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

QUESTAR ASSET MANAGEMENT, INC.

CRD 133358

MINNEAPOLIS, MN

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:ad5e805b-882d-f8dc-0ff9-3a3f60e69a17

Data as of May 7, 2019 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:06 AM UTC and rebuilt at most every 15 minutes.

Relationships: 730
Dated events: 10
On other graphs: 0
Observed: Mar 30, 2012 to May 7, 2019
55 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: $1.1BItem 5.F on the latest filing (2019-05-07); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $183M
Private client RAUM: $1.0BderivedItem 5.D individuals plus high net worth individuals
Private client share: 97%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 431
Advisory employees: 431
Offices: 283Schedule D 1.F, beyond the principal office
Accounts: 6,432
Individual clients: 4,450
High net worth clients: 5
SEC number: 801-63747
CRD: 133358
Filings on the tape: 55
First filed: Mar 30, 2012
Latest filed: May 7, 2019
Organised: Corporation, Minnesota

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
ALLIANZ EUROPE B.V.	Shareholder	E	yes	06/2012	Jul 27, 2012	May 7, 2019
ALLIANZ LIFE INSURANCE COMPANY OF NORTH AMERICA	Shareholder	E	yes	11/2005	Mar 30, 2012	May 7, 2019
ALLIANZ OF AMERICA INC	Shareholder	E	yes	04/1996	Mar 30, 2012	May 7, 2019
ALLIANZ SOCIETAS EUROPAEA	Shareholder	E	yes	06/2012	Mar 30, 2012	May 7, 2019
Braun, Barbara, J	CHIEF TECHNOLOGY AND EXECUTIVE PROJECTS OFFICER	Na	yes	07/2017	Sep 28, 2017	May 7, 2019
BROOKS, MELISSA, CAWOOD	CHIEF FINANCIAL OFFICER	Na	yes	04/2019	Mar 30, 2012	May 7, 2019
DU MOND, SHARON, LEA	PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR	Na	yes	07/2015	Aug 14, 2015	May 7, 2019
GAUMOND, WILLIAM, EDWARD	Director	Na	yes	01/2016	Jan 11, 2016	May 7, 2019
LORD-KRAHN, KRISTINE, MARIE	CHIEF LEGAL OFFICER, SECRETARY	Na	yes	10/2005	Aug 14, 2015	May 7, 2019
SAND PETERSON, JESSICA, KAY	CHIEF OPERATING AND SUPERVISION OFFICER	Na	yes	02/2019	Feb 4, 2019	May 7, 2019
STARKMAN, KRISTINE, ALANE	CHIEF COMPLIANCE OFFICER	Na	yes	09/2017	Sep 28, 2017	May 7, 2019
THOMES, ERIC, JON	Chairman	Na	yes	04/2019	Apr 30, 2019	May 7, 2019
YORKTOWN FINANCIAL COMPANIES, INC. INDIANA	Shareholder	E	yes	04/2004	Mar 30, 2012	May 7, 2019

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
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC	n/a	Asset manager	$3667B	N	yes	n/a
ALLIANZ INVESTMENT MANAGEMENT LLC	n/a	Asset manager	$19B	N	yes	n/a
ALLIANZ GLOBAL INVESTORS U.S. LLC	n/a	Former SEC adviser	$5.0B	N	yes	n/a
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC	n/a	n/a	n/a	N	yes	n/a
ALLIANZ LIFE FINANCIAL SERVICES, LLC	n/a	n/a	n/a	N	yes	n/a
PIMCO INVESTMENTS LLC	n/a	n/a	n/a	N	yes	n/a
QUESTAR CAPITAL CORPORATION	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

