Aug 20, 2026
Organised: Limited Liability Company, VA
Website: leadingedgefinancialgroup.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first; showing 25 of 42

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
RON FEINMAN	n/a	SCHAUMBURG, IL \| Lynchburg, VA	15	30	n/a	yes
SHANNON AGNES SHEHORN	Certified Financial Planner	SCHAUMBURG, IL \| Ponte Vedra, FL	15	46	1	yes
DENNIS DALE MESWARD	Certified Financial Planner	Colorado Springs, CO \| SCHAUMBURG, IL	15	29	2	yes
JOHN JOSEPH WYNGAARD	n/a	SCHAUMBURG, IL \| Madison, WI	14	30	1	yes
MITCHELL L RAY	n/a	SCHAUMBURG, IL \| Canton, GA	14	26	1	yes
PETER EDWARD BIANCHETTO	n/a	Franklin, MA \| SCHAUMBURG, IL	14	29	3	yes
WILLIAM RAYMOND BESSETTE	n/a	Hyannis, MA \| SCHAUMBURG, IL	14	35	3	yes
ROGER FARRELL LEIBOWITZ	n/a	SCHAUMBURG, IL \| Garland, TX	14	20	1	yes
MARK EDWARD URBAN	n/a	SCHAUMBURG, IL \| Naples, FL	14	27	1	yes
ANDRE D WILLIAMS	n/a	SCHAUMBURG, IL \| Atlanta, GA	14	24	1	yes
EDGAR A WADE	n/a	Salem, VA \| SCHAUMBURG, IL	14	33	4	yes
JOHN NORMAN DOIRON	n/a	SCHAUMBURG, IL \| Lanexa, VA	14	19	n/a	yes
MALCOLM ROBERT WARNEFORD-THOMSON	Certified Financial Planner	Richmond, VA \| SCHAUMBURG, IL	13	22	3	yes
LAMINDY C BRANDON-JOSEPH	Certified Financial Planner	Northville, MI \| SCHAUMBURG, IL	13	20	2	yes
ELANA RACHEL FEIGENBLATT	n/a	SCHAUMBURG, IL	12	19	3	yes
GAIL LYNN WANGEN	n/a	St. Paul, MN \| SCHAUMBURG, IL	12	29	n/a	yes
PAUL ALAN KNIER	n/a	SCHAUMBURG, IL \| BIG LAKE, MN	12	34	1	yes
SCOTT QUENTIN BRODEEN	n/a	Big Lake, MN \| SCHAUMBURG, IL	12	24	n/a	yes
RANDOLPH CIENEGA RODRIGUEZ	n/a	SCHAUMBURG, IL \| La Jolla, CA	10	26	5	yes
LOUIS MICHAEL JIMENEZ	Certified Financial Planner\|Chartered Financial Consultant	SCHAUMBURG, IL \| Colorado Springs, CO	9	27	3	yes
ROBERT CHARLES WADDELL	n/a	Springdale, AR \| SCHAUMBURG, IL	9	30	5	yes
DELL RAYMOND HUGHES	n/a	Broken Arrow, OK \| SCHAUMBURG, IL	9	38	1	yes
WILLIAM ANTHONY BROOKS	n/a	SCHAUMBURG, IL \| Rehoboth Beach, DE	9	22	2	yes
MARK ANDREW WIACEK	n/a	San Marino, CA \| SCHAUMBURG, IL	8	28	7	yes
JAMES SCOTT RANKIN	n/a	Greely, CO \| SCHAUMBURG, IL	7	21	n/a	yes

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
BINAH CAPITAL GROUP	Member	E	yes	04/2024	May 2, 2024	Aug 16, 2024
Jordan, Bjorn	Cco	Na	yes	01/2020	Feb 14, 2020	Aug 16, 2024
LEIBOWITZ, ROGER, FARRELL	President	Na	yes	02/2020	Dec 19, 2011	Aug 16, 2024
PKS HOLDING LLC	Member	E	yes	12/2017	Dec 26, 2017	Aug 16, 2024
WENTWORTH MANAGEMENT SERVICES, LLC	Member	E	yes	02/2017	Dec 26, 2017	Aug 16, 2024

