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CRD 109807
CLEVELAND, OH
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 |
|---|---|---|---|---|---|---|
| JOHN GUIDO CIANCIBELLO | n/a | CLEVELAND, OH | 25 | 11 | n/a | no |
| JOHN GEORGE PALGUTA | Certified Financial Planner | CLEVELAND, OH | 25 | 11 | n/a | no |
| RICHARD JAMES BUONCORE | n/a | CLEVELAND, OH | 19 | 32 | 2 | no |
| JOHN DANIEL ZALLER | Chartered Financial Analyst | CLEVELAND, OH | 18 | 18 | n/a | no |
| DOUGLAS JOHN BUTLER | Chartered Financial Analyst | CLEVELAND, OH | 16 | 31 | 1 | no |
| GREGORY RONALD BADOWSKI | Certified Financial Planner | CLEVELAND, OH | 15 | 11 | n/a | no |
| TIMOTHY C. CARNEVAL | Certified Financial Planner | CLEVELAND, OH | 14 | 18 | 1 | no |
| JASON EDWARD PUTMAN | Certified Financial Planner|Chartered Financial Analyst | CLEVELAND, OH | 13 | 25 | n/a | no |
| JEFFREY WILLIAM STARK | Chartered Financial Analyst | CLEVELAND, OH | 13 | 13 | n/a | no |
| KURT DAVID NYE | Chartered Financial Analyst | CLEVELAND, OH | 13 | 11 | n/a | no |
| MICHAEL LEE BEAULIEU | Certified Financial Planner|Chartered Financial Analyst | PONTE VEDRA BEACH, FL | 12 | 27 | 1 | no |
| JAMES LYMAN SMITH | n/a | CLEVELAND, OH | 11 | 11 | n/a | no |
| ANDREW RAYMOND MEYER | Certified Financial Planner|Chartered Financial Analyst | Newport Beach, CA | 11 | 11 | n/a | no |
| NICHOLAS MICHAEL SRMAG | Chartered Financial Analyst | CLEVELAND, OH | 10 | 25 | n/a | no |
| Christine Elizabeth Pauletta | n/a | CLEVELAND, OH | 9 | 11 | n/a | no |
| ROBERT LEONARD CARON | n/a | CLEVELAND, OH | Bedford, NH | 9 | 33 | 3 | no |
| RYAN DAVID ASHLEY | Certified Financial Planner | PONTE VEDRA BEACH, FL | 9 | 16 | 3 | no |
| Benjamin Joel Sayer | Chartered Financial Analyst | CLEVELAND, OH | 9 | 12 | n/a | no |
| LYNNE MARIE LAWRENCE | n/a | CLEVELAND, OH | 9 | 10 | n/a | no |
| RILEY ROBERTSON RINDO | Certified Financial Planner | CLEVELAND, OH | Columbus, OH | 8 | 16 | 2 | no |
| DOUGLAS MICHAEL ANDRASSY | Certified Financial Planner | CLEVELAND, OH | 8 | 30 | 1 | no |
| WILLIAM JAMES COLLINS | Certified Financial Planner | Burlington, MA | CLEVELAND, OH | 8 | 35 | 2 | no |
| JOHN MICHAEL RUBY | Certified Financial Planner | CLEVELAND, OH | 7 | 21 | 7 | no |
| Ryan Joseph Catanese | Certified Financial Planner | CLEVELAND, OH | 7 | 9 | n/a | no |
| BRADLEY JON SMITH | n/a | RESTON, VA | 7 | 23 | 4 | no |
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| MAI CAPITAL GP STAKING FUND LP | Private Equity Fund | $171M | Jul 2, 2026 | 447 | Mar 31, 2023 | reported | 021-462044 |
| MAI CAPITAL INCOME AND GROWTH FUND VI, QP | Real Estate Fund | $157M | Jul 2, 2026 | 487 | Mar 28, 2024 | reported | 021-468415 |
| MAI CAPITAL INCOME AND GROWTH FUND V QP, L.P. | Real Estate Fund | $110M | Jul 2, 2026 | 185 | Mar 31, 2021 | reported | 021-354135 |