City	State	Country	Employees	Also broker-dealer
Charlotte	Nc	United States	14	yes
Roseville	CA	United States	10	yes
Minnetonka	Mn	United States	10	yes
CAMERON PARK	CA	United States	6	yes
ANN ARBOR	Mi	United States	5	yes
Bloomington	Mn	United States	5	yes
MOUNT LAUREL	Nj	United States	5	yes
PALM BEACH GARDENS	FL	United States	4	yes
Atlanta	Ga	United States	4	yes
Brighton	Mi	United States	4	yes
CHERRY HILL	Nj	United States	4	yes
Brookfield	Wi	United States	4	yes
HUNTINGTON BEACH	CA	United States	3	yes
Greeley	Co	United States	3	yes
Rockledge	FL	United States	3	yes
LAKE CHARLES	La	United States	3	yes
ROCHESTER HILLS	Mi	United States	3	yes
ST. LOUIS	Mo	United States	3	yes
Biloxi	Ms	United States	3	yes
Lincoln	Ne	United States	3	yes
Lincoln	Ne	United States	3	yes
Dover	Nh	United States	3	yes
Torrance	CA	United States	2	yes
NORTH ATTLEBORO	Ma	United States	2	yes
Roanoke	TX	United States	2	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
2018	Mar 4, 2019	$1.1B	$183M	431	431	283	n/a	n/a
2017	Mar 20, 2018	$985M	$116M	501	501	350	n/a	n/a
2016	Mar 30, 2017	$867M	$143M	483	483	n/a	n/a	n/a
2015	Mar 30, 2016	$839M	$137M	444	444	n/a	n/a	n/a
2014	Mar 31, 2015	$624M	$107M	479	479	n/a	n/a	n/a
2013	Mar 31, 2014	$505M	$117M	422	422	n/a	n/a	n/a
2012	Mar 28, 2013	$346M	$126M	380	380	n/a	n/a	n/a
2011	Mar 30, 2012	$272M	$109M	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
2018	$1.1B	$985M	7.0%	$839M	7.9%	431	501	283	350

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction; showing 20 of 22

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
CRI SECURITIES, LLC	2	Jul 15, 2019	Oct 5, 2020	MINNEAPOLIS, MN	Team lift out	Ibd to ibd	66.7%
WOODBURY FINANCIAL SERVICES, INC.	2	Jul 3, 2019	Sep 16, 2020	MINNEAPOLIS, MN	Team lift out	Ibd to ibd	50.0%
TLG ADVISORS, INC.	2	May 2, 2019	Sep 23, 2019	SACRAMENTO, CA	Team lift out	Ibd to ibd	11.1%
TLG ADVISORS, INC.	2	May 2, 2019	Nov 16, 2020	ANN ARBOR, MI	Team lift out	Ibd to ibd	11.1%
TLG ADVISORS, INC.	4	May 2, 2019	Jan 12, 2026	MINNEAPOLIS, MN	Team lift out	Ibd to ibd	22.2%
SECURITIES AMERICA ADVISORS, INC.	2	Feb 26, 2019	Jun 3, 2019	MINNEAPOLIS, MN	Team lift out	Ibd to ibd	0.7%
ESTATE PERFORMANCE ADVISORS L.L.C.	3	Feb 14, 2019	Jan 1, 2025	MINNEAPOLIS, MN	Team lift out	Ibd to state RIA	1.1%
SECURITIES AMERICA ADVISORS, INC.	2	Feb 8, 2019	Feb 15, 2019	ROCKLEDGE, FL	Team lift out	Ibd to ibd	0.7%
SECURITIES AMERICA ADVISORS, INC.	2	Feb 6, 2019	Feb 13, 2019	LINCOLN, NE	Team lift out	Ibd to ibd	0.7%
SECURITIES AMERICA ADVISORS, INC.	2	Jan 25, 2019	Feb 13, 2019	MINNEAPOLIS, MN	Team lift out	Ibd to ibd	0.7%
CROWN WEALTH GROUP LLC	2	Jan 11, 2019	Jan 29, 2019	CHARLOTTE, NC	Team lift out	Ibd to RIA	0.6%
SECURITIES AMERICA ADVISORS, INC.	3	Dec 31, 2018	Dec 27, 2018	SCOTTSDALE, AZ	Team lift out	Ibd to ibd	0.9%
SECURITIES AMERICA ADVISORS, INC.	2	Dec 31, 2018	Jan 23, 2019	MINNEAPOLIS, MN	Team lift out	Ibd to ibd	0.6%
CETERA ADVISORS LLC	3	Dec 18, 2018	Mar 18, 2019	MINNEAPOLIS, MN	Team lift out	Ibd to ibd	0.9%
SECURITIES AMERICA ADVISORS, INC.	2	Dec 10, 2018	Dec 7, 2018	OZARK, MO	Team lift out	Ibd to ibd	0.6%
GREENSHIELDS CAPITAL LLC	3	Dec 22, 2016	May 1, 2017	EL SEGUNDO, CA	Team lift out	Other	0.9%
SAGEPOINT FINANCIAL, INC.	2	Dec 6, 2016	Nov 10, 2016	MINNEAPOLIS, MN	Team lift out	Other	0.6%
SAGEPOINT FINANCIAL, INC.	3	May 26, 2016	May 23, 2016	HOUSTON, TX	Team lift out	Other	1.0%
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	2	Dec 3, 2015	Dec 2, 2015	WOODSTOCK, GA	Team lift out	Other	0.7%
CETERA ADVISOR NETWORKS LLC	2	Jul 1, 2015	Jul 2, 2015	GREENVILLE, SC	Team lift out	Other	0.7%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC	2	Feb 12, 2018	Feb 13, 2018	MIAMI, FL	Team lift out	Other	11.8%
WADDELL & REED	2	Aug 23, 2017	Aug 17, 2017	TUCSON, AZ	Team lift out	Other	0.1%
ONEAMERICA SECURITIES, INC.	3	Mar 7, 2017	Mar 2, 2017	CHESTERFIELD, MO	Team lift out	Other	1.5%
H. BECK, INC.	2	Dec 23, 2016	Dec 23, 2016	VISALIA, CA	Team lift out	Other	0.7%
VISIONQUEST WEALTH MANAGEMENT, LLC	2	Jul 13, 2016	Sep 15, 2016	RALEIGH, NC	Team lift out	Other	66.7%
GIRARD SECURITIES, INC.	4	Mar 13, 2015	Apr 10, 2015	COLUMBUS, NE	Team lift out	Other	4.3%
GIRARD SECURITIES, INC.	3	Feb 19, 2015	Mar 26, 2015	COLUMBUS, NE	Team lift out	Other	3.2%

