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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

NETWORTH ADVISORS

M FINANCIAL NETWORK INC, CRD 107596

WATERLOO, IA

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:c8374c00-82db-6937-0d3b-59fcc0580216

Data as of Apr 17, 2012 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:30 AM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 0
On other graphs: 0
Observed: Mar 29, 2012 to Apr 17, 2012
2 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: $13.0MItem 5.F on the latest filing (2012-04-17); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $13.0M
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: 3
RAUM per advisor: $4.3Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Accounts: 53
SEC number: 801-45047
CRD: 107596
Filings on the tape: 2
First filed: Mar 29, 2012
Latest filed: Apr 17, 2012
Organised: Corporation, Iowa

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
THOMAS JOSEPH BARBATTI	n/a	n/a	27	47	4	no
MARILYN L QUINN	Certified Financial Planner	MORRISTOWN, NJ \| \| Waterloo, IA	24	45	3	yes
ROSS JAMES BARBATTI	n/a	MORRISTOWN, NJ \| Waterloo, IA \| WATERLOO, IA	19	22	2	yes

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
BARBATTI, THOMAS, JOSEPH	PRESIDENT AND CHIEF COMPLIANCE OFFICER	C	yes	01/2001	Mar 29, 2012	Apr 17, 2012

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
ADVANTAGE INVESTMENT MANAGEMENT LLC	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
2011	Mar 29, 2012	$13.0M	$13.0M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

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
2011	$13.0M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Controls (1)

← BARBATTI, THOMAS, JOSEPHOwnerPRESIDENT AND CHIEF COMPLIANCE OFFICER, ownership code C, individual
Mar 29, 2012 to presentfactForm ADV

Registered with (6)

← ROSS JAMES BARBATTIAdvisorregistration: current employment
Mar 29, 2007 to presentfactForm ADV
← MARILYN L QUINNAdvisorregistration: previous registration
Feb 19, 2002 to Dec 31, 2002factForm ADV
← THOMAS JOSEPH BARBATTIAdvisorregistration: previous registration
Jan 1, 1999 to Dec 31, 2002factForm ADV
← Janet Ann WulfAdvisorregistration: previous registration
Jun 9, 2009 to Mar 29, 2012factForm ADV
← STACIE LYNN BRASSAdvisorregistration: previous registration
Jan 1, 1999 to Feb 22, 2011factForm ADV
← DENNIS LEE ESLICKAdvisorregistration: previous registration
Jan 1, 1999 to Oct 9, 2008factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c8374c00-82db-6937-0d3b-59fcc0580216
First observed: Mar 29, 2012
Last observed: Apr 17, 2012 175 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.

NETWORTH ADVISORS

M FINANCIAL NETWORK INC, CRD 107596

WATERLOO, IA

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:c8374c00-82db-6937-0d3b-59fcc0580216

Data as of Apr 17, 2012 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:30 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

THOMAS JOSEPH BARBATTI

n/a

MARILYN L QUINN

Certified Financial Planner

MORRISTOWN, NJ | | Waterloo, IA

yes

ROSS JAMES BARBATTI

n/a

MORRISTOWN, NJ | Waterloo, IA | WATERLOO, IA

yes

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BARBATTI, THOMAS, JOSEPH

PRESIDENT AND CHIEF COMPLIANCE OFFICER

yes

01/2001

Mar 29, 2012

Apr 17, 2012

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

ADVANTAGE INVESTMENT MANAGEMENT LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2011

Mar 29, 2012

$13.0M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2011

$13.0M

n/a