DFX Intelligence
Data Factory
Reading the graph
Reading the graph
CONCERT WEALTH MANAGEMENT, INC., CRD 141253
SAN JOSE, CA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| CONCERT STRUCTURED CD AND NOTE FUND, LP | Other Private Fund | $0 | Apr 21, 2017 | 0 | Jul 6, 2016 | reported | n/a |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| LUNA, ELIZABETH, NMN | TRUSTEE / LUNA FAMILY TRUST | C | yes | 02/2006 | Nov 22, 2011 | Feb 12, 2018 |
| LUNA, ELIZABETH, NMN | Secretary | C | yes | 05/2017 | Nov 22, 2011 | Feb 12, 2018 |
| LUNA, FELIPE, AMOR | TRUSTEE / LUNA FAMILY TRUST | C | yes | 02/2006 | Nov 22, 2011 | Feb 12, 2018 |
| OMNI GLOBAL GROUP LTD. | PARENT COMPANY | E | yes | 12/2006 | Feb 17, 2017 | Feb 12, 2018 |
| SCHEI, ERIK, ALLEN | CHIEF COMPLIANCE OFFICER | Na | yes | 12/2016 | Jun 3, 2015 | Feb 12, 2018 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| ARIA WEALTH MANAGEMENT, INC. | n/a | Independent wealth | $130M | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| LITTLE ROCK | Ar | United States | 2 | no |
| WALNUT CREEK | CA | United States | 2 | no |
| Huntsville | Al | United States | 1 | no |
| Seattle | Wa | United States | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2017 | Feb 12, 2018 | $201M | $161M | 18 | 17 | 4 | n/a | n/a |
| 2016 | Dec 22, 2016 | $2.0B | $2.0B | 92 | 85 | n/a | 1 | $0 |
| 2015 | Jan 6, 2016 | $2.0B | $1.9B | 117 | 97 | n/a | n/a | n/a |
| 2014 | Jan 2, 2015 | $1.9B | $1.8B | 90 | 75 | n/a | n/a | n/a |
| 2013 | Jan 2, 2014 | $1.5B | $1.5B | 90 | 75 | n/a | n/a | n/a |
| 2012 | Jan 2, 2013 | $1.5B | $1.5B | 14 | 7 | n/a | n/a | n/a |
| 2011 | Jan 3, 2012 | $1.2B | $895M | n/a | n/a | n/a | n/a | n/a |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2017 | $201M | $2.0B | -90.0% | $1.9B | -52.4% | 18 | 92 | 4 | n/a |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| CONCERT CAPITAL MANAGEMENT | 2 | Mar 29, 2018 | Oct 10, 2011 | SAN JOSE, CA | Team lift out | Other | 66.7% |
| ARIA WEALTH MANAGEMENT | 2 | Dec 31, 2017 | Sep 22, 2017 | SAN JOSE, CA | Team lift out | Other | 25.0% |
| SOWELL MANAGEMENT | 4 | Dec 15, 2017 | Oct 14, 2016 | SAN JOSE, CA | Team lift out | Other | 25.0% |
| SOWELL MANAGEMENT | 2 | Sep 25, 2017 | Oct 7, 2016 | SAN JOSE, CA | Team lift out | Other | 10.5% |
| URBAN WEALTH MANAGEMENT OR UWM | 2 | Jun 30, 2017 | May 18, 2017 | SAN JOSE, CA | Team lift out | Other | 7.4% |
| SOWELL MANAGEMENT | 9 | Jun 19, 2017 | Nov 14, 2016 | SAN JOSE, CA | Team lift out | Other | 25.0% |
| INSTITUTE FOR WEALTH ADVISORS, INC. | 2 | May 4, 2017 | Mar 15, 2017 | SAN JOSE, CA | Team lift out | Other | 5.0% |
| SOWELL MANAGEMENT | 8 | Mar 24, 2017 | Jan 21, 2025 | SAN JOSE, CA | Team lift out | Other | 16.0% |
| LIGHTHOUSE WEALTH STRATEGIES | 2 | Jan 3, 2017 | Oct 12, 2016 | SAN JOSE, CA | Team lift out | Other | 3.3% |
| FIELDSTONE FINANCIAL MANAGEMENT GROUP, LLC | 3 | Dec 31, 2016 | Oct 25, 2016 | SAN JOSE, CA | Team lift out | Other | 4.3% |
| SOWELL MANAGEMENT | 2 | Dec 31, 2016 | Sep 19, 2016 | ELMHURST, IL | Team lift out | Other | 2.9% |
| SOWELL MANAGEMENT | 6 | Dec 27, 2016 | Oct 19, 2016 | SAN JOSE, CA | Team lift out | Other | 8.3% |
| FIELDSTONE FINANCIAL MANAGEMENT GROUP, LLC | 3 | May 4, 2016 | Apr 29, 2016 | SAN JOSE, CA | Team lift out | Other | 3.8% |
| KNIGHT AND COMPANY WEALTH ADVISORS, LLC | 2 | Mar 31, 2015 | Sep 23, 2014 | LOS ALTOS, CA | Team lift out | Other | 2.6% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| BACON FINANCIAL MANAGEMENT, INC DBA FINANCIAL STRATEGIES GROUP | 2 | Dec 18, 2020 | Jan 3, 2014 | DALLAS, TX | Team lift out | Other | 100.0% |
| VSR ADVISORY SERVICES | 2 | Jun 7, 2016 | Jun 7, 2016 | OVERLAND PARK, KS | Team lift out | Other | 1.0% |
| FIELDSTONE FINANCIAL MANAGEMENT GROUP, LLC | 2 | Sep 2, 2015 | Mar 24, 2015 | FOXBORO, MA | Team lift out | Other | 100.0% |
| NORTHWEST ASSET MANAGEMENT | 2 | Mar 3, 2015 | Mar 6, 2015 | MERCER ISLAND, WA | Team lift out | Other | 13.3% |