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CRD 104761
PALM BEACH GARDENS, FL
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| FORST, EDWARD, Samuel | Manager | Na | yes | 01/2017 | Jan 4, 2017 | Mar 29, 2019 |
| GINGRICH, MIRALDA | VICE PRESIDENT | Na | yes | 08/2016 | Jun 8, 2015 | Mar 29, 2019 |
| HOUSER, DENIS, NEIL | PRESIDENT/CEO | Na | yes | 01/2017 | Jan 4, 2017 | Mar 29, 2019 |
| LEGEND GROUP HOLDINGS, LLC | MEMBER/SHAREHOLDER | E | yes | 03/2000 | Jan 11, 2013 | Mar 29, 2019 |
| LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | INDIRECT OWNER | E | yes | 01/2017 | Jan 4, 2017 | Mar 29, 2019 |
| McCarthy, Diane, Mulherrin | SR VICE-PRESIDENT, CHIEF FINANCIAL OFFICER | Na | yes | 09/2018 | Oct 9, 2018 | Mar 29, 2019 |
| MEHROTRA, SHASHI | CHIEF INVESTMENT OFFICER/CHIEF OPERATING OFFICER | Na | yes | 01/2017 | Dec 8, 2011 | Mar 29, 2019 |
| OBERLIES, SUSAN, MARY | CHIEF COMPLIANCE OFFICER | Na | yes | 01/2017 | Jan 4, 2017 | Mar 29, 2019 |
| BURA, KAREN, DOUGHERTY | ASSISTANT TREASURER | Na | no | 01/2017 | Jan 4, 2017 | Mar 29, 2019 |
| PATTERSON, DEBRA, ANN | Secretary | Na | no | 01/2017 | Jan 4, 2017 | Mar 29, 2019 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| LINCOLN INVESTMENT PLANNING, LLC | n/a | Independent wealth | $22B | N | yes | n/a |
| CAPITAL ANALYSTS, LLC | n/a | Bd affiliated wealth | $8.8B | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Getzville | NY | United States | 41 | yes |
| Rochester | NY | United States | 20 | yes |
| Independence | Oh | United States | 19 | yes |
| ROYAL OAK | Mi | United States | 14 | yes |
| Bohemia | NY | United States | 14 | yes |
| Syracuse | NY | United States | 10 | yes |
| ST. PETERSBURG | FL | United States | 8 | yes |
| Columbus | Oh | United States | 8 | yes |
| Tucson | Az | United States | 7 | yes |
| SAN DIMAS | CA | United States | 7 | yes |
| Tempe | Az | United States | 5 | yes |
| Belleview | FL | United States | 4 | yes |
| FORT MYERS | FL | United States | 4 | yes |
| Lakewood | NY | United States | 4 | yes |
| Watertown | NY | United States | 4 | yes |
| Wellington | FL | United States | 3 | yes |
| WEST PALM BEACH | FL | United States | 3 | yes |
| Winder | Ga | United States | 3 | yes |
| Bluffton | In | United States | 3 | yes |
| Rochester | NY | United States | 3 | yes |
| Avon | Oh | United States | 3 | yes |
| Erie | Pa | United States | 3 | yes |
| n/a | n/a | n/a | 3 | yes |
| Belleview | FL | United States | 2 | yes |
| Newborn | Ga | United States | 2 | yes |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2018 | Mar 29, 2019 | $1.9B | $1.3B | 303 | 296 | 121 | n/a | n/a |
| 2017 | Mar 30, 2018 | $2.4B | $1.6B | 321 | 315 | 109 | n/a | n/a |
| 2016 | Mar 31, 2017 | $1.9B | $1.5B | 408 | 323 | n/a | n/a | n/a |
| 2015 | Mar 30, 2016 | $2.1B | $2.1B | 434 | 384 | n/a | n/a | n/a |
| 2014 | Mar 31, 2015 | $2.4B | $2.3B | 434 | 395 | n/a | n/a | n/a |
| 2013 | Mar 28, 2014 | $1.9B | $1.9B | 418 | 378 | n/a | n/a | n/a |
| 2012 | Mar 28, 2013 | $1.8B | $1.8B | 425 | 389 | n/a | n/a | n/a |
| 2011 | Mar 1, 2012 | $1.6B | $1.6B | 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 |
|---|---|---|---|---|---|---|---|---|---|
| 2018 | $1.9B | $2.4B | -18.5% | $2.1B | -2.6% | 303 | 321 | 121 | 109 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| CAPITAL ANALYSTS | 2 | Oct 4, 2019 | Mar 10, 2020 | TUCSON, AZ | Channel change | Ibd to ibd | 1.2% |
| CAPITAL ANALYSTS | 2 | Oct 4, 2019 | Dec 5, 2024 | PALM BEACH GARDENS, FL | Channel change | Ibd to ibd | 1.2% |
| PLANMEMBER SECURITIES CORPORATION | 2 | Feb 17, 2017 | Feb 23, 2017 | PALM BEACH GARDENS, FL | Team lift out | Other | 1.2% |
| VOYA FINANCIAL ADVISORS, INC. | 2 | Feb 10, 2017 | Feb 22, 2017 | FORT WAYNE, IN | Team lift out | Other | 1.2% |
| GWN SECURITIES INC. | 2 | Sep 27, 2016 | Sep 30, 2016 | PALM BEACH GARDENS, FL | Team lift out | Other | 1.2% |
| GWN SECURITIES INC. | 2 | Aug 10, 2016 | Aug 12, 2016 | WINTER PARK, FL | Team lift out | Other | 1.1% |
| PLANMEMBER SECURITIES CORPORATION | 4 | Feb 19, 2016 | Mar 7, 2016 | INDIAN RIVER, MI | Team lift out | Other | 2.2% |
| PLANMEMBER SECURITIES CORPORATION | 9 | Feb 18, 2016 | Feb 26, 2016 | PALM BEACH GARDENS, FL | Team lift out | Other | 4.8% |
| PLANMEMBER SECURITIES CORPORATION | 4 | Feb 18, 2016 | Mar 9, 2016 | LAS VEGAS, NV | Team lift out | Other | 2.1% |