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
PKS ADVISORY SERVICES, LLC	n/a	Independent wealth	$1.1B	N	yes	n/a
WORLD EQUITY GROUP, INC.	n/a	Bd affiliated wealth	$1.0B	N	yes	n/a
BERKELEY STREET ADVISORS LLC	n/a	n/a	n/a	N	yes	n/a
CABOT LODGE SECURITIES LLC	n/a	n/a	n/a	N	yes	n/a
CL GENRAL AGENCY LLC	n/a	n/a	n/a	N	yes	n/a
GAIL WANGEN	n/a	n/a	n/a	N	no	n/a
PKS FINANCIAL SERVICES, INC.	n/a	n/a	n/a	N	yes	n/a
PURSHE KAPLAN STERLING INVESTMENTS, INC.	n/a	n/a	n/a	N	yes	n/a
RON FEINMAN	n/a	n/a	n/a	N	no	n/a
SHANNON SHEHORN	n/a	n/a	n/a	N	no	n/a
SPRING HILLS HOLDINGS LLC	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published; showing 30 of 46

City	State	Country	Employees	Also broker-dealer
Garland	TX	United States	2	yes
Salem	Va	United States	2	yes
MENOMONEE FALLS	Wi	United States	2	yes
n/a	n/a	n/a	2	yes
EUREKA SPRINGS	Ar	United States	1	yes
Fayetteville	Ar	United States	1	yes
Rogers	Ar	United States	1	yes
Springdale	Ar	United States	1	yes
LA JOLLA	CA	United States	1	yes
MOUNTAIN VIEW	CA	United States	1	yes
SAN MARINO	CA	United States	1	yes
COLORADO SPRINGS	Co	United States	1	yes
Greeley	Co	United States	1	yes
Rehoboth	De	United States	1	yes
Clearwater	FL	United States	1	yes
FORT PEIRCE	FL	United States	1	yes
Naples	FL	United States	1	yes
Atlanta	Ga	United States	1	yes
Atlanta	Ga	United States	1	yes
BLUE RIDGE	Ga	United States	1	yes
Brookhaven	Ga	United States	1	yes
Canton	Ga	United States	1	yes
Greensboro	Ga	United States	1	yes
Chicago	IL	United States	1	yes
Wichita	Ks	United States	1	yes
Hyannis	Me	United States	1	yes
Chesterfield	Mi	United States	1	yes
Minnetonka	Mn	United States	1	yes
ST. PAUL	Mn	United States	1	yes
LAS VEGAS	Nv	United States	1	yes

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
2025	Mar 19, 2026	$734M	$375M	42	39	41	n/a	n/a
2024	Feb 25, 2025	$629M	$207M	42	41	41	n/a	n/a
2023	Feb 29, 2024	$533M	$272M	44	43	42	n/a	n/a
2022	Mar 7, 2023	$475M	$244M	46	43	45	n/a	n/a
2021	Mar 7, 2022	$417M	$230M	49	45	45	n/a	n/a
2020	Mar 1, 2021	$447M	$203M	49	45	42	n/a	n/a
2019	Feb 14, 2020	$400M	$179M	52	47	42	n/a	n/a
2018	Mar 30, 2019	$243M	$193M	52	52	42	n/a	n/a
2017	May 29, 2018	$222M	$180M	51	46	46	n/a	n/a
2016	Mar 29, 2017	$146M	$103M	51	46	n/a	n/a	n/a
2015	Mar 14, 2016	$129M	$88.6M	51	46	n/a	n/a	n/a
2014	Jan 26, 2015	$105M	$74.7M	48	42	n/a	n/a	n/a
2013	Feb 21, 2014	$88.9M	$65.7M	51	51	n/a	n/a	n/a
2012	Apr 1, 2013	$61.4M	$41.0M	68	63	n/a	n/a	n/a
2011	Mar 28, 2012	$33.1M	$14.7M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	1	-1	2.4%	0	0	0	0	1

