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CRD 171346
TAVARES, FL
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 |
|---|---|---|---|---|---|---|
| THOMAS HUEY RUGGIE | Certified Financial Planner|Chartered Financial Consultant | TAVARES, FL | 12 | 31 | 6 | no |
| MORGAN AILEEN HATFIELD | n/a | TAVARES, FL | 11 | 16 | 3 | no |
| AUDREY MARIE MANCUSO | Certified Financial Planner | TAVARES, FL | 9 | 15 | 2 | no |
| LOUIS MITCHELL SHINAMAN | Chartered Financial Consultant | Winter Park, FL | TAVARES, FL | 9 | 30 | 2 | no |
| Robert Clark | Certified Financial Planner | TAVARES, FL | Winter Park, FL | 9 | 26 | 5 | no |
| JORGE A ROMERO | Certified Financial Planner | THE VILLAGES, FL | Winter Park, FL | TAVARES, FL | 9 | 17 | 3 | no |
| CAROL ANN MULCAHY | n/a | TAVARES, FL | 6 | 35 | 8 | no |
| Christopher George Nichols | n/a | Boca Raton, FL | TAVARES, FL | BOCA RATON, FL | 3 | 20 | 3 | no |
| JEREMIAH ELIJAH WASSMER | Certified Financial Planner | Winter Park, FL | TAVARES, FL | 3 | 11 | 2 | no |
| Ronald Joseph Hopper | n/a | TAVARES, FL | 2 | 12 | n/a | no |
| Keith Webster Ward | n/a | TAVARES, FL | 1 | 18 | n/a | no |
| Brian Davis | n/a | TAVARES, FL | 1 | 26 | 3 | no |
| Mitchel Travis Faulkner | Certified Financial Planner | Boca Raton, FL | TAVARES, FL | 1 | 13 | 2 | no |
| ALAN MOORE BELANGER | n/a | TAVARES, FL | 0 | 14 | 2 | no |
| Eliza Fryer Kwentus | n/a | TAVARES, FL | Winter Park, FL | 0 | 11 | 2 | no |
| Tyler Nicholas Dodson | n/a | TAVARES, FL | Jacksonville, FL | 0 | 14 | 1 | no |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| CLARK, ROBERT, LIDDELL | TRUSTEE OF THE ROBERT L. CLARK | Na | yes | 09/2014 | Jun 19, 2026 | Jun 19, 2026 |
| MANCUSO, AUDREY, MARIE | MANAGING PARTNER | Na | yes | 01/2023 | Jun 19, 2026 | Jun 19, 2026 |
| RUGGIE, THOMAS, HUEY | MANAGING MEMBER/CHIEF COMPLIANCE OFFICER | Na | yes | 05/2014 | Jun 19, 2026 | Jun 19, 2026 |
| PANORMOS CAPITAL GROUP, INC. | Owner | E | yes | 01/2021 | Mar 10, 2021 | Dec 9, 2024 |
| ROBERT L. CLARK REVOCABLE TRUST, DATED SEPTEMBER 29, 2014, AS AMENDED | Owner | F | yes | 01/2021 | Aug 8, 2019 | Dec 9, 2024 |
| THOMAS H. RUGGIE REVOCABLE TRUST, DATED JANUARY 18, 2001, AS AMENDED | Owner | E | yes | 01/2021 | Aug 8, 2019 | Dec 9, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| GUERRA TAX AND WEALTH PLANNING, P.A. | n/a | n/a | n/a | N | no | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| WINTER PARK | FL | United States | 3 | no |
| THE VILLAGES | FL | United States | 2 | no |
| BOCA RATON | FL | United States | 1 | no |
| Jacksonville | FL | United States | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Apr 21, 2026 | $1.5B | $1.4B | 26 | 11 | 4 | n/a | n/a |
| 2024 | Mar 25, 2025 | $1.1B | $1.0B | 26 | 11 | 4 | n/a | n/a |
| 2023 | Mar 14, 2024 | $997M | $957M | 21 | 11 | 3 | n/a | n/a |
| 2022 | Feb 14, 2023 | $806M | $798M | 21 | 11 | 4 | n/a | n/a |
| 2021 | Mar 2, 2022 | $948M | $945M | 21 | 15 | 3 | n/a | n/a |
| 2020 | Mar 10, 2021 | $785M | $781M | 15 | 12 | 3 | n/a | n/a |
| 2019 | Mar 26, 2020 | $241M | $240M | 8 | 7 | 2 | n/a | n/a |
| 2018 | Mar 31, 2019 | $17.9M | $671,906 | 8 | 7 | 2 | n/a | n/a |
| 2017 | Mar 30, 2018 | $19.2M | $442,158 | 8 | 8 | 2 | n/a | n/a |
| 2016 | Mar 31, 2017 | $36.0M | $0 | 6 | 6 | n/a | n/a | n/a |
| 2015 | Mar 22, 2016 | $11.8M | $11.8M | 4 | 4 | n/a | n/a | n/a |
| 2014 | Mar 31, 2015 | $8.0M | $8.0M | 1 | 1 | 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 |
|---|---|---|---|---|---|---|---|---|
| 4 | 1 | 3 | 6.3% | 0 | 0 | 0 | 7 | 5 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $947M | $1.1B | -15.8% | $806M | 5.5% | 26 | 26 | 4 | 4 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| RUGGIE WEALTH MANAGEMENT | 6 | Jan 7, 2021 | May 13, 2020 | TAVARES, FL | Firm absorbed | RIA to RIA | 66.7% |