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CRD 877
PASADENA, CA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
Dated 2026-09-15 (filing); first seen by DFX 2026-09-16.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| MICHAEL LOUIS STEWART | n/a | Pasadena, CA | Bermuda Dunes, CA | 20 | 26 | 2 | yes |
| MICHAEL DAVID OHLSON | n/a | SANTA ROSA, CA | Pasadena, CA | 20 | 37 | n/a | yes |
| NORMAN EUGENE PARROTT | n/a | ANCHORAGE, AK | DENVER, CO | 20 | 28 | 1 | yes |
| DREUX MCNAIRY | n/a | Pasadena, CA | 20 | 41 | n/a | yes |
| DAVID CHARLES SEYMOUR | n/a | Pasadena, CA | PORTLAND, OR | 20 | 45 | 1 | yes |
| JAMES ROBERT WARD | n/a | Pasadena, CA | FEDERAL WAY, WA | 20 | 26 | 2 | yes |
| RICHARD SCOTT GRAHAM | n/a | Pasadena, CA | Issaquah, WA | 20 | 37 | 2 | yes |
| SCOTT ALAN SMALLMAN | n/a | SEATTLE, WA | Pasadena, CA | 19 | 44 | 2 | yes |
| KRISTIN LISA RATHJEN | Personal Financial Specialist | DENVER, CO | SCOTTSDALE, AZ | 19 | 25 | n/a | yes |
| LAWRENCE STAPLES BROWN | n/a | Pasadena, CA | TARZANA, CA | 19 | 43 | 1 | yes |
| YOEL EDUNN | n/a | Pasadena, CA | 19 | 28 | 1 | yes |
| MICHAEL BARRY GLADSTONE | n/a | Pasadena, CA | 19 | 34 | 1 | yes |
| BERNARD GILES OBRIEN | n/a | WOODLAND HILLS, CA | Pasadena, CA | 19 | 37 | n/a | yes |
| DOUGLAS FRANK VAN DEREN | n/a | Pasadena, CA | SANTA ROSA, CA | 19 | 34 | 1 | yes |
| JAMES PATRICK HENNESSY | n/a | Pasadena, CA | ROSEVILLE, CA | 19 | 36 | 1 | yes |
| PAMELA JANE SOWERS | n/a | NEWPORT BEACH, CA | ROSEVILLE, CA | 19 | 26 | 2 | yes |
| MICHAEL JOHN PENTON | n/a | DENVER, CO | 19 | 38 | n/a | yes |
| STEPHEN PITCHKOLAN | n/a | SAN DIEGO, CA | 19 | 46 | n/a | yes |
| TODD ANDREW BROOKS | n/a | Pasadena, CA | SAN JUAN CAPISTRANO, CA | 19 | 21 | 1 | yes |
| ALBERT G FONG | n/a | Pasadena, CA | SALINAS, CA | 19 | 40 | 2 | yes |
| MICHAEL AL BATT | n/a | ORANGEVALE, CA | Pasadena, CA | 19 | 35 | 2 | yes |
| MEAGHAN MCKENZIE | n/a | Pasadena, CA | SEATTLE, WA | 18 | 33 | 1 | yes |
| SHERYL ROSE PATTERSON | Certified Financial Planner | Pasadena, CA | SEATTLE, WA | 18 | 32 | 1 | yes |
| ELEANOR PASCALIDE | n/a | Pasadena, CA | 18 | 29 | n/a | yes |
| DRU EDWARD GILBERT | n/a | VANCOUVER, WA | Pasadena, CA | 18 | 41 | 1 | yes |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| BILLINGS, DANIEL ERIC | EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, DIRECTOR | Na | yes | 12/2019 | Apr 16, 2026 | Apr 16, 2026 |
| BLAND, GEOFFREY CONOR | Director | Na | yes | 01/2022 | Apr 16, 2026 | Apr 16, 2026 |
| DEMPSEY, FRANCIS BURKE | EXECUTIVE VICE PRESIDENT | Na | yes | 09/2019 | Apr 16, 2026 | Apr 16, 2026 |
