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CRD 111167
FOLSOM, CA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
Dated 2026-07-31 (filing); first seen by DFX 2026-09-15.
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| PATRICK CARL MCCLAIN | n/a | FOLSOM, CA | 25 | 35 | 1 | yes |
| SCOTT THOMAS HANSON | Certified Financial Planner | FOLSOM, CA | 25 | 35 | 1 | yes |
| STEVEN THOMAS BURNETT | Certified Financial Planner | FOLSOM, CA | 25 | 33 | 1 | yes |
| DAVID WILLIAM SCHAUER | Certified Financial Planner|Chartered Financial Analyst | FOLSOM, CA | 22 | 27 | 1 | yes |
| PATRICK ALLEN HENRY | Certified Financial Planner | FOLSOM, CA | 21 | 27 | 2 | yes |
| BARBARA M HEALY | Certified Financial Planner | ROSEVILLE, CA | FOLSOM, CA | 21 | 31 | 1 | yes |
| ERIC CAMERON MITCHELL HENRY | Certified Financial Planner | FOLSOM, CA | 18 | 25 | 3 | yes |
| Michael Callahan | Certified Financial Planner | FOLSOM, CA | LYNNFIELD, MA | 18 | 20 | 1 | no |
| Joseph Sachetta | Certified Financial Planner|Personal Financial Specialist | FOLSOM, CA | LYNNFIELD, MA | 18 | 28 | 1 | no |
| LAURIE KAY HADLEY | n/a | FOLSOM, CA | 16 | 17 | n/a | yes |
| HERMAN BODINE DOUGHTY | n/a | FOLSOM, CA | 14 | 21 | n/a | yes |
| COREY C GAMBLE | n/a | FOLSOM, CA | 12 | 16 | 4 | yes |
| JAMES THEODORE SMALLING | Certified Financial Planner | FOLSOM, CA | 12 | 14 | 2 | yes |
| ADAM BLAKE PETERS | Certified Financial Planner|Chartered Financial Consultant | HIGHLANDS, CO | FOLSOM, CA | 12 | 27 | 3 | yes |
| KEVIN MAGNUS DUFFY | Certified Financial Planner | FOLSOM, CA | 10 | 25 | 3 | yes |
| Eric Sachetta | Certified Financial Planner|Chartered Financial Consultant | LYNNFIELD, MA | FOLSOM, CA | 8 | 16 | n/a | no |
| Adam Frank Kint | Certified Financial Planner | Sacramento, CA | 8 | 30 | 5 | yes |
| CHARLES GLENN DOWNS | n/a | Cincinnati, OH | FOLSOM, CA | 8 | 38 | 1 | no |
| Brian Davis James | Certified Financial Planner | Cincinnati, OH | FOLSOM, CA | 8 | 28 | 4 | no |
| Eva Purvis | Certified Financial Planner | FOLSOM, CA | Cincinnati, OH | 8 | 24 | 2 | no |
| STEPHANIE D BEMERER | n/a | Cincinnati, OH | FOLSOM, CA | 8 | 11 | 1 | no |
| BRITTON RILEY | Certified Financial Planner | Cincinnati, OH | FOLSOM, CA | 8 | 12 | 1 | no |
| ANDREW JOSEPH SHAFER | Chartered Financial Consultant | FOLSOM, CA | Cincinnati, OH | 8 | 26 | 3 | no |
| ANDREW ROY STOUT | Certified Financial Planner|Chartered Financial Analyst | FOLSOM, CA | Cincinnati, OH | 8 | 19 | 2 | no |
| MICHAEL C COATES | Certified Financial Planner | Cincinnati, OH | FOLSOM, CA | 8 | 18 | 1 | no |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| AFG PARENT GP, LLC | GENERAL PARTNER | Na | yes | 07/2017 | Jul 29, 2026 | Jul 29, 2026 |
| ALLWORTH FINANCIAL GROUP, L.P. | LIMITED PARTNER | E | yes | 07/2017 | Jul 29, 2026 | Jul 29, 2026 |
| BUNCH, JOHN, BRADLEY | CHIEF EXECUTIVE OFFICER | Na | yes | 10/2023 | Jul 29, 2026 | Jul 29, 2026 |
| ENGELKEN, PETER, JOHN | CHIEF OPERATING OFFICER | Na | yes | 07/2017 | Jul 29, 2026 | Jul 29, 2026 |
| GAMBLE, COREY, C | CHIEF COMPLIANCE OFFICER | Na | yes | 07/2017 | Jul 29, 2026 | Jul 29, 2026 |
| Greenberg, Barry, Yale | CHIEF LEGAL OFFICER | Na | yes | 06/2021 | Jul 29, 2026 | Jul 29, 2026 |