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
2025	$734M	$629M	16.7%	$475M	15.6%	42	42	41	41

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
AE WEALTH MANAGEMENT, LLC	4	Apr 13, 2021	Apr 15, 2021	SCHAUMBURG, IL	Team lift out	RIA to ibd	10.5%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
SB ADVISORY, LLC	2	Jan 4, 2023	Jan 5, 2023	ATLANTA, GA	Team lift out	RIA to RIA	10.5%
WILBANKS SECURITIES ADVISORY	4	Jun 13, 2017	Aug 21, 2017	OKLAHOMA CITY, OK	Team lift out	Other	22.2%

Relationships

showing 80 of 131

Affiliated with (3)

→ PKS ADVISORY SERVICES, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ WORLD EQUITY GROUP, INC.Registered adviserother investment adviser, broker-dealer, common control
factForm ADV
← PKS ADVISORY SERVICES, LLCRegistered adviserother investment adviser, common control
factForm ADV

Registered with (69)

← CLIFFORD WILLIAM SHIRAHAdvisorregistration: current employment
Feb 2, 2023 to presentfactForm ADV
← ERIC MARTIN RUTHAdvisorregistration: current employment
Jan 12, 2023 to presentfactForm ADV
← CRAIG ALLEN JOHNSONAdvisorregistration: current employment
Jan 5, 2023 to presentfactForm ADV
← DANIEL EDWARD PELTIERAdvisorregistration: current employment
Jan 5, 2023 to presentfactForm ADV
← JOE DENNIS MURRAYAdvisorregistration: current employment
Jan 3, 2023 to presentfactForm ADV
← DAVID ALAN LAKISAdvisorregistration: current employment
Aug 16, 2022 to presentfactForm ADV
← BRADLEY JOHN DONNERAdvisorregistration: current employment
Aug 31, 2021 to presentfactForm ADV
← MEREDITH DENISE SIMSAdvisorregistration: current employment
Jun 24, 2021 to presentfactForm ADV
← DAVID S WINFREYAdvisorregistration: current employment
Jun 4, 2021 to presentfactForm ADV
← Thomas Anthony DavisAdvisorregistration: current employment
Jun 3, 2021 to presentfactForm ADV
← STEVEN HOWARD KRONETHALAdvisorregistration: current employment
Apr 22, 2021 to presentfactForm ADV
← RUSSELL PAUL GREENAdvisorregistration: current employment
Mar 22, 2021 to presentfactForm ADV
← KENNETH SHAWN HYATTAdvisorregistration: current employment
Oct 22, 2019 to presentfactForm ADV
← STUART ALAN EPLEYAdvisorregistration: current employment
Oct 17, 2019 to presentfactForm ADV
← JOSEPH DWAYNE OLHEISERAdvisorregistration: current employment
Oct 11, 2019 to presentfactForm ADV
← STEPHEN PAVEY MESKANAdvisorregistration: current employment
Aug 29, 2019 to presentfactForm ADV
← Bjorn JordanAdvisorregistration: current employment
Jun 19, 2019 to presentfactForm ADV
← JAMES SCOTT RANKINAdvisorregistration: current employment
Jun 13, 2019 to presentfactForm ADV
← MARK ANDREW WIACEKAdvisorregistration: current employment
Sep 26, 2017 to presentfactForm ADV
← WILLIAM ANTHONY BROOKSAdvisorregistration: current employment
Jul 11, 2017 to presentfactForm ADV
← DELL RAYMOND HUGHESAdvisorregistration: current employment
Jun 27, 2017 to presentfactForm ADV
← ROBERT CHARLES WADDELLAdvisorregistration: current employment
Jun 26, 2017 to presentfactForm ADV
← LOUIS MICHAEL JIMENEZAdvisorregistration: current employment
Jun 22, 2017 to presentfactForm ADV
← RANDOLPH CIENEGA RODRIGUEZAdvisorregistration: current employment
Feb 24, 2016 to presentfactForm ADV
← PAUL ALAN KNIERAdvisorregistration: current employment
Dec 5, 2013 to presentfactForm ADV
← SCOTT QUENTIN BRODEENAdvisorregistration: current employment
Dec 5, 2013 to presentfactForm ADV
← GAIL LYNN WANGENAdvisorregistration: current employment
Nov 13, 2013 to presentfactForm ADV
← ELANA RACHEL FEIGENBLATTAdvisorregistration: current employment
Oct 24, 2013 to presentfactForm ADV
← LAMINDY C BRANDON-JOSEPHAdvisorregistration: current employment
Apr 30, 2013 to presentfactForm ADV
← MALCOLM ROBERT WARNEFORD-THOMSONAdvisorregistration: current employment
Jan 2, 2013 to presentfactForm ADV
and 39 more

