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CRD 137381
MALVERN, PA
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| BRUCE ALAN KAVANAUGH | n/a | MALVERN, PA | 20 | 31 | n/a | yes |
| JOE MCKEE THOMSON | Certified Financial Planner|Chartered Financial Consultant | MALVERN, PA | 20 | 46 | n/a | yes |
| SEAN EDWARD OHARA | n/a | Palm Beach, FL | MALVERN, PA | 17 | 40 | n/a | yes |
| ASHLEE ANN THOMSON BRADBARD | n/a | MALVERN, PA | 14 | 19 | n/a | yes |
| BRAD SCHAFENACKER GERY | n/a | MALVERN, PA | 13 | 19 | 1 | yes |
| DANIEL MARK ALIVERNINI | Certified Financial Planner | MALVERN, PA | 8 | 18 | 2 | yes |
| PATRICK RYAN HULL | n/a | Costa Mesa, CA | MALVERN, PA | 6 | 13 | 1 | yes |
| MICHAEL Patrick GILLESPIE | n/a | MALVERN, PA | 5 | 11 | 1 | yes |
| MARK AUSTIN DONOVAN | n/a | Chicago, IL | MALVERN, PA | 4 | 11 | 2 | yes |
| John Abbott | n/a | Boca Raton, FL | MALVERN, PA | 2 | 11 | 2 | yes |
| MARK CHARLES KETTENHOFEN | n/a | MALVERN, PA | Ada, MI | 2 | 13 | 1 | yes |
| Joseph Albert Werner | n/a | MALVERN, PA | 1 | 10 | n/a | yes |
| BRIAN M LOMEDICO | n/a | MALVERN, PA | Carmel, IN | 1 | 17 | 4 | yes |
| Marc Westburg | n/a | MALVERN, PA | Los Angeles, CA | 1 | 25 | 1 | yes |
| JOSHUA Jacobs MCCARTHY | n/a | De Witt, MI | MALVERN, PA | 0 | 10 | 2 | yes |
| Garrett S Tingle | n/a | Fenton, MO | MALVERN, PA | 0 | 10 | 2 | yes |
| Michael A Green | n/a | MALVERN, PA | Phoenix, AZ | 0 | 12 | 1 | yes |
| Tyler R Koivisto | n/a | MALVERN, PA | Buffalo, MN | 0 | 11 | 1 | yes |
| Nathan Grant Baker | n/a | MALVERN, PA | Arvada, CO | 0 | 13 | 2 | yes |
| ERIN MARIE JAGUSAK | n/a | MALVERN, PA | 0 | 20 | 4 | yes |
| Daniel Sauceda | n/a | MALVERN, PA | San Francisco, CA | 0 | 10 | 3 | no |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| OHARA, SEAN, EDWARD | Director | B | yes | 04/2019 | Aug 1, 2019 | Jun 27, 2024 |
| THOMSON, JOE, MCKEE | President | D | yes | 03/2005 | Apr 17, 2014 | Jun 27, 2024 |
| BRADBARD, ASHLEE, ANN THOMSON | Svp | A | no | 10/2015 | Oct 7, 2015 | Jun 27, 2024 |
| Johnson, Jeffrey, Shawn | CHIEF COMPLIANCE OFFICER | Na | no | 06/2023 | Aug 29, 2023 | Jun 27, 2024 |
| THOMSON, JOANN, Marie | TREASURER/SECRETARY | A | no | 03/2005 | Apr 17, 2014 | Jun 27, 2024 |
| ZELLER, KIMBERLY, L. T. | VICE PRESIDENT, KEY ACCOUNTS | A | no | 01/2015 | Mar 29, 2017 | Jun 27, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| PACER FINANCIAL, INC. | n/a | n/a | n/a | Y | yes | n/a |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 31, 2026 | $39B | $39B | 24 | 5 | 0 | n/a | n/a |
| 2024 | Jan 9, 2025 | $46B | $46B | 23 | 5 | 0 | n/a | n/a |
| 2023 | Mar 28, 2024 | $35B | $35B | 22 | 5 | 0 | n/a | n/a |
| 2022 | Mar 30, 2023 | $23B | $23B | 22 | 5 | 0 | n/a | n/a |
| 2021 | Mar 25, 2022 | $12B | $12B | 22 | 5 | 0 | n/a | n/a |
| 2020 | Mar 22, 2021 | $6.1B | $6.1B | 21 | 4 | 0 | n/a | n/a |
| 2019 | Feb 28, 2020 | $5.6B | $5.6B | 19 | 4 | 0 | n/a | n/a |
| 2018 | Mar 12, 2019 | $3.2B | $3.2B | 18 | 4 | 0 | n/a | n/a |
| 2017 | Feb 26, 2018 | $1.6B | $1.6B | 11 | 4 | 0 | n/a | n/a |
| 2016 | Mar 29, 2017 | $877M | $877M | 11 | 4 | n/a | n/a | n/a |
| 2015 | Mar 9, 2016 | $620M | $620M | 8 | 4 | n/a | n/a | n/a |
| 2014 | Apr 27, 2015 | $113M | $113M | 8 | 4 | 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 |
|---|---|---|---|---|---|---|---|---|
| 8 | 5 | 3 | 23.8% | 2 | 2 | 0 | 16 | 15 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $42B | $46B | -9.2% | $23B | 22.2% | 24 | 23 | 0 | 0 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| AMUNDI ASSET MANAGEMENT US, INC. | 2 | Apr 25, 2025 | Jun 10, 2025 | BOSTON, MA | Team lift out | Other | 3.6% |