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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

AMERICAN FINANCIAL MANAGEMENT GROUP, LTD.

CRD 119449

BERWYN, PA

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:e05f804f-df1b-752f-00cd-283a13bec1ef

Data as of Aug 29, 2018 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:13 AM UTC and rebuilt at most every 15 minutes.

Relationships: 32
Dated events: 0
On other graphs: 0
Observed: Mar 22, 2012 to Aug 29, 2018
15 observations

Across DFX

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.

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: $217MItem 5.F on the latest filing (2018-08-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $126M
Private client RAUM: $176MderivedItem 5.D individuals plus high net worth individuals
Private client share: 81%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 10
Advisory employees: 10
Offices: 3Schedule D 1.F, beyond the principal office
Accounts: 813
Individual clients: 627
High net worth clients: 119
SEC number: 801-61084
CRD: 119449
Filings on the tape: 15
First filed: Mar 22, 2012
Latest filed: Aug 29, 2018
Organised: Corporation, Pennsylvania

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
WHITE, JERRY, WILMER	President	E	yes	04/1988	Mar 22, 2012	Aug 29, 2018
GAINES, KEVIN, MICHAEL	CHIEF INVESTMENT OFFICER	Na	no	05/2014	Mar 12, 2015	Aug 29, 2018
RYAN, REGINA, ANN	CHIEF COMPLIANCE OFFICER	Na	no	12/1997	Mar 22, 2012	Aug 29, 2018

Offices

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

City	State	Country	Employees	Also broker-dealer
Allentown	Pa	United States	4	yes
Milford	De	United States	1	yes
Doylestown	Pa	United States	1	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
2017	Mar 27, 2018	$217M	$126M	10	10	3	n/a	n/a
2016	Mar 1, 2017	$171M	$45.6M	10	9	n/a	n/a	n/a
2015	Mar 10, 2016	$149M	$39.2M	11	8	n/a	n/a	n/a
2014	Mar 12, 2015	$105M	$27.0M	13	13	n/a	n/a	n/a
2013	Mar 25, 2014	$166M	$18.6M	12	12	n/a	n/a	n/a
2012	Mar 26, 2013	$119M	$18.2M	14	12	n/a	n/a	n/a
2011	Mar 22, 2012	$129M	$0	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
2017	$217M	$171M	27.0%	$105M	27.5%	10	10	3	n/a

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
IFG RUSSELL ADVISORS INC	2	Dec 31, 2018	Nov 16, 2012	BERWYN, PA	Team lift out	Other	33.3%
CETERA ADVISOR NETWORKS LLC	2	Dec 31, 2018	Sep 3, 2013	BERWYN, PA	Team lift out	RIA to ibd	33.3%
WALNUT STREET SECURITIES, INC.	2	Dec 31, 2018	Oct 7, 2010	ALLENTOWN, PA	Team lift out	Other	33.3%
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	2	Feb 22, 2017	Mar 21, 2017	MOORESVILLE, NC	Team lift out	Other	25.0%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
IFG RUSSELL ADVISORS INC	2	Feb 22, 2017	Jul 12, 2016	MOORESVILLE, NC	Team lift out	Other	28.6%

Relationships

Owns (2)

← RYAN, REGINA, ANNOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 22, 2012 to presentfactForm ADV
← GAINES, KEVIN, MICHAELOwnerCHIEF INVESTMENT OFFICER, ownership code NA, individual
Mar 12, 2015 to presentfactForm ADV

Controls (1)

← WHITE, JERRY, WILMEROwnerPRESIDENT, ownership code E, individual
Mar 22, 2012 to presentfactForm ADV

Affiliated with (1)

← IFG RUSSELL ADVISORS INCRegistered adviserother investment adviser, common control
factForm ADV

Registered with (23)