Controls (5)

← LEIBOWITZ, ROGER, FARRELLOwnerPRESIDENT, ownership code NA, individual
Dec 19, 2011 to Aug 16, 2024factForm ADV
← Jordan, BjornOwnerCCO, ownership code NA, individual
Feb 14, 2020 to Aug 16, 2024factForm ADV
← BINAH CAPITAL GROUPOwnerMEMBER, ownership code E, domestic entity
May 2, 2024 to Aug 16, 2024factForm ADV
← PKS HOLDING LLCOwnerMEMBER, ownership code E, domestic entity
Dec 26, 2017 to Aug 16, 2024factForm ADV
← WENTWORTH MANAGEMENT SERVICES, LLCOwnerMEMBER, ownership code E, domestic entity
Dec 26, 2017 to Aug 16, 2024factForm ADV

Moved with (3)

← SB ADVISORY, LLCRegistered adviser2 advisors, team lift out, same day
Jan 4, 2023 to Jan 5, 2023factForm ADV
→ AE WEALTH MANAGEMENT, LLCRegistered adviser4 advisors, team lift out, same day
Apr 13, 2021 to Apr 14, 2021factForm ADV
← WILBANKS SECURITIES ADVISORYRegistered adviser4 advisors, team lift out
Jun 13, 2017 to Aug 21, 2017factForm ADV

Dated events

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

Occurred
Mar 3, 2026
Advisor changed firm
Steven Gregory Price left Cl Wealth Management Llc for Sb Advisory, Llc (registered 2026-03-17)
Form ADVobserved 6 days ago
Occurred
May 2, 2024
Control person left
Chiam Alexander Markowits (Manager) no longer on Schedule A of Cl Wealth Management Llc (listed 2024-02-29, absent 2024-05-02)
Form ADVobserved 6 days ago
Occurred
Jan 4, 2023
Team lift-out
2 advisors left SB Advisory, LLC (Atlanta, GA) for CL Wealth Management LLC on the same day
Form ADVobserved 6 days ago
2 advisors
Occurred
Mar 24, 2022
Advisor changed firm
Timothy Bernard Woods left Cl Wealth Management Llc for William Blair & Company L.L.C. (registered 2022-03-02)
Form ADVobserved 6 days ago
Occurred
Mar 11, 2022
Advisor changed firm
William Paul Boscow left Cl Wealth Management Llc for Asteria Wealth Llc (registered 2022-04-11)
Form ADVobserved 6 days ago
Occurred
Feb 14, 2020
Regulatory AUM changed
Cl Wealth Management Llc reported RAUM $399.6M, up 65% from $242.9M (2020-01-03 to 2020-02-14)
Form ADVobserved 6 days ago
$157M
Occurred
Feb 14, 2020
Control person left
Michael Craig Gould (President) no longer on Schedule A of Cl Wealth Management Llc (listed 2020-01-03, absent 2020-02-14)
Form ADVobserved 6 days ago
Occurred
Feb 14, 2020
Control person left
Howard Davis (Cco) no longer on Schedule A of Cl Wealth Management Llc (listed 2020-01-03, absent 2020-02-14)
Form ADVobserved 6 days ago
Occurred
Feb 14, 2020
Control person joined
Bjorn Jordan (Cco) appeared on Schedule A of Cl Wealth Management Llc
Form ADVobserved 6 days ago
Occurred
Feb 14, 2020
Control person joined
Farrell Roger Leibowitz (President) appeared on Schedule A of Cl Wealth Management Llc
Form ADVobserved 6 days ago

