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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

TOTAL FINANCIAL ADVISORS, LLC

CRD 143998

BETHPAGE, NY

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:b1d1915e-6543-8a99-489f-254810cd5ca1

Data as of Mar 12, 2019 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:32 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 0
On other graphs: 0
Observed: Mar 13, 2012 to Mar 12, 2019
19 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: $203MItem 5.F on the latest filing (2019-03-12); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $203M
Private client RAUM: $201MderivedItem 5.D individuals plus high net worth individuals
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 8
Advisory employees: 3
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 781
Individual clients: 268
High net worth clients: 66
SEC number: 801-67935
CRD: 143998
Filings on the tape: 19
First filed: Mar 13, 2012
Latest filed: Mar 12, 2019
Organised: Limited Liability Company, New York

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
PIANGOZZA, JAMES, JOSEPH	CHIEF OPERATIONS OFFICER AND CHIEF INVESTMENT OFFICER	B	yes	02/2007	Mar 13, 2012	Mar 12, 2019
PIANGOZZA, JOSEPH	MANAGING MEMBER/CHIEF EXECUTIVE OFFICER/CHIEF COMPLIANCE OFFICER	C	yes	02/2007	Mar 13, 2012	Mar 12, 2019
PIANGOZZA, SUSAN, LYNN	VICE PRESIDENT	C	yes	02/2007	Mar 13, 2012	Mar 12, 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
TOTAL FINANCIAL SYSTEMS INC.	n/a	n/a	n/a	N	yes	n/a

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 12, 2019	$203M	$203M	8	3	0	n/a	n/a
2017	Feb 5, 2018	$218M	$218M	8	3	0	n/a	n/a
2016	Mar 8, 2017	$193M	$192M	8	4	n/a	n/a	n/a
2015	Jan 29, 2016	$186M	$186M	8	4	n/a	n/a	n/a
2014	Feb 19, 2015	$178M	$178M	7	4	n/a	n/a	n/a
2013	Feb 15, 2014	$159M	$159M	8	4	n/a	n/a	n/a
2012	Feb 19, 2013	$143M	$140M	8	3	n/a	n/a	n/a
2011	Mar 13, 2012	$124M	$124M	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	$203M	$218M	-6.7%	$186M	3.0%	8	8	0	0

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
UNITED CAPITAL FINANCIAL ADVISORS	2	May 16, 2019	Mar 30, 2021	BETHPAGE, NY	Team lift out	RIA to RIA	100.0%

Relationships

Controls (3)

← PIANGOZZA, JOSEPHOwnerMANAGING MEMBER/CHIEF EXECUTIVE OFFICER/CHIEF COMPLIANCE OFFICER, ownership code C, individual
Mar 13, 2012 to presentfactForm ADV
← PIANGOZZA, SUSAN, LYNNOwnerVICE PRESIDENT, ownership code C, individual
Mar 13, 2012 to presentfactForm ADV
← PIANGOZZA, JAMES, JOSEPHOwnerCHIEF OPERATIONS OFFICER AND CHIEF INVESTMENT OFFICER, ownership code B, individual
Mar 13, 2012 to presentfactForm ADV

Moved with (1)

→ UNITED CAPITAL FINANCIAL ADVISORSRegistered adviser2 advisors, team lift out, same day
May 16, 2019 to Mar 30, 2021factForm ADV

Registered with (5)

← KEITH CHATELAdvisorregistration: previous registration
May 17, 2019 to Jun 25, 2019factForm ADV
← JAMES JOSEPH PIANGOZZAAdvisorregistration: previous registration
Jul 24, 2015 to May 16, 2019factForm ADV
← PATRICIA R VITALEAdvisorregistration: previous registration
Jul 22, 2013 to May 16, 2019factForm ADV
← BRYAN CHARLES DUFFYAdvisorregistration: previous registration
Oct 5, 2015 to Oct 9, 2017factForm ADV
← CRAIG A GRAYSONAdvisorregistration: previous registration
Apr 4, 2014 to Aug 17, 2015factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b1d1915e-6543-8a99-489f-254810cd5ca1
First observed: Mar 13, 2012
Last observed: Mar 12, 2019 91 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.

TOTAL FINANCIAL ADVISORS, LLC

CRD 143998

BETHPAGE, NY

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:b1d1915e-6543-8a99-489f-254810cd5ca1

Data as of Mar 12, 2019 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:32 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

PIANGOZZA, JAMES, JOSEPH

CHIEF OPERATIONS OFFICER AND CHIEF INVESTMENT OFFICER

yes

02/2007

Mar 13, 2012

Mar 12, 2019

PIANGOZZA, JOSEPH

MANAGING MEMBER/CHIEF EXECUTIVE OFFICER/CHIEF COMPLIANCE OFFICER

yes

02/2007

Mar 13, 2012

Mar 12, 2019

PIANGOZZA, SUSAN, LYNN

VICE PRESIDENT

yes

02/2007

Mar 13, 2012

Mar 12, 2019

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

TOTAL FINANCIAL SYSTEMS INC.

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2018

Mar 12, 2019

$203M

n/a

2017

Feb 5, 2018

$218M

n/a

2016

Mar 8, 2017

$193M

$192M

n/a

2015

Jan 29, 2016

$186M

n/a

2014

Feb 19, 2015

$178M

n/a

2013

Feb 15, 2014

$159M

n/a

2012

Feb 19, 2013

$143M

$140M

n/a

2011

Mar 13, 2012

$124M

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

$203M

$218M

-6.7%

$186M

3.0%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

UNITED CAPITAL FINANCIAL ADVISORS

May 16, 2019

Mar 30, 2021

BETHPAGE, NY

Team lift out

RIA to RIA

100.0%