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

INDEPENDENT ADVISERS GROUP CORP

CRD 106684

BOSTON, MA

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:c46685a9-2e61-cd10-7299-7fcc5a27b360

Data as of Nov 22, 2016 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:36 PM UTC and rebuilt at most every 15 minutes.

Relationships: 113
Dated events: 2
On other graphs: 0
Observed: Dec 14, 2011 to Nov 22, 2016
29 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: $149MItem 5.F on the latest filing (2016-11-22); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $5.3M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 80
Advisory employees: 80
Accounts: 661
SEC number: 801-50971
CRD: 106684
Filings on the tape: 29
First filed: Dec 14, 2011
Latest filed: Nov 22, 2016
Organised: Corporation, 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
ARNOLD, DAN, HOGAN	President	Na	yes	03/2015	Dec 12, 2012	Nov 22, 2016
AULETTA, SUZANNE, ELIZABETH	EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER	Na	yes	11/2016	Nov 22, 2016	Nov 22, 2016
BERGERS, DAVID, PAUL	MANAGING DIRECTOR, LEGAL AND GOVERNMENT RELATIONS; DIRECTOR	Na	yes	08/2013	Aug 14, 2013	Nov 22, 2016
CASADY, MARK, STEPHEN	CHAIRMAN, DIRECTOR	Na	yes	01/2006	Dec 14, 2011	Nov 22, 2016
LPL FINANCIAL HOLDINGS INC.	PARENT COMPANY	E	yes	12/2005	Jun 26, 2012	Nov 22, 2016
LPL HOLDINGS, INC.	PARENT COMPANY	E	yes	12/1995	Dec 14, 2011	Nov 22, 2016

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
LPL FINANCIAL LLC	n/a	Bd affiliated wealth	$819B	N	yes	CA
FORTIGENT, LLC	n/a	Former SEC adviser	$3.5B	N	yes	n/a
FORTIGENT STRATEGIES COMPANY, LLC	n/a	n/a	n/a	N	yes	n/a
LPL INSURANCE ASSOCIATES, INC.	n/a	n/a	n/a	N	yes	n/a
THE PRIVATE TRUST COMPANY, N.A.	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
SAN DIEGO	CA	United States	n/a	no
FORT MILL	Sc	United States	n/a	no

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
2015	Mar 30, 2016	$149M	$5.3M	80	80	n/a	n/a	n/a
2014	Mar 31, 2015	$164M	$7.1M	102	101	n/a	n/a	n/a
2013	Mar 31, 2014	$165M	$7.7M	102	101	n/a	n/a	n/a
2012	Mar 28, 2013	$154M	$8.7M	121	120	n/a	n/a	n/a
2011	Mar 30, 2012	$220M	$8.8M	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
2015	$149M	$164M	-9.1%	$154M	-1.2%	80	102	n/a	n/a

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
OSAIC FS, INC.	2	Jan 24, 2025	Sep 2, 2009	ARLINGTON HEIGHTS, IL	Team lift out	Other	1.2%
SUMMIT PLANNING GROUP, LLC	3	Dec 31, 2024	Mar 28, 2001	BRANFORD, CT	Firm absorbed	Other	60.0%
OSAIC FS, INC.	2	Dec 17, 2017	Dec 19, 2005	MORRISTOWN, TN	Team lift out	Other	0.5%
OSAIC FS, INC.	3	Sep 13, 2017	Dec 15, 2005	BRENTWOOD, TN	Team lift out	Other	0.8%

Relationships

showing 80 of 113

Affiliated with (5)

→ FORTIGENT, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ LPL FINANCIAL LLCRegistered adviserother investment adviser, broker-dealer, LP sponsor, custodian, common control
factForm ADV
← NESTWISE LLCRegistered adviserother investment adviser, common control
factForm ADV
← CONCORD EQUITY GROUP ADVISORS, LLCRegistered adviserother investment adviser, common control
factForm ADV
← TPG CAPITAL, L.P.Registered adviserother investment adviser, common control
factForm ADV

Controls (6)

