DFX Intelligence

Data Factory

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

INVESTACORP ADVISORY SERVICES INC

CRD 109011

MIAMI, FL

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:d9feaa6d-0ac3-6055-7114-b57747c5cc49

Data as of Jun 26, 2020 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 2:40 AM UTC and rebuilt at most every 15 minutes.

Relationships: 369
Dated events: 6
On other graphs: 1
Observed: Dec 2, 2011 to Jun 26, 2020
21 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

Investacorp Advisory Services Inc

Investment consultant · shared crd

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: $2.2BItem 5.F on the latest filing (2020-06-26); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.8B
Private client RAUM: $2.2BderivedItem 5.D individuals plus high net worth individuals
Private client share: 98%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 260
Advisory employees: 260
Offices: 123Schedule D 1.F, beyond the principal office
Accounts: 9,856
Individual clients: 6,834
High net worth clients: 2,922
Custody, client assets: $2.4B
SEC number: 801-57738
CRD: 109011
Filings on the tape: 21
First filed: Dec 2, 2011
Latest filed: Jun 26, 2020
Organised: Corporation, Florida

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
ADVISOR GROUP HOLDINGS, INC	Shareholder	E	yes	05/2020	Jun 26, 2020	Jun 26, 2020
ADVISOR GROUP HOLDINGS, INC.	Shareholder	E	yes	02/2020	Mar 13, 2020	Jun 26, 2020
AG ARTEMIS HOLDINGS, L.P.	Shareholder	E	yes	08/2019	Mar 13, 2020	Jun 26, 2020
AG INTERMEDIATE CORP.	Shareholder	E	yes	08/2019	Mar 13, 2020	Jun 26, 2020
AG PARENT CORP.	Shareholder	E	yes	08/2019	Mar 13, 2020	Jun 26, 2020
ARNEAUD, MARCUS, ANTHONY	CHIEF COMPLIANCE OFFICER	Na	yes	05/2012	Jun 7, 2012	Jun 26, 2020
Dudas, Stephen, Stanley	SVP/CFO	Na	yes	03/2019	Mar 29, 2019	Jun 26, 2020
FARRELL, PATRICK, CHRISTOPHER	CEO/ PRESIDENT/ DIRECTOR	Na	yes	02/2008	Dec 2, 2011	Jun 26, 2020
LADENBURG THALMANN FINANCIAL SERVICES	SOLE SHAREHOLDER OF INVESTACORP ADVISORY SERVICES, INC.	E	yes	12/2007	Dec 2, 2011	Jun 26, 2020
MCKENNA, NINA	Secretary	Na	yes	05/2020	Jun 26, 2020	Jun 26, 2020
PRICE, JAMES, DALE	Chairman	Na	yes	05/2020	Jun 26, 2020	Jun 26, 2020
RCP ARTEMIS CO-INVEST L.P.	LIMITED PARTNER	E	yes	06/2019	Mar 13, 2020	Jun 26, 2020
SCHLUETER, MATTHEW, ADAM	EXECUTIVE VICE PRESIDENT, DIRECTOR	Na	yes	05/2020	Jun 26, 2020	Jun 26, 2020
BLANCATO, PHILIP, SALVATORE	Director	Na	no	01/2008	Dec 2, 2011	Jun 26, 2020
GIOVANNIELLO, JOSEPH	Director	Na	no	01/2008	Dec 2, 2011	Jun 26, 2020