Relationships

showing 80 of 730

Affiliated with (4)

→ PACIFIC INVESTMENT MANAGEMENT COMPANY LLCRegistered adviserother investment adviser, common control
factForm ADV
→ ALLIANZ INVESTMENT MANAGEMENT LLCRegistered adviserother investment adviser, common control
factForm ADV
→ ALLIANZ GLOBAL INVESTORS U.S. LLCRegistered adviserother investment adviser, common control
factForm ADV
← RCM ASIA PACIFIC LIMITEDRegistered adviserother investment adviser, common control
factForm ADV

Controls (13)

← DU MOND, SHARON, LEAOwnerPRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR, ownership code NA, individual
Aug 14, 2015 to presentfactForm ADV
← STARKMAN, KRISTINE, ALANEOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Sep 28, 2017 to presentfactForm ADV
← BROOKS, MELISSA, CAWOODOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← LORD-KRAHN, KRISTINE, MARIEOwnerCHIEF LEGAL OFFICER, SECRETARY, ownership code NA, individual
Aug 14, 2015 to presentfactForm ADV
← SAND PETERSON, JESSICA, KAYOwnerCHIEF OPERATING AND SUPERVISION OFFICER, ownership code NA, individual
Feb 4, 2019 to presentfactForm ADV
← THOMES, ERIC, JONOwnerCHAIRMAN, ownership code NA, individual
Apr 30, 2019 to presentfactForm ADV
← GAUMOND, WILLIAM, EDWARDOwnerDIRECTOR, ownership code NA, individual
Jan 11, 2016 to presentfactForm ADV
← Braun, Barbara, JOwnerCHIEF TECHNOLOGY AND EXECUTIVE PROJECTS OFFICER, ownership code NA, individual
Sep 28, 2017 to presentfactForm ADV
← ALLIANZ EUROPE B.V.OwnerSHAREHOLDER, ownership code E, foreign entity
Jul 27, 2012 to presentfactForm ADV
← ALLIANZ LIFE INSURANCE COMPANY OF NORTH AMERICAOwnerSHAREHOLDER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV
← ALLIANZ OF AMERICA INCOwnerSHAREHOLDER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV
← ALLIANZ SOCIETAS EUROPAEAOwnerSHAREHOLDER, ownership code E, foreign entity
Mar 30, 2012 to presentfactForm ADV
← YORKTOWN FINANCIAL COMPANIES, INC. INDIANAOwnerSHAREHOLDER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV

Moved with (6)

→ TLG ADVISORS, INC.Registered adviser4 advisors, team lift out, same day
May 2, 2019 to Jan 12, 2026factForm ADV
→ ESTATE PERFORMANCE ADVISORS L.L.C.Registered adviser3 advisors, team lift out, same day
Feb 14, 2019 to Jan 1, 2025factForm ADV
→ CRI SECURITIES, LLCRegistered adviser2 advisors, team lift out, same day
Jul 15, 2019 to Oct 5, 2020factForm ADV
→ WOODBURY FINANCIAL SERVICES, INC.Registered adviser2 advisors, team lift out
Jul 3, 2019 to Sep 16, 2020factForm ADV
→ SECURITIES AMERICA ADVISORS, INC.Registered adviser2 advisors, team lift out
Feb 26, 2019 to Jun 3, 2019factForm ADV
→ CETERA ADVISORS LLCRegistered adviser3 advisors, team lift out
Dec 18, 2018 to Mar 18, 2019factForm ADV

Registered with (55)

← Jessica Kay Sand PetersonAdvisorregistration: previous registration
Feb 11, 2019 to Jul 15, 2019factForm ADV
← Kristin Louise StromAdvisorregistration: previous registration
Jan 26, 2015 to Jul 15, 2019factForm ADV
← Megan KielAdvisorregistration: previous registration
Jul 26, 2017 to Jul 15, 2019factForm ADV
← Eric Michael GrafnitzAdvisorregistration: previous registration
Apr 16, 2019 to Jul 3, 2019factForm ADV
← JOHN WILLIAM CHALLASAdvisorregistration: previous registration
Mar 19, 2015 to May 2, 2019factForm ADV
← John Samuel DuMondAdvisorregistration: previous registration
Mar 5, 2014 to May 2, 2019factForm ADV
← Gerard John VanderzandenAdvisorregistration: previous registration
Feb 1, 2017 to May 2, 2019factForm ADV
← Eric Dixon LoaizaAdvisorregistration: previous registration
May 29, 2009 to May 2, 2019factForm ADV
← James Michael MorrisAdvisorregistration: previous registration
May 31, 2012 to May 2, 2019factForm ADV
← Michael Thomas PetersenAdvisorregistration: previous registration
Nov 8, 2018 to May 2, 2019factForm ADV
← KELLY WILLIAM BUDAAdvisorregistration: previous registration
Dec 20, 2013 to May 2, 2019factForm ADV
← Pamela Marie EchegarayAdvisorregistration: previous registration
Jun 25, 2009 to May 2, 2019factForm ADV
← Philip Charles HagopianAdvisorregistration: previous registration
Jul 7, 2015 to May 2, 2019factForm ADV
← RUSTAN COOLEY THAYERAdvisorregistration: previous registration
Dec 14, 2012 to May 2, 2019factForm ADV
← PAUL CHRISTOPHER VESSELAdvisorregistration: previous registration
Nov 30, 2017 to May 2, 2019factForm ADV
← Justin Heath WaddingtonAdvisorregistration: previous registration
Jul 2, 2013 to May 2, 2019factForm ADV
← Matthew Lawrence KaasAdvisorregistration: previous registration
May 31, 2016 to May 2, 2019factForm ADV
← Diana Michele GrohAdvisorregistration: previous registration
May 25, 2016 to May 2, 2019factForm ADV
← Juli WilderAdvisorregistration: previous registration
Jun 20, 2016 to Apr 1, 2019factForm ADV
← ELLEN NELSON FRYSAdvisorregistration: previous registration
Dec 10, 2014 to Apr 1, 2019factForm ADV
← CHRISTOPHER EDGAR CRONAdvisorregistration: previous registration
Jan 29, 2014 to Mar 18, 2019factForm ADV
← Andrew Baird DavisAdvisorregistration: previous registration
Oct 25, 2017 to Mar 13, 2019factForm ADV
← Gregory Jon ClemensAdvisorregistration: previous registration
Jul 20, 2017 to Mar 7, 2019factForm ADV
← James Ronald KingAdvisorregistration: previous registration
Jan 6, 2016 to Mar 7, 2019factForm ADV
← Bruce A GarberAdvisorregistration: previous registration
Jul 21, 2015 to Mar 6, 2019factForm ADV
← Robert WilliamsAdvisorregistration: previous registration
Dec 26, 2016 to Mar 6, 2019factForm ADV
← Matthew PfaffAdvisorregistration: previous registration
Oct 11, 2016 to Mar 6, 2019factForm ADV
← STEVEN QUINTON LINDGRENAdvisorregistration: previous registration
Nov 2, 2017 to Mar 6, 2019factForm ADV
← NOREEN SUE LIN CLEMENTAdvisorregistration: previous registration
Dec 15, 2016 to Mar 1, 2019factForm ADV
← CRAIG ALLEN HAUGERAdvisorregistration: previous registration
Sep 10, 2014 to Mar 1, 2019factForm ADV
and 25 more