← AULETTA, SUZANNE, ELIZABETHOwnerEXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Nov 22, 2016 to presentfactForm ADV
← CASADY, MARK, STEPHENOwnerCHAIRMAN, DIRECTOR, ownership code NA, individual
Dec 14, 2011 to presentfactForm ADV
← ARNOLD, DAN, HOGANOwnerPRESIDENT, ownership code NA, individual
Dec 12, 2012 to presentfactForm ADV
← BERGERS, DAVID, PAULOwnerMANAGING DIRECTOR, LEGAL AND GOVERNMENT RELATIONS; DIRECTOR, ownership code NA, individual
Aug 14, 2013 to presentfactForm ADV
← LPL FINANCIAL HOLDINGS INC.OwnerPARENT COMPANY, ownership code E, domestic entity
Jun 26, 2012 to presentfactForm ADV
← LPL HOLDINGS, INC.OwnerPARENT COMPANY, ownership code E, domestic entity
Dec 14, 2011 to presentfactForm ADV

Registered with (65)

← PATRICK CHARLES HOMANAdvisorregistration: previous registration
Feb 15, 2011 to Dec 27, 2016factForm ADV
← ROBERT DAVID GRIESEMERAdvisorregistration: previous registration
Aug 25, 2000 to Dec 22, 2016factForm ADV
← RICHARD LEE YONTZAdvisorregistration: previous registration
Sep 5, 1996 to Dec 22, 2016factForm ADV
← JOSEPH MICHAEL ANDERSENAdvisorregistration: previous registration
Oct 12, 2007 to Dec 22, 2016factForm ADV
← James Carlos ReedAdvisorregistration: previous registration
Dec 15, 2005 to Dec 22, 2016factForm ADV
← Samuel Donahoo LechleiterAdvisorregistration: previous registration
Jun 21, 2004 to Dec 22, 2016factForm ADV
← MICHAEL ALTON HUTTOAdvisorregistration: previous registration
Dec 14, 2005 to Dec 22, 2016factForm ADV
← MICHAEL KEVIN KORTZAdvisorregistration: previous registration
Feb 13, 2008 to Dec 22, 2016factForm ADV
← JOSEPH E. BILOONAdvisorregistration: previous registration
Apr 26, 2006 to Dec 22, 2016factForm ADV
← Keith D NastAdvisorregistration: previous registration
Oct 13, 2011 to Dec 22, 2016factForm ADV
← RICHARD R RAKEAdvisorregistration: previous registration
Mar 17, 1997 to Dec 22, 2016factForm ADV
← Barry Matthew PittengerAdvisorregistration: previous registration
Jun 21, 2004 to Jul 18, 2016factForm ADV
← CHRISTOPHER THOMAS ZAPPALAAdvisorregistration: previous registration
Feb 15, 2013 to Apr 20, 2015factForm ADV
← JAMES SPENCER JONESAdvisorregistration: previous registration
Sep 2, 2010 to Nov 17, 2014factForm ADV
← D WILLIAM BERGNERAdvisorregistration: previous registration
Dec 19, 2005 to Jul 29, 2014factForm ADV
← Mark B AshfordAdvisorregistration: previous registration
May 25, 2004 to Jul 29, 2014factForm ADV
← JOHN JUDSON VIOLETTEAdvisorregistration: previous registration
Feb 19, 2013 to Apr 29, 2014factForm ADV
← JUDITH WATKINS BLAISINGAdvisorregistration: previous registration
Sep 29, 1993 to Jan 3, 2014factForm ADV
← JAMES MORGAN ZIELAdvisorregistration: previous registration
Feb 19, 2013 to Oct 16, 2013factForm ADV
← ARTHUR BLAND SULLIVANAdvisorregistration: previous registration
Sep 16, 1996 to Nov 26, 2012factForm ADV
← CHRISTOPHER MARK STREHLEAdvisorregistration: previous registration
Sep 4, 2007 to Oct 12, 2012factForm ADV
← MATTHEW GERARD DELLERAdvisorregistration: previous registration
Sep 4, 2007 to Oct 12, 2012factForm ADV
← JChristopher BoydAdvisorregistration: previous registration
Mar 30, 1998 to Jul 3, 2012factForm ADV
← CECILIA BEACH BROWNAdvisorregistration: previous registration
Feb 14, 2006 to Oct 20, 2011factForm ADV
← BRION PATRICK HARRISAdvisorregistration: previous registration
Jan 27, 2005 to Jul 27, 2011factForm ADV
← CHRISTOPHER MICHAEL CICEAdvisorregistration: previous registration
Apr 6, 2010 to Oct 14, 2010factForm ADV
← WILLIAM ROSS SMALLAdvisorregistration: previous registration
Feb 25, 2010 to Oct 6, 2010factForm ADV
← DIANA GAYLE DORNAdvisorregistration: previous registration
Apr 26, 2010 to Aug 30, 2010factForm ADV
← MICHAEL TODD MARTINAdvisorregistration: previous registration
Jun 29, 2005 to Jun 25, 2010factForm ADV
← RANDOLPH MICHAEL MARTINAdvisorregistration: previous registration
Oct 6, 1999 to Jun 25, 2010factForm ADV
and 35 more