| DRUCH, ANDREW WALTER | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, CHIEF ADMINISTRATIVE OFFICER, DIRECTOR | Na | yes | 12/2019 | Apr 16, 2026 | Apr 16, 2026 |
| FITZSIMMONS, ROBERT GERARD | EXECUTIVE VICE PRESIDENT | Na | yes | 08/2018 | Apr 16, 2026 | Apr 16, 2026 |
| FRAUNCES, KIRSTEN CAMPBELL | EXECUTIVE VICE PRESIDENT | Na | yes | 09/2019 | Apr 16, 2026 | Apr 16, 2026 |
| HULTGREN, DONALD WAYNE | EXECUTIVE CHAIR, DIRECTOR | Na | yes | 01/2022 | Apr 16, 2026 | Apr 16, 2026 |
| MONE, CHRISTOPHER MICHAEL | EXECUTIVE VICE PRESIDENT | Na | yes | 03/2019 | Apr 16, 2026 | Apr 16, 2026 |
| PARRODE, RODRIGO NMN | EVP, CHIEF OPERATING OFFICER | Na | yes | 10/2021 | Apr 16, 2026 | Apr 16, 2026 |
| PASET, ROBERT EDWARD | EXECUTIVE VICE PRESIDENT | Na | yes | 09/2019 | Apr 16, 2026 | Apr 16, 2026 |
| PRESTON, ERIN KATHLEEN | CHIEF COMPLIANCE OFFICER | Na | yes | 02/2021 | Apr 16, 2026 | Apr 16, 2026 |
| WEDBUSH FINANCIAL SERVICES, | Owner | E | yes | 01/2020 | Apr 16, 2026 | Apr 16, 2026 |
| WEDBUSH, GARY LANCE | PRESIDENT, DIRECTOR | Na | yes | 10/2020 | Apr 16, 2026 | Apr 16, 2026 |
| EDWARD AND JEAN WEDBUSH FAMILY TRUST | SOLE MEMBER | E | yes | 12/2020 | Aug 19, 2022 | Sep 30, 2024 |
| THE BRYN MAWR TRUST COMPANY OF DELAWARE | Trustee | F | yes | 12/2020 | Aug 19, 2022 | Sep 30, 2024 |
| WEDBUSH CAPITAL | SOLE MEMBER | E | yes | 10/2019 | Nov 13, 2019 | Sep 30, 2024 |
| WEDBUSH FAMILY PARTNERS, LLC | Shareholder | D | yes | 12/2020 | Aug 19, 2022 | Sep 30, 2024 |
| WEDBUSH FINANCIAL SERVICES, LLC | Owner | E | yes | 01/2020 | Jun 19, 2020 | Sep 30, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| VAN HULZEN ASSET MANAGEMENT, LLC | n/a | Independent wealth | $2.1B | N | yes | n/a |
| SEPULVEDA MANAGEMENT LLC | n/a | Asset manager | $355M | N | yes | n/a |
| MW INVESTMENT STRATEGY | n/a | Independent wealth | $42.8M | N | yes | n/a |
| QAPITAL INVEST, LLC | n/a | Independent wealth | $42.1M | N | yes | n/a |
| ONWARD ADVISORS LLC | n/a | No RAUM reported | $0 | N | yes | n/a |
| LIGHTSPEED FINANCIAL SERVICES GROUP LLC | n/a | n/a | n/a | N | yes | n/a |
| WEDBUSH & CO., LLC | n/a | n/a | n/a | N | yes | n/a |
| WEDBUSH CAPITAL MANAGEMENT, LLC | n/a | n/a | n/a | N | yes | n/a |
| WEDBUSH EUROPE LTD. | n/a | n/a | n/a | N | yes | n/a |
| WEDBUSH VENTURES MANAGEMENT, LLC | n/a | State registered | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| LOS ANGELES | CA | United States | 48 | yes |
| LOS ANGELES | CA | United States | 11 | yes |
| LAKE OSWEGO | Or | United States | 11 | yes |
| Pasadena | CA | United States | 10 | yes |
| NEW YORK | NY | United States | 10 | yes |
| Seattle | Wa | United States | 10 | yes |
| LA JOLLA | CA | United States | 9 | yes |
| Denver | Co | United States | 9 | yes |