Dated events

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

Occurred
Apr 30, 2019
Control person joined
Jon Eric Thomes (Chairman) appeared on Schedule A of Questar Asset Management, Inc.
Form ADVobserved 6 days ago
Occurred
Apr 30, 2019
Control person joined
Cawood Melissa Brooks (Chief Financial Officer) appeared on Schedule A of Questar Asset Management, Inc.
Form ADVobserved 6 days ago
Occurred
Apr 30, 2019
Control person left
Patrick Thomas Burns (Chairman) no longer on Schedule A of Questar Asset Management, Inc. (listed 2019-03-22, absent 2019-04-30)
Form ADVobserved 6 days ago
Occurred
Apr 30, 2019
Control person left
Catherine Amy Halverson (Chief Financial Officer) no longer on Schedule A of Questar Asset Management, Inc. (listed 2019-03-22, absent 2019-04-30)
Form ADVobserved 6 days ago
Occurred
Apr 30, 2019
Control person left
Lyn Darcy Matz (Chief Field Development And Marketing Officer) no longer on Schedule A of Questar Asset Management, Inc. (listed 2019-03-22, absent 2019-04-30)
Form ADVobserved 6 days ago
Occurred
Feb 4, 2019
Control person left
Christopher Matthew Dian (Chief Operating And Supervision Officer) no longer on Schedule A of Questar Asset Management, Inc. (listed 2019-01-30, absent 2019-02-04)
Form ADVobserved 6 days ago
Occurred
Feb 4, 2019
Control person joined
Kay Jessica Sand Peterson (Chief Operating And Supervision Officer) appeared on Schedule A of Questar Asset Management, Inc.
Form ADVobserved 6 days ago
Occurred
Jan 16, 2013
Succession filed (Item 4)
Questar Asset Management, Inc. reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 6 days ago

Show 2 bookkeeping events

Occurred
Mar 4, 2019
Questar Asset Management, Inc. reported 283 offices beyond its principal office, down from 350 (2019-02-04 to 2019-03-04)
Occurred
Mar 20, 2018
Questar Asset Management, Inc. reported 350 offices beyond its principal office, down from 356 (2018-02-05 to 2018-03-20)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ad5e805b-882d-f8dc-0ff9-3a3f60e69a17
First observed: Mar 30, 2012
Last observed: May 7, 2019 89 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.

QUESTAR ASSET MANAGEMENT, INC.

CRD 133358

MINNEAPOLIS, MN

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:ad5e805b-882d-f8dc-0ff9-3a3f60e69a17

Data as of May 7, 2019 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:06 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ALLIANZ EUROPE B.V.