| MAI GLADE BROOK VENTURE FUND LP | Real Estate Fund | $84.4M | Jul 2, 2026 | 146 | Mar 31, 2023 | reported | 021-411647 |
| MAI CAPITAL SPORTS AND ENTERTAINMENT SEEDING FUND LP | n/a | $57.1M | Jul 2, 2026 | 187 | Jul 2, 2026 | reported | n/a |
| MAI MANAGED VOLATILITY FUND, LP | Other Private Fund | $54.5M | Oct 21, 2022 | 38 | Mar 30, 2012 | dropped | 021-131712 |
| FIXED OPPORTUNITY PARTNERS I, LLC | Other Private Fund | $43.9M | Oct 21, 2022 | 83 | Mar 28, 2012 | dropped | 021-247839 |
| MAI DIVERSIFIED REAL ESTATE INCOME FUND, L.P. | Real Estate Fund | $37.1M | Jul 2, 2026 | 101 | Mar 15, 2018 | reported | 021-278309 |
| MAI CAPITAL INCOME AND GROWTH FUND IV, L.P. | Real Estate Fund | $28.8M | Jul 2, 2026 | 89 | Mar 15, 2018 | reported | 021-279918 |
| MAI DIVERSIFIED REAL ESTATE INCOME FUND III | Real Estate Fund | $28.0M | Jul 2, 2026 | 67 | Mar 31, 2023 | reported | 021-361523 |
| MAI SOLAMERE PRIVATE EQUITY FUND LP | Private Equity Fund | $23.7M | Jul 2, 2026 | 75 | Mar 31, 2023 | reported | 021-408368 |
| MAI LARGE CAP CORE FUND, LLC | Hedge Fund | $19.3M | Dec 23, 2016 | 23 | Mar 30, 2012 | dropped | 021-86657 |
| MAI DIVERSIFIED REAL ESTATE INCOME FUND II, L.P. | Real Estate Fund | $18.9M | Jul 2, 2026 | 77 | Mar 15, 2018 | reported | 021-297209 |
| MAI CAPITAL SECONDARIES INFRASTRUCTURE SOLUTION, L.P. | n/a | $18.8M | Jul 2, 2026 | 352 | Jul 2, 2026 | reported | 021-501932 |
| MAI CAPITAL INCOME AND GROWTH FUND III, LP | Real Estate Fund | $18.7M | Sep 26, 2024 | 47 | Mar 16, 2017 | dropped | 021-271475 |
| MAI CAPITAL INCOME AND GROWTH FUND VI QC | n/a | $18.6M | Jul 2, 2026 | 100 | Jul 2, 2026 | reported | 021-468406 |
| EDEN PARK INVESTMENTS. LLC | Private Equity Fund | $17.9M | Oct 21, 2022 | 53 | Nov 20, 2017 | dropped | 021-350202 |
| MAI INDUSTRIAL WAREHOUSE FUND, L.P. | Private Equity Fund | $15.4M | Oct 7, 2021 | 35 | Mar 31, 2021 | dropped | n/a |
| MAI AFFORDABLE HOUSING FUND, L.P. | n/a | $14.6M | Jul 2, 2026 | 62 | Jul 2, 2026 | reported | 021-541772 |
| MAI MULTI CAP OPPORTUNITY FUND, LLC | Hedge Fund | $14.6M | Dec 23, 2016 | 27 | Mar 30, 2012 | dropped | 021-86675 |
| MAI CAPITAL INCOME AND GROWTH FUND V QC, L.P. | Real Estate Fund | $12.6M | Jul 2, 2026 | 70 | Mar 31, 2021 | reported | 021-354134 |
| MAI SOLAMERE SERIES IV LEADERS FUND, LP | n/a | $10.8M | Jul 2, 2026 | 48 | Jul 2, 2026 | reported | 021-541106 |
| MAI WEALTH INCOME OPPORTUNITY MASTER FUND, L.P. | Hedge Fund | $9.9M | Oct 13, 2014 | 29 | Mar 30, 2012 | dropped | 021-122731 |
| MAI OPPORTUNITY FUND, LP | Private Equity Fund | $9.8M | Jul 2, 2026 | 60 | May 9, 2014 | reported | 021-208833 |
| MAI CAPITAL GP STAKING FUND FEEDER LP | n/a | $9.3M | Jul 2, 2026 | 55 | Jul 2, 2026 | reported | 021-462044 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| BUONCORE, RICHARD, JAMES | CHAIRMAN & CHIEF EXECUTIVE OFFICER | Na | yes | 01/2026 | Jul 2, 2026 | Jul 2, 2026 |
