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CRD 298868
OAKMONT, PA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| AIMEE ANNE TOTH | n/a | OAKMONT, PA | 7 | 18 | 2 | yes |
| GREGORY SCOTT TEAL | Certified Financial Planner | Upper Chichester, PA | OAKMONT, PA | 7 | 22 | 2 | yes |
| ERIC MICHAEL SMITH | n/a | Doylestown, PA | OAKMONT, PA | 7 | 22 | 1 | yes |
| KRISTIN MARIE PEARSON | n/a | OAKMONT, PA | 7 | 22 | 5 | yes |
| WILLIAM THOMAS KRZTON | n/a | OAKMONT, PA | 7 | 32 | n/a | no |
| SCOTT ALAN LUCAS | Chartered Financial Consultant | Worthington, OH | OAKMONT, PA | 6 | 39 | 2 | yes |
| CATHERINE JOYCE OLIVER-ALLEN | n/a | OAKMONT, PA | Basalt, CO | 6 | 42 | 3 | yes |
| Timothy Landis | n/a | OAKMONT, PA | Apollo, PA | 6 | 18 | 6 | no |
| JUAN LOPEZ | n/a | OAKMONT, PA | Western Springs, IL | 2 | 22 | 5 | yes |
| Louis Camacho Frank | n/a | OAKMONT, PA | Edgewater, CO | 1 | 10 | 1 | yes |
| Lawrence Bruce Hollin | n/a | Bala Cynwyd, PA | OAKMONT, PA | 1 | 17 | n/a | yes |
| DEBORAH REBECCA LEWIS | Certified Financial Planner | OAKMONT, PA | Raleigh, NC | 1 | 26 | 2 | yes |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| TOTH, AIMEE, ANNE | CHIEF EXECUTIVE OFFICER, SHAREHOLDER | C | yes | 09/2018 | Sep 11, 2018 | Sep 9, 2024 |
| GIAMBRI, PHILIP, MAYNARD | Shareholder | A | no | 12/2018 | Dec 13, 2018 | Sep 9, 2024 |
| PEARSON, KRISTIN, MARIE | CHIEF COMPLIANCE OFFICER | Na | no | 07/2022 | Jul 18, 2022 | Sep 9, 2024 |
| TEAL, GREGORY, SCOTT | Shareholder | A | no | 12/2018 | Dec 13, 2018 | Sep 9, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| INVICTA CAPITAL LLC | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Mansfield | Oh | United States | 2 | yes |
| Worthington | Oh | United States | 2 | yes |
| Aston | Pa | United States | 2 | yes |
| Doylestown | Pa | United States | 1 | yes |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 30, 2026 | $310M | $94.3M | 44 | 7 | 4 | n/a | n/a |
| 2024 | Mar 10, 2025 | $183M | $89.8M | 44 | 7 | 3 | n/a | n/a |
| 2023 | Feb 28, 2024 | $192M | $165M | 43 | 9 | 4 | n/a | n/a |
| 2022 | Feb 27, 2023 | $422M | $33.0M | 36 | 16 | 5 | n/a | n/a |
| 2021 | Mar 30, 2022 | $422M | $33.8M | 33 | 15 | 5 | n/a | n/a |
| 2020 | Mar 30, 2021 | $460M | $153M | 33 | 15 | 6 | n/a | n/a |
| 2019 | Mar 31, 2020 | $257M | $257M | 15 | 12 | 5 | n/a | n/a |
| 2018 | Feb 7, 2019 | $150M | $150M | 20 | 20 | 0 | 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 |
|---|---|---|---|---|---|---|---|---|
| 1 | 1 | 0 | 7.7% | 0 | 1 | 0 | 4 | 3 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $310M | $183M | 69.0% | $422M | -9.7% | 44 | 44 | 4 | 3 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | 2 | Aug 22, 2024 | Aug 22, 2024 | MANSFIELD, OH | Team lift out | RIA to ibd | 16.7% |
| CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | 3 | Feb 15, 2023 | Feb 15, 2023 | OAKMONT, PA | Team lift out | RIA to ibd | 21.4% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| TRUSTMONT ADVISORY GROUP, INC. | 7 | Nov 15, 2018 | Dec 7, 2018 | GREENSBURG, PA | Team lift out | Ibd to new firm | 13.5% |