| ODDY, CHRISTOPHER, MICHAEL | CHIEF FINANCIAL OFFICER | Na | yes | 04/2018 | Jul 29, 2026 | Jul 29, 2026 |
| STOUT, ANDREW, ROY | CHIEF INVESTMENT OFFICER | Na | yes | 03/2019 | Jul 29, 2026 | Jul 29, 2026 |
| 2781807 ONTARIO LIMITED | Owner | E | yes | 10/2020 | Feb 12, 2021 | Dec 11, 2024 |
| AFG INTERMEDIATE, L.P. | Owner | E | yes | 07/2017 | Jul 23, 2020 | Dec 11, 2024 |
| AFG PARENT GP, LLC | OTHER GENERAL PARTNERS | F | yes | 10/2020 | Feb 12, 2021 | Dec 11, 2024 |
| ALLWORTH FINANCIAL HOLDINGS, LLC | Owner | E | yes | 10/2020 | Feb 12, 2021 | Dec 11, 2024 |
| ONTARIO TEACHER'S PENSION PLAN BOARD | Owner | E | yes | 10/2020 | Feb 12, 2021 | Dec 11, 2024 |
| OTPP/AFG, LLC | Owner | C | yes | 10/2020 | Feb 12, 2021 | Dec 11, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| HANSON MCCLAIN RETIREMENT NETWORK, LLC | n/a | Former SEC adviser | $0 | Y | no | n/a |
| ALLWORTH TAX SOLUTIONS | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Addison | TX | United States | 17 | no |
| Sacramento | CA | United States | 12 | yes |
| BLUE ASH | Oh | United States | 11 | yes |
| Kennesaw | Ga | United States | 6 | no |
| Riverwoods | IL | United States | 6 | yes |
| Lawrence | Ks | United States | 6 | yes |
| Roseville | CA | United States | 5 | yes |
| ST. LOUIS | Mo | United States | 4 | yes |
| Houston | TX | United States | 4 | yes |
| Chico | CA | United States | 3 | yes |
| Roseville | CA | United States | 3 | yes |
| WALNUT CREEK | CA | United States | 3 | no |
| Denver | Co | United States | 3 | yes |
| Albuquerque | Nm | United States | 3 | no |
| Phoenix | Az | United States | 2 | no |
| Tucson | Az | United States | 2 | no |
| Campbell | CA | United States | 2 | yes |
| Larkspur | CA | United States | 2 | no |
| LOS GATOS | CA | United States | 2 | yes |
| SAN JOSE | CA | United States | 2 | no |
| Indianapolis | In | United States | 2 | yes |
| Waltham | Ma | United States | 2 | yes |
| BEL AIR | Md | United States | 2 | yes |
| Grandville | Mi | United States | 2 | yes |
| CAPE GIRARDEAU | Mo | United States | 2 | yes |
| LAS VEGAS | Nv | United States | 2 | no |
| Dansville | NY | United States | 2 | yes |
| Seattle | Wa | United States | 2 | no |
| Scottsdale | Az | United States | 1 | yes |
| Fairfield | CA | United States | 1 | yes |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 20, 2026 | $34B | $33B | 493 | 165 | 35 | n/a | n/a |
| 2024 | Mar 31, 2025 | $25B | $25B | 466 | 151 | 35 | n/a | n/a |
| 2023 | Mar 22, 2024 | $19B | $19B | 392 | 156 | 35 | n/a | n/a |
| 2022 | Mar 31, 2023 | $15B | $14B | 343 | 133 | 26 | n/a | n/a |
| 2021 | Mar 29, 2022 | $14B | $13B | 343 | 119 | 22 | n/a | n/a |
| 2020 | Mar 22, 2021 | $10B | $9.9B | 218 | 86 | 14 | n/a | n/a |
| 2019 | Mar 19, 2020 | $8.1B | $7.9B | 203 | 145 | 16 | n/a | n/a |
| 2018 | Mar 1, 2019 | $3.5B | $3.3B | 123 | 46 | 9 | n/a | n/a |
| 2017 | Mar 15, 2018 | $2.5B | $2.4B | 70 | 26 | 7 | n/a | n/a |
| 2016 | Mar 21, 2017 | $2.1B | $2.0B | 70 | 23 | n/a | n/a | n/a |
| 2015 | Mar 10, 2016 | $2.0B | $1.8B | 71 | 20 | n/a | n/a | n/a |
| 2014 | Feb 12, 2015 | $1.8B | $1.7B | 66 | 20 | n/a | n/a | n/a |