| DROCKTON, LESLIE | GENERAL COUNSEL | Na | yes | 06/2023 | Jul 2, 2026 | Jul 2, 2026 |
| EAGLE, JANE, FRANCES | MANAGING PARTNER | Na | yes | 11/2025 | Jul 2, 2026 | Jul 2, 2026 |
| HAPPE, MARK, JONATHAN | CHIEF COMPLIANCE OFFICER | Na | yes | 08/2023 | Jul 2, 2026 | Jul 2, 2026 |
| HOU, DAVID, CHIH | MANAGING PARTNER | Na | yes | 11/2025 | Jul 2, 2026 | Jul 2, 2026 |
| KACIC, JAMES, D. | MANAGING PARTNER AND CHIEF OPERATING OFFICER | Na | yes | 09/2024 | Jul 2, 2026 | Jul 2, 2026 |
| MACDONALD, ALBERT, EDWARD | MANAGING PARTNER | Na | yes | 10/2025 | Jul 2, 2026 | Jul 2, 2026 |
| MAI CAPITAL MANAGEMENT | Member | E | yes | 09/2021 | Jul 2, 2026 | Jul 2, 2026 |
| MCLEAN, JOSEPH, R. | MANAGING PARTNER | Na | yes | 09/2024 | Jul 2, 2026 | Jul 2, 2026 |
| NYE, KURT, DAVID | MANAGING PARTNER & CHIEF INVESTMENT OFFICER | Na | yes | 09/2024 | Jul 2, 2026 | Jul 2, 2026 |
| SANDERS, JAY, DAVID | MANAGING PARTNER | Na | yes | 11/2025 | Jul 2, 2026 | Jul 2, 2026 |
| ZALLER, JOHN, DANIEL | MANAGING PARTNER | Na | yes | 09/2024 | Jul 2, 2026 | Jul 2, 2026 |
| MAI CAPITAL MANAGEMENT HOLDINGS LLC | Member | F | yes | 09/2024 | Oct 7, 2021 | Sep 26, 2024 |
| MAI CAPITAL MANAGEMENT INTERMEDIATE LLC | Member | E | yes | 09/2021 | Oct 7, 2021 | Sep 26, 2024 |
| MAI CAPITAL MANAGEMENT INVESTOR LLC | Member | D | yes | 09/2024 | Oct 7, 2021 | Sep 26, 2024 |
| MAI FINANCE HOLDINGS LLC | Member | E | yes | 09/2024 | Sep 26, 2024 | Sep 26, 2024 |
| MAI GALWAY HOLDINGS LP | Member | F | yes | 09/2024 | Sep 26, 2024 | Sep 26, 2024 |
| MAI INTERMEDIATE FINANCE HOLDINGS LLC | Member | E | yes | 09/2024 | Sep 26, 2024 | Sep 26, 2024 |
| NOFTSINGER, PHILIP | CHIEF FINANCIAL OFFICER | Na | yes | 09/2024 | Sep 26, 2024 | Sep 26, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| EDGEWOOD PARTNERS INSURANCE CENTER (EPIC) | n/a | n/a | n/a | N | yes | n/a |
| MAI CAPITAL GP STAKING GP LLC | n/a | n/a | n/a | N | yes | n/a |
| MAI CAPITAL INCOME & GROWTH GP III, LLC | n/a | n/a | n/a | N | yes | n/a |
| MAI CAPITAL INCOME & GROWTH GP IV, LLC | n/a | n/a | n/a | N | yes | n/a |
| MAI CAPITAL INCOME & GROWTH GP V QC, LLC | n/a | n/a | n/a | N | yes | n/a |
| MAI CAPITAL INCOME & GROWTH GP V QP, LLC | n/a | n/a | n/a | N | yes | n/a |
| MAI CAPITAL INCOME & GROWTH GP, LLC | n/a | n/a | n/a | N | yes | n/a |
| MAI CAPITAL INCOME AND GROWTH VI QP GP, LLC | n/a | n/a | n/a | N | yes | n/a |
| MAI DIVERSIFIED REAL ESTATE INCOME GP, LLC | n/a | n/a | n/a | N | yes | n/a |
| MAI DIVERSIFIED REAL ESTATE INCOME II GP, LLC | n/a | n/a | n/a | N | yes | n/a |
| MAI DIVERSIFIED REAL ESTATE INCOME III GP, LLC | n/a | n/a | n/a | N | yes | n/a |
| MAI GLADE BROOK FUND GP, LLC | n/a | n/a | n/a | N | yes | n/a |