| Anchorage | Ak | United States | 8 | yes |
| NEWPORT BEACH | CA | United States | 8 | yes |
| SAN DIEGO | CA | United States | 7 | yes |
| Dallas | TX | United States | 6 | yes |
| Sacramento | CA | United States | 5 | yes |
| SANTA ROSA | CA | United States | 5 | yes |
| TRAVERSE CITY | Mi | United States | 5 | yes |
| Houston | TX | United States | 5 | yes |
| Scottsdale | Az | United States | 4 | yes |
| WOODLAND HILLS | CA | United States | 4 | yes |
| Radnor | Pa | United States | 4 | yes |
| Scottsdale | Az | United States | 3 | yes |
| BEVERLY HILLS | CA | United States | 3 | yes |
| Roseville | CA | United States | 3 | yes |
| SAN FRANCISCO | CA | United States | 2 | yes |
| Honolulu | Hi | United States | 2 | yes |
| Armonk | NY | United States | 2 | yes |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Apr 16, 2026 | $5.7B | $3.9B | 897 | 202 | 58 | n/a | n/a |
| 2024 | Mar 27, 2025 | $5.7B | $3.9B | 950 | 214 | 58 | n/a | n/a |
| 2023 | Sep 29, 2023 | $4.5B | $3.2B | 953 | 227 | 58 | n/a | n/a |
| 2022 | Sep 30, 2022 | $3.9B | $2.6B | 920 | 250 | 58 | n/a | n/a |
| 2021 | Sep 30, 2021 | $4.1B | $2.9B | 900 | 280 | 58 | n/a | n/a |
| 2020 | Sep 30, 2020 | $2.4B | $1.7B | 816 | 249 | 57 | n/a | n/a |
| 2019 | Sep 30, 2019 | $2.5B | $2.1B | 800 | 155 | 61 | n/a | n/a |
| 2018 | Sep 28, 2018 | $2.0B | $1.6B | 800 | 150 | 46 | n/a | n/a |
| 2017 | Sep 27, 2017 | $1.6B | $1.3B | 800 | 150 | n/a | n/a | n/a |
| 2016 | Sep 28, 2016 | $1.5B | $1.2B | 800 | 150 | n/a | n/a | n/a |
| 2015 | Sep 29, 2015 | $1.3B | $966M | 800 | 150 | n/a | n/a | n/a |
| 2014 | Sep 30, 2014 | $1.3B | $902M | 800 | 160 | n/a | n/a | n/a |
| 2013 | Sep 30, 2013 | $1.0B | $641M | 1,000 | 170 | n/a | n/a | n/a |
| 2012 | Sep 28, 2012 | $1.1B | $731M | 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 |
|---|---|---|---|---|---|---|---|---|
| 18 | 10 | 8 | 4.5% | 7 | 1 | 0 | 53 | 47 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $5.7B | $5.7B | -1.0% | $3.9B | 13.8% | 897 | 950 | 58 | 58 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| LPL FINANCIAL LLC | 2 | May 21, 2026 | May 21, 2026 | DENVER, CO | Team lift out | Ibd to ibd | 0.9% |
| RAYMOND JAMES & ASSOCIATES, INC. | 2 | Apr 16, 2026 | Apr 16, 2026 | PASADENA, CA | Team lift out | Ibd to ibd | 0.9% |
| LPL FINANCIAL LLC | 2 | Aug 13, 2025 | Aug 13, 2025 | PASADENA, CA | Team lift out | Ibd to ibd | 1.0% |
| LPL FINANCIAL LLC | 3 | Aug 13, 2025 | Aug 13, 2025 | HOUSTON, TX | Team lift out | Ibd to ibd | 1.5% |
| LPL FINANCIAL LLC | 2 | Jun 5, 2025 | Jun 5, 2025 | NEWPORT BEACH, CA | Team lift out | Ibd to ibd | 1.0% |
| LPL FINANCIAL LLC | 3 | May 19, 2025 | May 20, 2025 | MALIBU, CA | Team lift out | Ibd to ibd | 1.5% |