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
ROYAL ALLIANCE ASSOCIATES, INC.	n/a	Bd affiliated wealth	$235B	N	yes	n/a
SECURITIES AMERICA ADVISORS, INC.	n/a	Former SEC adviser	$40B	N	yes	n/a
WOODBURY FINANCIAL SERVICES, INC.	n/a	Former SEC adviser	$19B	N	yes	n/a
SAGEPOINT FINANCIAL, INC.	n/a	Former SEC adviser	$16B	N	yes	n/a
TRIAD HYBRID SOLUTIONS, LLC	n/a	Bd affiliated wealth	$15B	N	yes	n/a
FSC SECURITIES CORPORATION	n/a	Former SEC adviser	$12B	N	yes	n/a
KMS FINANCIAL SERVICES, INC.	n/a	Former SEC adviser	$8.2B	N	yes	n/a
ARBOR POINT ADVISORS, LLC	n/a	Former SEC adviser	$6.9B	N	yes	n/a
SSN ADVISORY, INC.	n/a	Former SEC adviser	$2.4B	N	yes	n/a
TRIAD ADVISORS, LLC	n/a	Former SEC adviser	$1.1B	N	yes	n/a
VISION2020 WEALTH MANAGEMENT CORP.	n/a	No RAUM reported	$0	N	yes	n/a
HIGHLAND CAPITAL BROKERAGE, INC.	n/a	n/a	n/a	N	yes	n/a
INVESTACORP, INC.	n/a	n/a	n/a	N	yes	n/a
LADENBURG CAPITAL AGENCY, INC	n/a	n/a	n/a	N	yes	n/a
LADENBURG THALMANN & CO. INC.	n/a	n/a	n/a	N	yes	n/a
PREMIER TRUST, INC.	n/a	n/a	n/a	N	yes	n/a
SECURITIES AMERICA, INC.	n/a	n/a	n/a	N	yes	n/a
SECURITIES SERVICE NETWORK, LLC	n/a	n/a	n/a	N	yes	n/a
VALOR INSURANCE AGENCY, INC	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
FORT LAUDERDALE	FL	United States	20	no
CHESTNUT HILL	Ma	United States	15	no
Irvine	CA	United States	11	no
Wallingford	Ct	United States	9	no
Manhattan	Ks	United States	7	no
SOUTH WINDSOR	Ct	United States	6	no
Trinity	FL	United States	6	no
Edna	Mn	United States	6	no
Williamsville	NY	United States	6	no
SAN ANTONIO	TX	United States	6	no
Glastonbury	Ct	United States	5	no
BOCA RATON	FL	United States	5	no
Auburn	Me	United States	5	no
Reading	Pa	United States	5	no
Minneapolis	Mn	United States	4	no
BONITA SPRINGS	FL	United States	3	no
Miami	FL	United States	3	no
Lockport	NY	United States	3	no
NEW HARTFORD	Ct	United States	2	no
Selbyville	De	United States	2	no
DAYTONA BEACH	FL	United States	2	no
Miami	FL	United States	2	no
Bellmore	NY	United States	2	no
Portland	Or	United States	2	no
Memphis	Tn	United States	2	no

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
2019	Mar 30, 2020	$2.2B	$1.8B	260	260	123	n/a	n/a
2018	Mar 29, 2019	$2.4B	$1.9B	270	270	123	n/a	n/a
2017	Mar 30, 2018	$2.0B	$1.8B	265	265	120	n/a	n/a
2016	Mar 31, 2017	$1.6B	$118M	260	260	n/a	n/a	n/a
2015	Mar 30, 2016	$1.6B	$123M	252	252	n/a	n/a	n/a
2014	Mar 31, 2015	$1.6B	$125M	255	255	n/a	n/a	n/a
2013	Mar 31, 2014	$1.5B	$64.3M	232	232	n/a	n/a	n/a
2012	Mar 28, 2013	$1.3B	$132M	223	223	n/a	n/a	n/a
2011	Mar 30, 2012	$1.3B	$90.1M	n/a	n/a	n/a	n/a	n/a

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
2019	$2.2B	$2.4B	-6.3%	$1.6B	11.0%	260	270	123	123