← BRUCE DAVID HERMANNAdvisorregistration: previous registration
Oct 24, 2012 to Dec 31, 2018factForm ADV
← Kevin Michael GainesAdvisorregistration: previous registration
Jan 12, 2011 to Dec 31, 2018factForm ADV
← JASON ANDREW IANNANTUONOAdvisorregistration: previous registration
Jun 28, 2006 to Dec 31, 2018factForm ADV
← Stephanie White McCulloughAdvisorregistration: previous registration
Jun 4, 2003 to Dec 31, 2018factForm ADV
← BRIAN RANO LUEKERAdvisorregistration: previous registration
Jan 8, 2013 to Dec 31, 2018factForm ADV
← JOHN JOSEPH IANNANTUONOAdvisorregistration: previous registration
Jul 31, 1992 to Dec 31, 2018factForm ADV
← EALON SIDNEY THOMPSONAdvisorregistration: previous registration
Jul 12, 2016 to Feb 22, 2017factForm ADV
← JOHN WAYNE CHIDWICKAdvisorregistration: previous registration
Jul 12, 2016 to Feb 22, 2017factForm ADV
← ROBERT BARRY HAMILTONAdvisorregistration: previous registration
Nov 16, 2010 to Sep 1, 2016factForm ADV
← KEVIN FREDERICK HANSLEYAdvisorregistration: previous registration
Oct 12, 2011 to Nov 6, 2014factForm ADV
← Robert McIntrye FloodAdvisorregistration: previous registration
Jan 2, 2013 to Nov 21, 2013factForm ADV
← JOHN WALLACE TONISSENAdvisorregistration: previous registration
Dec 31, 2001 to Oct 1, 2013factForm ADV
← CHARLES THORN CAMPBELLAdvisorregistration: previous registration
Apr 2, 2008 to Apr 17, 2013factForm ADV
← KIM TEJLS MORTENSENAdvisorregistration: previous registration
May 14, 2009 to May 8, 2012factForm ADV
← MICHELLE JENNIFER BLASSAdvisorregistration: previous registration
Jul 1, 2010 to Aug 12, 2010factForm ADV
← KENNETH DALE ANDERSONAdvisorregistration: previous registration
Dec 31, 2001 to Aug 4, 2010factForm ADV
← PHILIP JOHN FOGLIAdvisorregistration: previous registration
Sep 1, 1992 to Oct 28, 2008factForm ADV
← TIMOTHY EDWARD FLATLEYAdvisorregistration: previous registration
Sep 25, 1992 to Nov 16, 2006factForm ADV
← JAMES GERARD HAGENEYAdvisorregistration: previous registration
May 5, 1998 to Nov 16, 2006factForm ADV
← SEAN MICHAEL FLATLEYAdvisorregistration: previous registration
Feb 21, 2002 to Nov 16, 2006factForm ADV
← EUGENE RICHARD WEBERAdvisorregistration: previous registration
Mar 4, 2004 to Nov 16, 2006factForm ADV
← Peter Kent HooverAdvisorregistration: previous registration
Feb 27, 1992 to Mar 2, 2006factForm ADV
← JAMES MARSHALL BRUTONAdvisorregistration: previous registration
Aug 15, 2000 to Dec 15, 2004factForm ADV

Moved with (5)

→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviser2 advisors, team lift out, same day
Feb 22, 2017 to Mar 21, 2017factForm ADV
← IFG RUSSELL ADVISORS INCRegistered adviser2 advisors, team lift out, same day
Feb 22, 2017 to Jul 12, 2016factForm ADV
→ CETERA ADVISOR NETWORKS LLCRegistered adviser2 advisors, team lift out, same day
Dec 31, 2018 to Sep 3, 2013factForm ADV
→ IFG RUSSELL ADVISORS INCRegistered adviser2 advisors, team lift out, same day
Dec 31, 2018 to Nov 16, 2012factForm ADV
→ WALNUT STREET SECURITIES, INC.Registered adviser2 advisors, team lift out, same day
Dec 31, 2018 to Oct 7, 2010factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e05f804f-df1b-752f-00cd-283a13bec1ef
First observed: Mar 22, 2012
Last observed: Aug 29, 2018 98 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.

AMERICAN FINANCIAL MANAGEMENT GROUP, LTD.

CRD 119449

BERWYN, PA

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:e05f804f-df1b-752f-00cd-283a13bec1ef

Data as of Aug 29, 2018 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:13 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

WHITE, JERRY, WILMER

President

yes

04/1988

Mar 22, 2012

Aug 29, 2018

GAINES, KEVIN, MICHAEL

CHIEF INVESTMENT OFFICER

05/2014

Mar 12, 2015

Aug 29, 2018

RYAN, REGINA, ANN

CHIEF COMPLIANCE OFFICER

12/1997

Mar 22, 2012

Aug 29, 2018

City

State

Country

Employees

Also broker-dealer

Allentown

United States

yes

Milford

United States

yes

Doylestown

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2017

Mar 27, 2018

$217M

$126M

n/a

2016

Mar 1, 2017

$171M

$45.6M

n/a

2015

Mar 10, 2016

$149M

$39.2M

n/a

2014

Mar 12, 2015

$105M

$27.0M

n/a

2013

Mar 25, 2014

$166M

$18.6M

n/a

2012

Mar 26, 2013

$119M

$18.2M

n/a

2011

Mar 22, 2012

$129M

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

$217M

$171M

27.0%

$105M

27.5%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

IFG RUSSELL ADVISORS INC

Dec 31, 2018

Nov 16, 2012

BERWYN, PA

Team lift out

Other

33.3%

CETERA ADVISOR NETWORKS LLC

Dec 31, 2018

Sep 3, 2013

BERWYN, PA

Team lift out

RIA to ibd

33.3%

WALNUT STREET SECURITIES, INC.

Dec 31, 2018

Oct 7, 2010

ALLENTOWN, PA

Team lift out

Other

33.3%

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Feb 22, 2017

Mar 21, 2017

MOORESVILLE, NC

Team lift out

Other

25.0%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

IFG RUSSELL ADVISORS INC

Feb 22, 2017

Jul 12, 2016

MOORESVILLE, NC

Team lift out

Other

28.6%