Moved with (1)

← OSAIC FS, INC.Registered adviser2 advisors, team lift out, same day
Jan 24, 2025 to Sep 2, 2009factForm ADV

Dated events

Occurred
Jan 24, 2025
Team lift-out
2 advisors left Osaic FS, Inc. (Arlington Heights, IL) for Independent Advisers Group Corp on the same day
Form ADVobserved 5 days ago
2 advisors
Occurred
Dec 31, 2024
Firm absorbed
Summit Planning Group, LLC's advisors moved to Independent Advisers Group Corp (Branford, CT): 3 of 5 registered, on the same day
Form ADVobserved 5 days ago
3 advisors

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c46685a9-2e61-cd10-7299-7fcc5a27b360
First observed: Dec 14, 2011
Last observed: Nov 22, 2016 119 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.

INDEPENDENT ADVISERS GROUP CORP

CRD 106684

BOSTON, MA

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:c46685a9-2e61-cd10-7299-7fcc5a27b360

Data as of Nov 22, 2016 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:36 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ARNOLD, DAN, HOGAN

President

yes

03/2015

Dec 12, 2012

Nov 22, 2016

AULETTA, SUZANNE, ELIZABETH

EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER

yes

11/2016

Nov 22, 2016

BERGERS, DAVID, PAUL

MANAGING DIRECTOR, LEGAL AND GOVERNMENT RELATIONS; DIRECTOR

yes

08/2013

Aug 14, 2013

Nov 22, 2016

CASADY, MARK, STEPHEN

CHAIRMAN, DIRECTOR

yes

01/2006

Dec 14, 2011

Nov 22, 2016

LPL FINANCIAL HOLDINGS INC.

PARENT COMPANY

yes

12/2005

Jun 26, 2012

Nov 22, 2016

LPL HOLDINGS, INC.

PARENT COMPANY

yes

12/1995

Dec 14, 2011

Nov 22, 2016

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

LPL FINANCIAL LLC

n/a

Bd affiliated wealth

$819B

yes

FORTIGENT, LLC

n/a

Former SEC adviser

$3.5B

yes

n/a

FORTIGENT STRATEGIES COMPANY, LLC

n/a

yes

n/a

LPL INSURANCE ASSOCIATES, INC.

n/a

yes

n/a

THE PRIVATE TRUST COMPANY, N.A.

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

SAN DIEGO

United States

n/a

FORT MILL

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2015

Mar 30, 2016

$149M

$5.3M

n/a

2014

Mar 31, 2015

$164M

$7.1M

102

101

n/a

2013

Mar 31, 2014

$165M

$7.7M

102

101

n/a

2012

Mar 28, 2013

$154M

$8.7M

121

120

n/a

2011

Mar 30, 2012

$220M

$8.8M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2015

$149M

$164M

-9.1%

$154M

-1.2%

102

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

OSAIC FS, INC.

Jan 24, 2025

Sep 2, 2009

ARLINGTON HEIGHTS, IL

Team lift out

Other

1.2%

SUMMIT PLANNING GROUP, LLC

Dec 31, 2024

Mar 28, 2001

BRANFORD, CT

Firm absorbed

Other

60.0%

OSAIC FS, INC.

Dec 17, 2017

Dec 19, 2005

MORRISTOWN, TN

Team lift out

Other

0.5%

OSAIC FS, INC.

Sep 13, 2017

Dec 15, 2005

BRENTWOOD, TN

Team lift out

Other

0.8%