| MAI INDUSTRIAL WAREHOUSE GP, LLC | n/a | n/a | n/a | N | yes | n/a |
| MAI INSURANCE SOLUTIONS, LLC | n/a | n/a | n/a | Y | yes | n/a |
| MAI LENDING G.P., LLC | n/a | n/a | n/a | N | yes | n/a |
| MAI SOLAMERE FUND GP, LLC | n/a | n/a | n/a | N | yes | n/a |
| MAI WEALTH GP LLC | n/a | n/a | n/a | N | yes | n/a |
| MAI WEALTH OPPORTUNITY GP, LLC | n/a | n/a | n/a | N | yes | n/a |
| MAI WEALTH PRIVATE EQUITY GP LLC | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| PONTE VEDRA BEACH | FL | United States | 11 | no |
| Cincinnati | Oh | United States | 9 | no |
| SAN RAMON | CA | United States | 8 | no |
| Charlotte | Nc | United States | 7 | no |
| Cincinnati | Oh | United States | 7 | no |
| NEWPORT BEACH | CA | United States | 6 | no |
| NEW YORK | NY | United States | 6 | no |
| LITTLE ROCK | Ar | United States | 5 | no |
| Marriottsville | Md | United States | 5 | no |
| ST LOUIS | Mo | United States | 5 | no |
| SANTA ROSA | CA | United States | 4 | no |
| Naples | FL | United States | 4 | no |
| Burlington | Ma | United States | 4 | no |
| NORTH CANTON | Oh | United States | 4 | no |
| Leesburg | Va | United States | 4 | no |
| Reston | Va | United States | 4 | no |
| Bannockburn | IL | United States | 3 | no |
| Rockville | Md | United States | 3 | no |
| NEW YORK | NY | United States | 3 | no |
| LITTLE ROCK | Ar | United States | 2 | no |
| Madison | Ct | United States | 2 | no |
| Cincinnati | Oh | United States | 2 | no |
| GREENWOOD VILLAGE | Co | United States | 1 | no |
| Northbrook | IL | United States | 1 | no |
| Bethesda | Md | United States | 1 | no |
| Columbus | Oh | United States | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 31, 2026 | $52B | $36B | 562 | 230 | 29 | 33 | n/a |
| 2024 | Mar 31, 2025 | $30B | $27B | 482 | 204 | 29 | 35 | n/a |
| 2023 | Mar 28, 2024 | $20B | $18B | 331 | 137 | 26 | 30 | $482M |
| 2022 | Mar 31, 2023 | $16B | $14B | 331 | 137 | 20 | 29 | $383M |
| 2021 | Mar 31, 2022 | $14B | $14B | 246 | 118 | 17 | 14 | $434M |
| 2020 | Mar 31, 2021 | $9.2B | $8.7B | 200 | 81 | 9 | 16 | $585M |
| 2019 | Mar 30, 2020 | $7.2B | $6.7B | 128 | 69 | 8 | 12 | $361M |
| 2018 | Mar 27, 2019 | $4.5B | $4.2B | 77 | 35 | 4 | 9 | $259M |
| 2017 | Mar 15, 2018 | $4.7B | $4.1B | 71 | 32 | 4 | 8 | $188M |
| 2016 | Mar 16, 2017 | $3.9B | $3.2B | 67 | 30 | n/a | 5 | $187M |
| 2015 | Mar 24, 2016 | $3.8B | $3.1B | 67 | 30 | n/a | 6 | $140M |
| 2014 | Mar 27, 2015 | $3.8B | $3.1B | 66 | 27 | n/a | 5 | $115M |
| 2013 | Mar 27, 2014 | $3.5B | $2.7B | 67 | 26 | n/a | 6 | $119M |
| 2012 | Mar 28, 2013 | $3.0B | $2.2B | 59 | 23 | n/a | 6 | $102M |