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
LPL FINANCIAL LLC	2	Jul 20, 2020	Jun 17, 2020	AKRON, OH	Team lift out	Ibd to ibd	22.2%
ASSOCIATED INVESTOR SERVICES, INC.	4	Jul 17, 2020	Jan 24, 2020	FORT LAUDERDALE, FL	Team lift out	Ibd to state RIA	2.2%
AEGIS CAPITAL CORP.	2	Mar 6, 2020	Mar 3, 2020	ATLANTA, GA	Team lift out	Ibd to ibd	1.1%
SAGEPOINT FINANCIAL, INC.	2	Nov 7, 2016	Nov 4, 2016	LINCOLN, NE	Team lift out	Other	1.3%
KESTRA ADVISORY SERVICES, LLC	5	Sep 8, 2015	Apr 27, 2016	ALPHARETTA, GA	Team lift out	Other	3.9%
NFP ADVISOR SERVICES, LLC	3	Sep 8, 2015	Sep 17, 2015	ALPHARETTA, GA	Team lift out	Other	2.3%
KOVACK ADVISORS, INC.	2	Feb 18, 2015	Feb 17, 2015	ORANGE, CA	Team lift out	Other	1.6%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
KAUFMAN ADVISORY SERVICES, INC.	2	Apr 25, 2022	Mar 20, 2017	READING, PA	Team lift out	Other	100.0%
PRINCIPAL SECURITIES, INC.	2	Jan 14, 2020	Jan 17, 2020	SUNRISE, FL	Team lift out	Ibd to ibd	0.2%
QUEST CAPITAL STRATEGIES, INC.	2	Dec 13, 2017	Jan 24, 2018	LAGUNA HILLS, CA	Team lift out	Other	7.1%
LADENBURG THALMANN ASSET MANAGEMENT INC	2	Jan 3, 2017	Jan 10, 2017	MIAMI, FL	Team lift out	Other	11.1%
NFP ADVISOR SERVICES, LLC	2	Dec 31, 2015	Jan 7, 2016	WESTPORT, CT	Team lift out	Other	0.5%
NFP ADVISOR SERVICES, LLC	2	Dec 31, 2015	Jan 27, 2016	ATLANTA, GA	Team lift out	Other	0.5%
NFP ADVISOR SERVICES, LLC	2	Dec 31, 2015	Feb 19, 2016	GREENSBORO, NC	Team lift out	Other	0.5%
INVEST FINANCIAL CORPORATION	8	Sep 1, 2015	Nov 6, 2015	GLASTONBURY, CT	Team lift out	Other	1.3%

Relationships

showing 80 of 369

Affiliated with (13)

→ SECURITIES AMERICA ADVISORS, INC.Registered adviserother investment adviser, common control
factForm ADV
→ SSN ADVISORY, INC.Registered adviserother investment adviser, common control
factForm ADV
→ SAGEPOINT FINANCIAL, INC.Registered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ VISION2020 WEALTH MANAGEMENT CORP.Registered adviserother investment adviser, common control
factForm ADV
→ ARBOR POINT ADVISORSRegistered adviserother investment adviser, common control
factForm ADV
→ OSAIC ADVISORY SERVICES, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ OSAIC WEALTH, INC.Registered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ TRIAD ADVISORS, LLCRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ KMS FINANCIAL SERVICES, INCRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ WOODBURY FINANCIAL SERVICES, INC.Registered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ FSC SECURITIES CORPORATIONRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
← LADENBURG THALMANN FUND MANAGEMENT LLCRegistered adviserother investment adviser, common control
factForm ADV
← BRECEK & YOUNG ADVISORS, INC.Registered adviserother investment adviser, common control
factForm ADV

Controls (12)