| OPPENHEIMER & CO. INC. | 3 | Dec 15, 2024 | Dec 2, 2024 | LOS ANGELES, CA | Team lift out | Ibd to ibd | 1.5% |
| LPL FINANCIAL LLC | 3 | Oct 7, 2024 | Sep 18, 2024 | SACRAMENTO, CA | Team lift out | Ibd to ibd | 1.5% |
| EQUITABLE ADVISORS, LLC | 3 | Oct 7, 2024 | Sep 13, 2024 | LOS ANGELES, CA | Team lift out | Ibd to ibd | 1.5% |
| LPL FINANCIAL LLC | 2 | Aug 26, 2024 | Aug 5, 2024 | RAMONA, CA | Team lift out | Ibd to ibd | 1.0% |
| WELLS FARGO ADVISORS | 3 | Jun 7, 2024 | Jun 4, 2024 | LOS ANGELES, CA | Team lift out | Ibd to wirehouse | 1.5% |
| LPL FINANCIAL LLC | 2 | Jul 11, 2023 | Jan 1, 2025 | HUNTINGTON BEAC, CA | Team lift out | Ibd to ibd | 1.0% |
| RAYMOND JAMES & ASSOCIATES, INC. | 2 | May 19, 2023 | Apr 28, 2023 | LOS ANGELES, CA | Team lift out | Ibd to ibd | 1.0% |
| RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | 2 | Oct 2, 2020 | Oct 2, 2020 | FAIRBANKS, AK | Team lift out | Ibd to ibd | 1.2% |
| BUTTONWOOD TREE MANAGEMENT, LLC | 2 | Dec 12, 2016 | Dec 12, 2016 | SAN DIEGO, CA | Team lift out | Other | 1.6% |
| AMERIPRISE FINANCIAL SERVICES, LLC | 2 | Nov 22, 2016 | Aug 1, 2024 | GLENDALE, AZ | Team lift out | Other | 1.5% |
| BENJAMIN F. EDWARDS & COMPANY, INCORPORATED | 3 | Oct 14, 2016 | Oct 13, 2016 | CONCORD, NH | Team lift out | Other | 2.3% |
| BRIDGELIGHT CAPITAL LLC | 2 | Oct 5, 2015 | Oct 8, 2015 | PHOENIX, AZ | Team lift out | Other | 1.6% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| UBS FINANCIAL SERVICES INC. | 4 | Sep 15, 2026 | Sep 16, 2026 | GREENSBORO, NC | Team lift out | Wirehouse to ibd | 0.0% |
| MCDONALD PARTNERS LLC | 4 | Sep 4, 2025 | Sep 3, 2025 | CLEVELAND, OH | Team lift out | RIA to ibd | 16.0% |
| B. RILEY WEALTH ADVISORS, INC. | 2 | Nov 24, 2024 | Nov 8, 2024 | BRYN MAWR, PA | Team lift out | Ibd to ibd | 0.7% |
| B. RILEY WEALTH ADVISORS, INC. | 2 | Oct 16, 2024 | Sep 16, 2024 | BRYN MAWR, PA | Team lift out | Ibd to ibd | 0.6% |
| RAYMOND JAMES & ASSOCIATES, INC. | 2 | May 18, 2022 | Aug 1, 2022 | FT PIERCE, FL | Team lift out | Ibd to ibd | 0.0% |
| B RILEY WEALTH MANAGEMENT | 3 | Apr 20, 2021 | May 31, 2022 | HOUSTON, TX | Team lift out | Ibd to ibd | 2.5% |
| WELLS FARGO ADVISORS | 2 | Sep 11, 2020 | Sep 10, 2020 | RADNOR, PA | Team lift out | Wirehouse to ibd | 0.0% |
| AVONDALE PARTNERS, LLC | 2 | Nov 2, 2018 | Nov 9, 2018 | NASHVILLE, TN | Team lift out | Other | 50.0% |
| BUTTONWOOD TREE MANAGEMENT, LLC | 2 | Jan 27, 2017 | Jan 27, 2017 | NEWPORT BEACH, CA | Team lift out | Other | 66.7% |
| STIFEL, NICOLAUS & COMPANY, INCORPORATED | 4 | Jun 10, 2015 | Jun 24, 2015 | TRAVERSE CITY, MI | Team lift out | Other | 0.3% |