Show 1 bookkeeping events

Occurred
Sep 17, 2026
Craig Allen Johnson added a NH registration at Cl Wealth Management Llc

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a5921899-dc45-7c39-6ea0-280298f90c03
First observed: Dec 19, 2011
Last observed: Aug 20, 2026 32 days 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.

CL WEALTH MANAGEMENT LLC

CRD 134922

SCHAUMBURG, IL

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:a5921899-dc45-7c39-6ea0-280298f90c03

Data as of Aug 20, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:04 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

RON FEINMAN

n/a

SCHAUMBURG, IL | Lynchburg, VA

n/a

yes

SHANNON AGNES SHEHORN

Certified Financial Planner

SCHAUMBURG, IL | Ponte Vedra, FL

yes

DENNIS DALE MESWARD

Certified Financial Planner

Colorado Springs, CO | SCHAUMBURG, IL

yes

JOHN JOSEPH WYNGAARD

n/a

SCHAUMBURG, IL | Madison, WI

yes

MITCHELL L RAY

n/a

SCHAUMBURG, IL | Canton, GA

yes

PETER EDWARD BIANCHETTO

n/a

Franklin, MA | SCHAUMBURG, IL

yes

WILLIAM RAYMOND BESSETTE

n/a

Hyannis, MA | SCHAUMBURG, IL

yes

ROGER FARRELL LEIBOWITZ

n/a

SCHAUMBURG, IL | Garland, TX

yes

MARK EDWARD URBAN

n/a

SCHAUMBURG, IL | Naples, FL

yes

ANDRE D WILLIAMS

n/a

SCHAUMBURG, IL | Atlanta, GA

yes

EDGAR A WADE

n/a

Salem, VA | SCHAUMBURG, IL

yes

JOHN NORMAN DOIRON

n/a

SCHAUMBURG, IL | Lanexa, VA

n/a

yes

MALCOLM ROBERT WARNEFORD-THOMSON

Certified Financial Planner

Richmond, VA | SCHAUMBURG, IL

yes

LAMINDY C BRANDON-JOSEPH

Certified Financial Planner

Northville, MI | SCHAUMBURG, IL

yes

ELANA RACHEL FEIGENBLATT

n/a

SCHAUMBURG, IL

yes

GAIL LYNN WANGEN

n/a

St. Paul, MN | SCHAUMBURG, IL

n/a

yes

PAUL ALAN KNIER

n/a

SCHAUMBURG, IL | BIG LAKE, MN

yes

SCOTT QUENTIN BRODEEN

n/a

Big Lake, MN | SCHAUMBURG, IL

n/a

yes

RANDOLPH CIENEGA RODRIGUEZ

n/a

SCHAUMBURG, IL | La Jolla, CA

yes

LOUIS MICHAEL JIMENEZ

Certified Financial Planner|Chartered Financial Consultant

SCHAUMBURG, IL | Colorado Springs, CO

yes

ROBERT CHARLES WADDELL

n/a

Springdale, AR | SCHAUMBURG, IL

yes

DELL RAYMOND HUGHES

n/a

Broken Arrow, OK | SCHAUMBURG, IL

yes

WILLIAM ANTHONY BROOKS

n/a

SCHAUMBURG, IL | Rehoboth Beach, DE

yes

MARK ANDREW WIACEK

n/a

San Marino, CA | SCHAUMBURG, IL

yes

JAMES SCOTT RANKIN

n/a

Greely, CO | SCHAUMBURG, IL

n/a

yes

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BINAH CAPITAL GROUP

Member

yes

04/2024

May 2, 2024

Aug 16, 2024

Jordan, Bjorn

Cco

yes

01/2020

Feb 14, 2020

Aug 16, 2024

LEIBOWITZ, ROGER, FARRELL

President

yes

02/2020

Dec 19, 2011

Aug 16, 2024

PKS HOLDING LLC

Member

yes

12/2017

Dec 26, 2017

Aug 16, 2024