← PRICE, JAMES, DALEOwnerCHAIRMAN, ownership code NA, individual
Jun 26, 2020 to presentfactForm ADV
← FARRELL, PATRICK, CHRISTOPHEROwnerCEO/ PRESIDENT/ DIRECTOR, ownership code NA, individual
Dec 2, 2011 to presentfactForm ADV
← SCHLUETER, MATTHEW, ADAMOwnerEXECUTIVE VICE PRESIDENT, DIRECTOR, ownership code NA, individual
Jun 26, 2020 to presentfactForm ADV
← ARNEAUD, MARCUS, ANTHONYOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jun 7, 2012 to presentfactForm ADV
← Dudas, Stephen, StanleyOwnerSVP/CFO, ownership code NA, individual
Mar 29, 2019 to presentfactForm ADV
← MCKENNA, NINAOwnerSECRETARY, ownership code NA, individual
Jun 26, 2020 to presentfactForm ADV
← ADVISOR GROUP HOLDINGS, INCOwnerSHAREHOLDER, ownership code E, domestic entity
Jun 26, 2020 to presentfactForm ADV
← AG ARTEMIS HOLDINGS, L.P.OwnerSHAREHOLDER, ownership code E, domestic entity
Mar 13, 2020 to presentfactForm ADV
← AG INTERMEDIATE CORP.OwnerSHAREHOLDER, ownership code E, domestic entity
Mar 13, 2020 to presentfactForm ADV
← AG PARENT CORP.OwnerSHAREHOLDER, ownership code E, domestic entity
Mar 13, 2020 to presentfactForm ADV
← LADENBURG THALMANN FINANCIAL SERVICESOwnerSOLE SHAREHOLDER OF INVESTACORP ADVISORY SERVICES, INC., ownership code E, domestic entity
Dec 2, 2011 to presentfactForm ADV
← RCP ARTEMIS CO-INVEST L.P.OwnerLIMITED PARTNER, ownership code E, domestic entity
Mar 13, 2020 to presentfactForm ADV

Owns (2)

← BLANCATO, PHILIP, SALVATOREOwnerDIRECTOR, ownership code NA, individual
Dec 2, 2011 to presentfactForm ADV
← GIOVANNIELLO, JOSEPHOwnerDIRECTOR, ownership code NA, individual
Dec 2, 2011 to presentfactForm ADV

Registered with (52)

