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

RAND & ASSOCIATES

RAND WEALTH, LLC, CRD 157807

BALTIMORE, MD

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:ac421c3d-7336-63f0-14e0-c5fee51ec9d0

Data as of Oct 12, 2018 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:06 AM UTC and rebuilt at most every 15 minutes.

Relationships: 15
Dated events: 0
On other graphs: 0
Observed: Mar 27, 2012 to Oct 12, 2018
25 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $1.3BItem 5.F on the latest filing (2018-10-12); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.2B
Private client RAUM: $1.1BderivedItem 5.D individuals plus high net worth individuals
Private client share: 86%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 12
Advisory employees: 7
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 1,266
Individual clients: 213
High net worth clients: 296
Custody, client assets: $932M
SEC number: 801-72391
CRD: 157807
Filings on the tape: 25
First filed: Mar 27, 2012
Latest filed: Oct 12, 2018
Organised: Limited Liability Company, Delaware

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
1919 INVESTMENT COUNSEL, LLC	SOLE MEMBER	E	yes	10/2018	Oct 12, 2018	Oct 12, 2018
OMEALIA, HARRY	PRESIDENT AND CHIEF EXECUTIVE OFFICER	Na	yes	10/2018	Oct 12, 2018	Oct 12, 2018
PASQUARELLA, MARGARET, MARY	CHIEF FINANCIAL OFFICER	Na	yes	10/2018	Oct 12, 2018	Oct 12, 2018
SCANLON, MICHAEL, PATRICK	CHIEF COMPLIANCE OFFICER	Na	yes	10/2018	Oct 12, 2018	Oct 12, 2018
STIFEL FINANCIAL CORP.	SOLE MEMBER	E	yes	11/2014	Oct 12, 2018	Oct 12, 2018

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
2017	Mar 29, 2018	$1.3B	$1.2B	12	7	0	n/a	n/a
2016	Mar 15, 2017	$1.0B	$1.0B	12	7	n/a	n/a	n/a
2015	Mar 4, 2016	$930M	$919M	13	8	n/a	n/a	n/a
2014	Mar 24, 2015	$946M	$934M	12	7	n/a	n/a	n/a
2013	Mar 26, 2014	$862M	$850M	11	7	n/a	n/a	n/a
2012	Mar 22, 2013	$705M	$697M	10	5	n/a	n/a	n/a
2011	Apr 30, 2012	$655M	$655M	n/a	n/a	n/a	n/a	n/a

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
2017	$1.3B	$1.0B	20.9%	$946M	10.0%	12	12	1	n/a

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
1919 INVESTMENT COUNSEL, LLC	6	Oct 5, 2018	Oct 4, 2018	BALTIMORE, MD	Firm absorbed	RIA to RIA	100.0%

Relationships

Controls (5)

← PASQUARELLA, MARGARET, MARYOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Oct 12, 2018 to presentfactForm ADV
← SCANLON, MICHAEL, PATRICKOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Oct 12, 2018 to presentfactForm ADV
← OMEALIA, HARRYOwnerPRESIDENT AND CHIEF EXECUTIVE OFFICER, ownership code NA, individual
Oct 12, 2018 to presentfactForm ADV
← 1919 INVESTMENT COUNSEL, LLCOwnerSOLE MEMBER, ownership code E, domestic entity
Oct 12, 2018 to presentfactForm ADV
← STIFEL FINANCIAL CORP.OwnerSOLE MEMBER, ownership code E, domestic entity
Oct 12, 2018 to presentfactForm ADV

Registered with (8)

← ANDREW JEROME RANDAdvisorregistration: previous registration
Dec 22, 2011 to Oct 15, 2018factForm ADV
← JOHN RUSSELL ROBERSONAdvisorregistration: previous registration
Dec 22, 2011 to Oct 5, 2018factForm ADV
← LAWRENCE V ZARTARIANAdvisorregistration: previous registration
Aug 16, 2011 to Oct 5, 2018factForm ADV
← ELIZABETH ANN JUSONAdvisorregistration: previous registration
Nov 19, 2012 to Oct 5, 2018factForm ADV
← JAMES JOSEPH O'CONNORAdvisorregistration: previous registration
Oct 5, 2016 to Oct 5, 2018factForm ADV
← ERIKA DE LA ROSA HENNESSEYAdvisorregistration: previous registration
Jun 18, 2015 to Oct 5, 2018factForm ADV
← Cynthia J MorrisAdvisorregistration: previous registration
Jun 18, 2015 to Aug 14, 2018factForm ADV
← Paulina WongAdvisorregistration: previous registration
Dec 22, 2011 to Jul 6, 2012factForm ADV

Moved with (1)

→ 1919 INVESTMENT COUNSEL, LLCRegistered adviser6 advisors, firm absorbed
Oct 5, 2018 to Oct 4, 2018factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ac421c3d-7336-63f0-14e0-c5fee51ec9d0
First observed: Mar 27, 2012
Last observed: Oct 12, 2018 96 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.

RAND & ASSOCIATES

RAND WEALTH, LLC, CRD 157807

BALTIMORE, MD

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:ac421c3d-7336-63f0-14e0-c5fee51ec9d0

Data as of Oct 12, 2018 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:06 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

1919 INVESTMENT COUNSEL, LLC

SOLE MEMBER

yes

10/2018

Oct 12, 2018

OMEALIA, HARRY

PRESIDENT AND CHIEF EXECUTIVE OFFICER

yes

10/2018

Oct 12, 2018

PASQUARELLA, MARGARET, MARY

CHIEF FINANCIAL OFFICER

yes

10/2018

Oct 12, 2018

SCANLON, MICHAEL, PATRICK

CHIEF COMPLIANCE OFFICER

yes

10/2018

Oct 12, 2018

STIFEL FINANCIAL CORP.

SOLE MEMBER

yes

11/2014

Oct 12, 2018

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2017

Mar 29, 2018

$1.3B

$1.2B

n/a

2016

Mar 15, 2017

$1.0B

n/a

2015

Mar 4, 2016

$930M

$919M

n/a

2014

Mar 24, 2015

$946M

$934M

n/a

2013

Mar 26, 2014

$862M

$850M

n/a

2012

Mar 22, 2013

$705M

$697M

n/a

2011

Apr 30, 2012

$655M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2017

$1.3B

$1.0B

20.9%

$946M

10.0%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

1919 INVESTMENT COUNSEL, LLC

Oct 5, 2018

Oct 4, 2018

BALTIMORE, MD

Firm absorbed

RIA to RIA

100.0%