| 2013 | Mar 17, 2014 | $1.6B | $1.5B | 70 | 26 | n/a | n/a | n/a |
| 2012 | Mar 25, 2013 | $1.2B | $1.2B | 36 | 14 | n/a | n/a | n/a |
| 2011 | Feb 15, 2012 | $961M | $953M | 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 |
|---|---|---|---|---|---|---|---|---|
| 41 | 13 | 28 | 4.1% | 7 | 2 | 0 | 137 | 30 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $34B | $25B | 33.7% | $15B | 31.1% | 493 | 466 | 35 | 35 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| NEWEDGE ADVISORS | 2 | Jul 31, 2026 | Jul 31, 2026 | FOLSOM, CA | Team lift out | Ibd to ibd | 0.7% |
| NEWEDGE ADVISORS | 2 | Apr 10, 2024 | Apr 10, 2024 | FOLSOM, CA | Team lift out | Ibd to ibd | 1.1% |
| CREATIVE PLANNING | 4 | Apr 21, 2023 | May 19, 2023 | SACRAMENTO, CA | Team lift out | Ibd to RIA | 2.7% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| ARTHUR STEIN FINANCIAL, LLC | 3 | Jun 25, 2026 | Jun 1, 2026 | BETHESDA, MD | Firm absorbed | RIA to ibd | 100.0% |
| GRUNDEN FINANCIAL ADVISORY, INC. | 4 | Jan 28, 2026 | Jan 15, 2026 | DENTON, TX | Firm absorbed | RIA to ibd | 100.0% |
| FSA WEALTH MANAGEMENT, LLC | 4 | Dec 31, 2025 | Dec 3, 2025 | NEEDHAM, MA | Firm absorbed | RIA to ibd | 100.0% |
| SHOREPOINT CAPITAL PARTNERS LLC | 5 | Oct 30, 2025 | Nov 13, 2025 | NORWOOD, MA | Firm absorbed | RIA to ibd | 100.0% |
| SHEAFF BROCK INVESTMENT ADVISORS, LLC | 11 | Sep 12, 2025 | Jun 12, 2025 | INDIANAPOLIS, IN | Firm absorbed | RIA to ibd | 73.3% |
| SALZINGER SHEAFF BROCK, LLC | 2 | Jun 26, 2025 | Jun 9, 2025 | INDIANAPOLIS, IN | Team lift out | RIA to ibd | 66.7% |
| GOLDMAN SACHS WEALTH SERVICES, L.P. | 2 | May 20, 2025 | May 12, 2025 | IRVING, TX | Team lift out | Ibd to ibd | 0.2% |
| RYAN WEALTH MANAGEMENT | 3 | Mar 31, 2025 | Dec 16, 2024 | YUBA CITY, CA | Firm absorbed | RIA to ibd | 100.0% |
| WEALTHPOINT ADVISORS LLC | 3 | Dec 31, 2024 | Dec 2, 2024 | INDIANAPOLIS, IN | Firm absorbed | RIA to ibd | 100.0% |
| STEWART & PATTEN CO LLC | 3 | Dec 12, 2024 | Jun 6, 2024 | LAFAYETTE, CA | Firm absorbed | RIA to ibd | 100.0% |
| ARBOR POINT ADVISORS | 2 | Nov 5, 2024 | Jun 9, 2025 | PORTLAND, OR | Team lift out | Ibd to ibd | 1.1% |
| ARBOR POINT ADVISORS | 5 | Nov 5, 2024 | Nov 7, 2024 | VANCOUVER, WA | Team lift out | Ibd to ibd | 2.8% |
| GEORGE MCKELVEY CO., LLC | 10 | Oct 22, 2024 | Oct 2, 2024 | MANASQUAN, NJ | Firm absorbed | RIA to ibd | 100.0% |
| DEL MONTE GROUP, LLC | 2 | Jun 12, 2024 | Jan 12, 2026 | ALAMO, CA | Team lift out | RIA to ibd | 66.7% |
| SILICON VALLEY WEALTH ADVISORS, LLC | 4 | Jan 2, 2024 | Dec 21, 2023 | SAN JOSE, CA | Firm absorbed | RIA to ibd | 100.0% |
| AFFINITY FINANCIAL ADVISORS | 3 | Aug 15, 2023 | Apr 26, 2023 | LAWRENCE, KS | Team lift out | RIA to ibd | 21.4% |
| THE HARVEST GROUP | 2 | Aug 10, 2023 | Aug 1, 2023 | WALTHAM, MA | Team lift out | RIA to ibd | 66.7% |
| CETERA ADVISOR NETWORKS LLC | 2 | Apr 20, 2023 | Apr 26, 2023 | EL SEGUNDO, CA | Team lift out | Ibd to ibd | 0.5% |
| REDROCK WEALTH MANAGEMENT, LLC | 2 | Mar 30, 2023 | Mar 24, 2023 | LAS VEGAS, NV | Team lift out | RIA to ibd | 100.0% |
| MML INVESTORS SERVICES, LLC | 3 | Mar 3, 2023 | Feb 27, 2023 | INDIANAPOLIS, IN | Team lift out | Ibd to ibd | 0.1% |