← CURT WILLIAM KNAPPAdvisorregistration: previous registration
Jan 25, 2002 to Jul 31, 2020factForm ADV
← PATRICK CHRISTOPHER FARRELLAdvisorregistration: previous registration
Apr 25, 2000 to Jul 31, 2020factForm ADV
← MARCUS ANTHONY ARNEAUDAdvisorregistration: previous registration
May 14, 2012 to Jul 31, 2020factForm ADV
← CHRISTOPHER MICHAEL YAROSHAdvisorregistration: previous registration
Nov 22, 2016 to Jul 31, 2020factForm ADV
← Stephen Stanley DudasAdvisorregistration: previous registration
Aug 29, 2018 to Jul 31, 2020factForm ADV
← RANA CHANDERAdvisorregistration: previous registration
Mar 26, 2020 to Jul 31, 2020factForm ADV
← KENWARD LAVON STONEAdvisorregistration: previous registration
Mar 25, 1999 to Jul 20, 2020factForm ADV
← TIMOTHY WILLIAM RISHERAdvisorregistration: previous registration
Mar 25, 1999 to Jul 20, 2020factForm ADV
← JOHN MICHAEL MUNKAAdvisorregistration: previous registration
Jul 8, 1999 to Jul 20, 2020factForm ADV
← JOSEPH JOHN REYNOLDSAdvisorregistration: previous registration
Apr 12, 1998 to Jul 17, 2020factForm ADV
← RICHARD ALBERT KAUFMANAdvisorregistration: previous registration
Jun 21, 2007 to Jul 17, 2020factForm ADV
← BARBARA ANN COMERAdvisorregistration: previous registration
Aug 8, 2007 to Jul 17, 2020factForm ADV
← ROBERT LEWIS HAWKINSAdvisorregistration: previous registration
Jan 22, 2014 to Jul 17, 2020factForm ADV
← JAMES ERNEST DRISKELLAdvisorregistration: previous registration
Feb 4, 2013 to Jul 17, 2020factForm ADV
← Donald Anthony CaferoAdvisorregistration: previous registration
Jan 7, 2016 to Jul 17, 2020factForm ADV
← HADLEY ARTHUR WEINBERGAdvisorregistration: previous registration
Sep 3, 2010 to Jul 17, 2020factForm ADV
← JAY ELIOT BIGMANAdvisorregistration: previous registration
Mar 3, 2016 to Jul 17, 2020factForm ADV
← MARK ALLEN RUTLANDAdvisorregistration: previous registration
Jan 26, 2004 to Jul 17, 2020factForm ADV
← MICHAEL NOBILEAdvisorregistration: previous registration
Sep 1, 2015 to Jul 17, 2020factForm ADV
← CHARLES FRANKLIN WALKERAdvisorregistration: previous registration
Oct 18, 2000 to Jul 17, 2020factForm ADV
← ROBERT LEROY CHESSAdvisorregistration: previous registration
Jan 21, 2014 to Jul 17, 2020factForm ADV
← Thomas Gene BartleyAdvisorregistration: previous registration
Sep 15, 2017 to Jul 17, 2020factForm ADV
← FREDERICK HARRY YANKEEAdvisorregistration: previous registration
Aug 16, 1995 to Jul 17, 2020factForm ADV
← MARK HUTCHINS EGENERAdvisorregistration: previous registration
May 18, 2018 to Jul 17, 2020factForm ADV
← ROBERT HARRY DYERAdvisorregistration: previous registration
Mar 12, 2007 to Jul 17, 2020factForm ADV
← DEBORAH SUE WELLERAdvisorregistration: previous registration
Aug 17, 1998 to Jul 17, 2020factForm ADV
← DANIEL JOSEPH BELLINAAdvisorregistration: previous registration
Feb 23, 1996 to Jul 17, 2020factForm ADV
← DOUGLAS SCOTT MOREYAdvisorregistration: previous registration
Mar 2, 2006 to Jul 17, 2020factForm ADV
← MICHAEL GERARD MCCABEAdvisorregistration: previous registration
Sep 8, 2015 to Jul 17, 2020factForm ADV
← PAUL JAY VLADEMAdvisorregistration: previous registration
Jul 23, 1996 to Jul 17, 2020factForm ADV
and 22 more

Dated events

Occurred
Apr 25, 2022
Team lift-out
2 advisors left Kaufman Advisory Services, Inc. (Reading, PA) for Investacorp Advisory Services Inc on the same day
Form ADVobserved 4 days ago
2 advisors
Occurred
Jun 26, 2020
Control person joined
Dale James Price (Chairman) appeared on Schedule A of Investacorp Advisory Services Inc
Form ADVobserved 5 days ago
Occurred
Jun 26, 2020
Control person joined
Adam Matthew Schlueter (Executive Vice President, Director) appeared on Schedule A of Investacorp Advisory Services Inc
Form ADVobserved 5 days ago
Occurred
Jun 26, 2020
Control person joined
Nina Mckenna (Secretary) appeared on Schedule A of Investacorp Advisory Services Inc
Form ADVobserved 5 days ago
Occurred
Mar 29, 2019
Control person joined
Stanley Stephen Dudas (Svp/Cfo) appeared on Schedule A of Investacorp Advisory Services Inc
Form ADVobserved 5 days ago
Occurred
Mar 29, 2019
Control person left
Asela Mantecon (Executive Vp/Cfo/Treasurer) no longer on Schedule A of Investacorp Advisory Services Inc (listed 2018-03-30, absent 2019-03-29)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d9feaa6d-0ac3-6055-7114-b57747c5cc49
First observed: Dec 2, 2011
Last observed: Jun 26, 2020 75 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.

INVESTACORP ADVISORY SERVICES INC

CRD 109011

MIAMI, FL

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:d9feaa6d-0ac3-6055-7114-b57747c5cc49

Data as of Jun 26, 2020 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 2:40 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ADVISOR GROUP HOLDINGS, INC

Shareholder

yes

05/2020

Jun 26, 2020

ADVISOR GROUP HOLDINGS, INC.