Shareholder

yes

06/2012

Jul 27, 2012

May 7, 2019

ALLIANZ LIFE INSURANCE COMPANY OF NORTH AMERICA

Shareholder

yes

11/2005

Mar 30, 2012

May 7, 2019

ALLIANZ OF AMERICA INC

Shareholder

yes

04/1996

Mar 30, 2012

May 7, 2019

ALLIANZ SOCIETAS EUROPAEA

Shareholder

yes

06/2012

Mar 30, 2012

May 7, 2019

Braun, Barbara, J

CHIEF TECHNOLOGY AND EXECUTIVE PROJECTS OFFICER

yes

07/2017

Sep 28, 2017

May 7, 2019

BROOKS, MELISSA, CAWOOD

CHIEF FINANCIAL OFFICER

yes

04/2019

Mar 30, 2012

May 7, 2019

DU MOND, SHARON, LEA

PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR

yes

07/2015

Aug 14, 2015

May 7, 2019

GAUMOND, WILLIAM, EDWARD

Director

yes

01/2016

Jan 11, 2016

May 7, 2019

LORD-KRAHN, KRISTINE, MARIE

CHIEF LEGAL OFFICER, SECRETARY

yes

10/2005

Aug 14, 2015

May 7, 2019

SAND PETERSON, JESSICA, KAY

CHIEF OPERATING AND SUPERVISION OFFICER

yes

02/2019

Feb 4, 2019

May 7, 2019

STARKMAN, KRISTINE, ALANE

CHIEF COMPLIANCE OFFICER

yes

09/2017

Sep 28, 2017

May 7, 2019

THOMES, ERIC, JON

Chairman

yes

04/2019

Apr 30, 2019

May 7, 2019

YORKTOWN FINANCIAL COMPANIES, INC. INDIANA

Shareholder

yes

04/2004

Mar 30, 2012

May 7, 2019

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

PACIFIC INVESTMENT MANAGEMENT COMPANY LLC

n/a

Asset manager

$3667B

yes

n/a

ALLIANZ INVESTMENT MANAGEMENT LLC

n/a

Asset manager

$19B

yes

n/a

ALLIANZ GLOBAL INVESTORS U.S. LLC

n/a

Former SEC adviser

$5.0B

yes

n/a

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

n/a

yes

n/a

ALLIANZ LIFE FINANCIAL SERVICES, LLC

n/a

yes

n/a

PIMCO INVESTMENTS LLC

n/a

yes

n/a

QUESTAR CAPITAL CORPORATION

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Charlotte

United States

yes

Roseville

United States

yes

Minnetonka

United States

yes

CAMERON PARK

United States

yes

ANN ARBOR

United States

yes

Bloomington

United States

yes

MOUNT LAUREL

United States

yes

PALM BEACH GARDENS

United States

yes

Atlanta

United States

yes

Brighton

United States

yes

CHERRY HILL

United States

yes

Brookfield

United States

yes

HUNTINGTON BEACH

United States

yes

Greeley

United States

yes

Rockledge

United States

yes

LAKE CHARLES

United States

yes

ROCHESTER HILLS

United States

yes

ST. LOUIS

United States

yes

Biloxi

United States

yes

Lincoln

United States

yes

Lincoln

United States

yes

Dover

United States

yes

Torrance

United States

yes

NORTH ATTLEBORO

United States

yes

Roanoke

United States

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2018

Mar 4, 2019

$1.1B

$183M

431

283

n/a

2017

Mar 20, 2018

$985M

$116M

501

350

n/a

2016

Mar 30, 2017

$867M

$143M

483

n/a

2015

Mar 30, 2016

$839M

$137M

444

n/a

2014

Mar 31, 2015

$624M

$107M

479

n/a

2013

Mar 31, 2014

$505M

$117M

422

n/a

2012

Mar 28, 2013

$346M

$126M

380

n/a

2011

Mar 30, 2012

$272M

$109M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2018

$1.1B

$985M

7.0%

$839M

7.9%

431

501

283

350

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

CRI SECURITIES, LLC

Jul 15, 2019

Oct 5, 2020

MINNEAPOLIS, MN

Team lift out

Ibd to ibd

66.7%

WOODBURY FINANCIAL SERVICES, INC.

Jul 3, 2019

Sep 16, 2020

MINNEAPOLIS, MN

Team lift out

Ibd to ibd

50.0%

TLG ADVISORS, INC.