| 2011 | Mar 30, 2012 | $1.8B | $1.7B | n/a | n/a | n/a | 5 | $93.5M |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 51 | 13 | 38 | 4.2% | 4 | 2 | 0 | 140 | 29 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $52B | $30B | 75.8% | $16B | 48.9% | 562 | 482 | 29 | 29 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| EVOLVE PRIVATE WEALTH, LLC | 2 | Apr 21, 2026 | May 18, 2026 | LOS ANGELES, CA | Team lift out | RIA to RIA | 0.7% |
| BLUESTONE PRIVATE WEALTH, LLC | 2 | May 2, 2022 | May 18, 2023 | CLEVELAND, OH | Team lift out | RIA to RIA | 2.2% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| THE O'DONNELL GROUP | 2 | Aug 24, 2026 | Aug 26, 2026 | CHICO, CA | Team lift out | RIA to RIA | 100.0% |
| EVOKE ADVISORS | 2 | Apr 21, 2026 | Feb 17, 2026 | LOS ANGELES, CA | Team lift out | RIA to RIA | 5.3% |
| LOC INVESTMENT ADVISERS | 4 | Mar 4, 2026 | Mar 6, 2026 | HURRICANE, WV | Firm absorbed | RIA to RIA | 80.0% |
| LOWE WEALTH ADVISORS, LLC | 6 | Dec 17, 2025 | Dec 18, 2025 | COLUMBIA, MD | Firm absorbed | RIA to RIA | 100.0% |
| COURT PLACE ADVISORS LLC | 3 | Dec 1, 2025 | Dec 16, 2025 | ELLICOTT CITY, MD | Firm absorbed | RIA to RIA | 75.0% |
| COONS ADVISORS | 6 | Sep 19, 2025 | Oct 8, 2025 | COLUMBUS, OH | Firm absorbed | RIA to RIA | 100.0% |
| CONSTELLATION WEALTH ADVISORS | 2 | Apr 25, 2025 | May 14, 2025 | CINCINNATI, OH | Team lift out | RIA to RIA | 14.3% |
| CONCENTRIC WEALTH MANAGEMENT LLC | 3 | Jan 24, 2025 | Jan 24, 2025 | LAFAYETTE, CA | Firm absorbed | RIA to RIA | 100.0% |
| GARRISON ASSET MANAGEMENT, LLC | 2 | Jan 6, 2025 | Jan 9, 2025 | FAYETTEVILLE, AR | Team lift out | RIA to RIA | 100.0% |
| CARMICHAEL HILL & ASSOCIATES INC | 4 | Dec 12, 2024 | Jan 13, 2025 | GAITHERSBURG, MD | Firm absorbed | RIA to RIA | 100.0% |
| HYPERION PARTNERS, LLC | 3 | Oct 28, 2024 | Nov 4, 2024 | BERWYN, PA | Firm absorbed | RIA to RIA | 100.0% |
| HALPERN FINANCIAL, INC. | 5 | Oct 8, 2024 | Oct 17, 2024 | ROCKVILLE, MD | Firm absorbed | RIA to RIA | 83.3% |
| THE WEALTH CONSULTING GROUP | 2 | Apr 16, 2024 | Oct 11, 2024 | NAPLES, FL | Team lift out | RIA to RIA | 1.5% |
| THE WEALTH CONSULTING GROUP | 2 | Apr 16, 2024 | Aug 14, 2024 | ORLAND PARK, IL | Team lift out | RIA to RIA | 1.5% |
| THE WEALTH CONSULTING GROUP | 2 | Apr 16, 2024 | Aug 2, 2024 | DURHAM, NC | Team lift out | RIA to RIA | 1.5% |
| THE WEALTH CONSULTING GROUP | 7 | Apr 16, 2024 | Aug 14, 2024 | LAS VEGAS, NV | Team lift out | RIA to RIA | 5.3% |
| THE WEALTH CONSULTING GROUP | 2 | Apr 16, 2024 | Aug 2, 2024 | NEW CASTLE, PA | Team lift out | RIA to RIA | 1.5% |
| LWS WEALTH ADVISORS, INC. | 3 | Mar 12, 2024 | Sep 18, 2024 | BASKING RIDGE, NJ | Firm absorbed | RIA to RIA | 100.0% |
| WATERSTONE INVESTMENT COUNSEL, LLC | 2 | Mar 4, 2024 | Feb 5, 2024 | CINCINNATI, OH | Team lift out | RIA to RIA | 100.0% |
| TRAVERSO CHAMBERS PRIVATE WEALTH MANAGEMENT, LLC | 3 | Jan 30, 2024 | Feb 23, 2024 | SANTA ROSA, CA | Firm absorbed | RIA to RIA | 75.0% |