Shareholder

yes

02/2020

Mar 13, 2020

Jun 26, 2020

AG ARTEMIS HOLDINGS, L.P.

Shareholder

yes

08/2019

Mar 13, 2020

Jun 26, 2020

AG INTERMEDIATE CORP.

Shareholder

yes

08/2019

Mar 13, 2020

Jun 26, 2020

AG PARENT CORP.

Shareholder

yes

08/2019

Mar 13, 2020

Jun 26, 2020

ARNEAUD, MARCUS, ANTHONY

CHIEF COMPLIANCE OFFICER

yes

05/2012

Jun 7, 2012

Jun 26, 2020

Dudas, Stephen, Stanley

SVP/CFO

yes

03/2019

Mar 29, 2019

Jun 26, 2020

FARRELL, PATRICK, CHRISTOPHER

CEO/ PRESIDENT/ DIRECTOR

yes

02/2008

Dec 2, 2011

Jun 26, 2020

LADENBURG THALMANN FINANCIAL SERVICES

SOLE SHAREHOLDER OF INVESTACORP ADVISORY SERVICES, INC.

yes

12/2007

Dec 2, 2011

Jun 26, 2020

MCKENNA, NINA

Secretary

yes

05/2020

Jun 26, 2020

PRICE, JAMES, DALE

Chairman

yes

05/2020

Jun 26, 2020

RCP ARTEMIS CO-INVEST L.P.

LIMITED PARTNER

yes

06/2019

Mar 13, 2020

Jun 26, 2020

SCHLUETER, MATTHEW, ADAM

EXECUTIVE VICE PRESIDENT, DIRECTOR

yes

05/2020

Jun 26, 2020

BLANCATO, PHILIP, SALVATORE

Director

01/2008

Dec 2, 2011

Jun 26, 2020

GIOVANNIELLO, JOSEPH

Director

01/2008

Dec 2, 2011

Jun 26, 2020

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

ROYAL ALLIANCE ASSOCIATES, INC.

n/a

Bd affiliated wealth

$235B

yes

n/a

SECURITIES AMERICA ADVISORS, INC.

n/a

Former SEC adviser

$40B

yes

n/a

WOODBURY FINANCIAL SERVICES, INC.

n/a

Former SEC adviser

$19B

yes

n/a

SAGEPOINT FINANCIAL, INC.

n/a

Former SEC adviser

$16B

yes

n/a

TRIAD HYBRID SOLUTIONS, LLC

n/a

Bd affiliated wealth

$15B

yes

n/a

FSC SECURITIES CORPORATION

n/a

Former SEC adviser

$12B

yes

n/a

KMS FINANCIAL SERVICES, INC.

n/a

Former SEC adviser

$8.2B

yes

n/a

ARBOR POINT ADVISORS, LLC

n/a

Former SEC adviser

$6.9B

yes

n/a

SSN ADVISORY, INC.

n/a

Former SEC adviser

$2.4B

yes

n/a

TRIAD ADVISORS, LLC

n/a

Former SEC adviser

$1.1B

yes

n/a

VISION2020 WEALTH MANAGEMENT CORP.

n/a

No RAUM reported

yes

n/a

HIGHLAND CAPITAL BROKERAGE, INC.

n/a

yes

n/a

INVESTACORP, INC.

n/a

yes

n/a

LADENBURG CAPITAL AGENCY, INC

n/a

yes

n/a

LADENBURG THALMANN & CO. INC.

n/a

yes

n/a

PREMIER TRUST, INC.

n/a

yes

n/a

SECURITIES AMERICA, INC.