May 2, 2019

Sep 23, 2019

SACRAMENTO, CA

Team lift out

Ibd to ibd

11.1%

TLG ADVISORS, INC.

May 2, 2019

Nov 16, 2020

ANN ARBOR, MI

Team lift out

Ibd to ibd

11.1%

TLG ADVISORS, INC.

May 2, 2019

Jan 12, 2026

MINNEAPOLIS, MN

Team lift out

Ibd to ibd

22.2%

SECURITIES AMERICA ADVISORS, INC.

Feb 26, 2019

Jun 3, 2019

MINNEAPOLIS, MN

Team lift out

Ibd to ibd

0.7%

ESTATE PERFORMANCE ADVISORS L.L.C.

Feb 14, 2019

Jan 1, 2025

MINNEAPOLIS, MN

Team lift out

Ibd to state RIA

1.1%

SECURITIES AMERICA ADVISORS, INC.

Feb 8, 2019

Feb 15, 2019

ROCKLEDGE, FL

Team lift out

Ibd to ibd

0.7%

SECURITIES AMERICA ADVISORS, INC.

Feb 6, 2019

Feb 13, 2019

LINCOLN, NE

Team lift out

Ibd to ibd

0.7%

SECURITIES AMERICA ADVISORS, INC.

Jan 25, 2019

Feb 13, 2019

MINNEAPOLIS, MN

Team lift out

Ibd to ibd

0.7%

CROWN WEALTH GROUP LLC

Jan 11, 2019

Jan 29, 2019

CHARLOTTE, NC

Team lift out

Ibd to RIA

0.6%

SECURITIES AMERICA ADVISORS, INC.

Dec 31, 2018

Dec 27, 2018

SCOTTSDALE, AZ

Team lift out

Ibd to ibd

0.9%

SECURITIES AMERICA ADVISORS, INC.

Dec 31, 2018

Jan 23, 2019

MINNEAPOLIS, MN

Team lift out

Ibd to ibd

0.6%

CETERA ADVISORS LLC

Dec 18, 2018

Mar 18, 2019

MINNEAPOLIS, MN

Team lift out

Ibd to ibd

0.9%

SECURITIES AMERICA ADVISORS, INC.

Dec 10, 2018

Dec 7, 2018

OZARK, MO

Team lift out

Ibd to ibd

0.6%

GREENSHIELDS CAPITAL LLC

Dec 22, 2016

May 1, 2017

EL SEGUNDO, CA

Team lift out

Other

0.9%

SAGEPOINT FINANCIAL, INC.

Dec 6, 2016

Nov 10, 2016

MINNEAPOLIS, MN

Team lift out

Other

0.6%

SAGEPOINT FINANCIAL, INC.

May 26, 2016

May 23, 2016

HOUSTON, TX

Team lift out

Other

1.0%

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Dec 3, 2015

Dec 2, 2015

WOODSTOCK, GA

Team lift out

Other

0.7%

CETERA ADVISOR NETWORKS LLC

Jul 1, 2015

Jul 2, 2015

GREENVILLE, SC

Team lift out

Other

0.7%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC

Feb 12, 2018

Feb 13, 2018

MIAMI, FL

Team lift out

Other

11.8%

WADDELL & REED

Aug 23, 2017

Aug 17, 2017

TUCSON, AZ

Team lift out

Other

0.1%

ONEAMERICA SECURITIES, INC.

Mar 7, 2017

Mar 2, 2017

CHESTERFIELD, MO

Team lift out

Other

1.5%

H. BECK, INC.

Dec 23, 2016

VISALIA, CA

Team lift out

Other

0.7%

VISIONQUEST WEALTH MANAGEMENT, LLC

Jul 13, 2016

Sep 15, 2016

RALEIGH, NC

Team lift out

Other

66.7%

GIRARD SECURITIES, INC.

Mar 13, 2015

Apr 10, 2015

COLUMBUS, NE

Team lift out

Other

4.3%

GIRARD SECURITIES, INC.

Feb 19, 2015

Mar 26, 2015

COLUMBUS, NE

Team lift out

Other

3.2%