WENTWORTH MANAGEMENT SERVICES, LLC

Member

yes

02/2017

Dec 26, 2017

Aug 16, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

PKS ADVISORY SERVICES, LLC

n/a

Independent wealth

$1.1B

yes

n/a

WORLD EQUITY GROUP, INC.

n/a

Bd affiliated wealth

$1.0B

yes

n/a

BERKELEY STREET ADVISORS LLC

n/a

yes

n/a

CABOT LODGE SECURITIES LLC

n/a

yes

n/a

CL GENRAL AGENCY LLC

n/a

yes

n/a

GAIL WANGEN

n/a

PKS FINANCIAL SERVICES, INC.

n/a

yes

n/a

PURSHE KAPLAN STERLING INVESTMENTS, INC.

n/a

yes

n/a

RON FEINMAN

n/a

SHANNON SHEHORN

n/a

SPRING HILLS HOLDINGS LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Garland

United States

yes

Salem

United States

yes

MENOMONEE FALLS

United States

yes

n/a

yes

EUREKA SPRINGS

United States

yes

Fayetteville

United States

yes

Rogers

United States

yes

Springdale

United States

yes

LA JOLLA

United States

yes

MOUNTAIN VIEW

United States

yes

SAN MARINO

United States

yes

COLORADO SPRINGS

United States

yes

Greeley

United States

yes

Rehoboth

United States

yes

Clearwater

United States

yes

FORT PEIRCE

United States

yes

Naples

United States

yes

Atlanta

United States

yes

Atlanta

United States

yes

BLUE RIDGE

United States

yes

Brookhaven

United States

yes

Canton

United States

yes

Greensboro

United States

yes

Chicago

United States

yes

Wichita

United States

yes

Hyannis

United States

yes

Chesterfield

United States

yes

Minnetonka

United States

yes

ST. PAUL

United States

yes

LAS VEGAS

United States

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 19, 2026

$734M

$375M

n/a

2024

Feb 25, 2025

$629M

$207M

n/a

2023

Feb 29, 2024

$533M

$272M

n/a

2022

Mar 7, 2023

$475M

$244M

n/a

2021

Mar 7, 2022

$417M

$230M

n/a

2020

Mar 1, 2021

$447M

$203M

n/a

2019

Feb 14, 2020

$400M

$179M

n/a

2018

Mar 30, 2019

$243M

$193M

n/a

2017

May 29, 2018

$222M

$180M

n/a

2016

Mar 29, 2017

$146M

$103M

n/a

2015

Mar 14, 2016

$129M

$88.6M

n/a

2014

Jan 26, 2015

$105M

$74.7M

n/a

2013

Feb 21, 2014

$88.9M

$65.7M

n/a

2012

Apr 1, 2013

$61.4M

$41.0M

n/a

2011

Mar 28, 2012

$33.1M

$14.7M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

-1

2.4%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$734M

$629M

16.7%

$475M

15.6%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

AE WEALTH MANAGEMENT, LLC

Apr 13, 2021

Apr 15, 2021

SCHAUMBURG, IL

Team lift out

RIA to ibd

10.5%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

SB ADVISORY, LLC

Jan 4, 2023

Jan 5, 2023

ATLANTA, GA

Team lift out

RIA to RIA

10.5%

WILBANKS SECURITIES ADVISORY

Jun 13, 2017

Aug 21, 2017

OKLAHOMA CITY, OK

Team lift out

Other

22.2%