n/a

yes

n/a

SECURITIES SERVICE NETWORK, LLC

n/a

yes

n/a

VALOR INSURANCE AGENCY, INC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

FORT LAUDERDALE

United States

CHESTNUT HILL

United States

Irvine

United States

Wallingford

United States

Manhattan

United States

SOUTH WINDSOR

United States

Trinity

United States

Edna

United States

Williamsville

United States

SAN ANTONIO

United States

Glastonbury

United States

BOCA RATON

United States

Auburn

United States

Reading

United States

Minneapolis

United States

BONITA SPRINGS

United States

Miami

United States

Lockport

United States

NEW HARTFORD

United States

Selbyville

United States

DAYTONA BEACH

United States

Miami

United States

Bellmore

United States

Portland

United States

Memphis

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2019

Mar 30, 2020

$2.2B

$1.8B

260

123

n/a

2018

Mar 29, 2019

$2.4B

$1.9B

270

123

n/a

2017

Mar 30, 2018

$2.0B

$1.8B

265

120

n/a

2016

Mar 31, 2017

$1.6B

$118M

260

n/a

2015

Mar 30, 2016

$1.6B

$123M

252

n/a

2014

Mar 31, 2015

$1.6B

$125M

255

n/a

2013

Mar 31, 2014

$1.5B

$64.3M

232

n/a

2012

Mar 28, 2013

$1.3B

$132M

223

n/a

2011

Mar 30, 2012

$1.3B

$90.1M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2019

$2.2B

$2.4B

-6.3%

$1.6B

11.0%

260

270

123

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

LPL FINANCIAL LLC

Jul 20, 2020

Jun 17, 2020

AKRON, OH

Team lift out

Ibd to ibd

22.2%

ASSOCIATED INVESTOR SERVICES, INC.

Jul 17, 2020

Jan 24, 2020

FORT LAUDERDALE, FL

Team lift out

Ibd to state RIA

2.2%

AEGIS CAPITAL CORP.

Mar 6, 2020

Mar 3, 2020

ATLANTA, GA

Team lift out

Ibd to ibd

1.1%

SAGEPOINT FINANCIAL, INC.

Nov 7, 2016

Nov 4, 2016

LINCOLN, NE

Team lift out

Other

1.3%

KESTRA ADVISORY SERVICES, LLC

Sep 8, 2015

Apr 27, 2016

ALPHARETTA, GA

Team lift out

Other

3.9%

NFP ADVISOR SERVICES, LLC

Sep 8, 2015

Sep 17, 2015

ALPHARETTA, GA

Team lift out

Other

2.3%

KOVACK ADVISORS, INC.

Feb 18, 2015

Feb 17, 2015

ORANGE, CA

Team lift out

Other

1.6%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

KAUFMAN ADVISORY SERVICES, INC.

Apr 25, 2022

Mar 20, 2017

READING, PA

Team lift out

Other

100.0%

PRINCIPAL SECURITIES, INC.

Jan 14, 2020

Jan 17, 2020

SUNRISE, FL

Team lift out

Ibd to ibd

0.2%

QUEST CAPITAL STRATEGIES, INC.

Dec 13, 2017

Jan 24, 2018

LAGUNA HILLS, CA

Team lift out

Other

7.1%

LADENBURG THALMANN ASSET MANAGEMENT INC

Jan 3, 2017

Jan 10, 2017

MIAMI, FL

Team lift out

Other

11.1%

NFP ADVISOR SERVICES, LLC

Dec 31, 2015

Jan 7, 2016

WESTPORT, CT

Team lift out

Other

0.5%

NFP ADVISOR SERVICES, LLC

Dec 31, 2015

Jan 27, 2016

ATLANTA, GA

Team lift out

Other

0.5%

NFP ADVISOR SERVICES, LLC

Dec 31, 2015

Feb 19, 2016

GREENSBORO, NC

Team lift out

Other

0.5%

INVEST FINANCIAL CORPORATION

Sep 1, 2015

Nov 6, 2015

GLASTONBURY, CT

Team lift out

Other

1.3%