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CRD 110608
CHICAGO, IL
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 |
|---|---|---|---|---|---|---|
| RICHARD ALAN DOPPELT | n/a | CHICAGO, IL | 26 | 27 | n/a | no |
| JOHN MICHAEL LAFFERTY | Certified Financial Planner|Chartered Financial Analyst | WHITE PLAINS, NY | 21 | 39 | n/a | no |
| HAROLD NELSON LEAVELL | Certified Financial Planner | CHICAGO, IL | 20 | 23 | 1 | no |
| SUSAN MARY SHACKLETTE | n/a | CHICAGO, IL | 18 | 19 | n/a | no |
| KRISTI LYNN MILLS | n/a | CHICAGO, IL | 18 | 21 | n/a | no |
| KEITH MATTHEW CARDOZA | Chartered Financial Analyst | CHICAGO, IL | 17 | 34 | n/a | no |
| REGINA K WOOD | Certified Financial Planner | CHICAGO, IL | 17 | 25 | n/a | no |
| JOSEPH JAMES FARRELL | Certified Financial Planner | WHITE PLAINS, NY | 15 | 16 | n/a | no |
| KEVIN MICHAEL PENDERGAST | n/a | CHICAGO, IL | 10 | 12 | 1 | no |
| CARLYLE KELLY MADDEN | Certified Financial Planner | CHICAGO, IL | 10 | 24 | 3 | no |
| PHILIP JOHN RIDOLPHI | Certified Financial Planner | CHICAGO, IL | 10 | 19 | 1 | no |
| IAN ROSS CLARK | Certified Financial Planner | CHICAGO, IL | 4 | 15 | 3 | no |
| NATHANIEL MITCHELL COLEMAN | n/a | CHICAGO, IL | 4 | 11 | n/a | no |
| Brendan Haynes | n/a | CHICAGO, IL | Tarrytown, NY | 2 | 13 | n/a | no |
| James Michael Franch | n/a | CHICAGO, IL | 2 | 12 | n/a | no |
| Mars Alexander English | n/a | CHICAGO, IL | Tarrytown, NY | 1 | 10 | n/a | no |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| LAFFERTY, JOHN, MICHAEL | PRINCIPAL, DIRECTOR, CHIEF COMPLIANCE OFFICER | C | yes | 01/2007 | Mar 23, 2026 | Mar 23, 2026 |
| LEAVELL, HAROLD, NELSON | PRINCIPAL, DIRECTOR, TREASURER, SECRETARY | C | yes | 01/2020 | Mar 23, 2026 | Mar 23, 2026 |
| SHACKLETTE, SUSAN, MARY | PRINCIPAL, DIRECTOR, PRESIDENT | C | yes | 01/2012 | Mar 23, 2026 | Mar 23, 2026 |
| CARDOZA, KEITH, MATTHEW | CHIEF INVESTMENT OFFICER | Na | no | 03/2009 | Mar 23, 2026 | Mar 23, 2026 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Tarrytown | NY | United States | 2 | no |
| Naples | FL | United States | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 23, 2026 | $4.8B | $0 | 26 | 16 | 2 | n/a | n/a |
| 2024 | Mar 31, 2025 | $4.3B | $0 | 26 | 16 | 2 | n/a | n/a |
| 2023 | Mar 29, 2024 | $4.0B | $0 | 25 | 14 | 2 | n/a | n/a |
| 2022 | Mar 31, 2023 | $3.7B | $0 | 24 | 16 | 2 | n/a | n/a |
| 2021 | Mar 29, 2022 | $4.3B | $0 | 21 | 17 | 2 | n/a | n/a |
| 2020 | Mar 31, 2021 | $6.0B | $0 | 42 | 36 | 3 | n/a | n/a |
| 2019 | Mar 30, 2020 | $5.6B | $0 | 40 | 38 | 2 | n/a | n/a |
| 2018 | Mar 29, 2019 | $11B | $0 | 52 | 49 | 3 | n/a | n/a |
| 2017 | Mar 28, 2018 | $11B | $0 | 58 | 49 | 3 | n/a | n/a |
| 2016 | Mar 24, 2017 | $10B | $0 | 53 | 50 | n/a | n/a | n/a |
| 2015 | Mar 29, 2016 | $10.0B | $0 | 57 | 57 | n/a | n/a | n/a |
| 2014 | Mar 30, 2015 | $10B | $0 | 56 | 48 | 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 |
|---|---|---|---|---|---|---|---|---|
| 0 | 0 | 0 | 0.0% | 0 | 0 | 0 | 0 | 0 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $4.8B | $4.3B | 12.1% | $3.7B | 8.8% | 26 | 26 | 2 | 2 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| RELATIVE VALUE PARTNERS, LLC | 6 | Jan 13, 2022 | Jan 21, 2022 | CHICAGO, IL | Team lift out | RIA to RIA | 22.2% |
| DOYENNE WEALTH ADVISORS | 9 | Jan 13, 2022 | Feb 9, 2022 | CHICAGO, IL | Team lift out | RIA to new firm | 33.3% |
| PORTOLA PARTNERS | 6 | Dec 31, 2019 | May 23, 2022 | MENLO PARK, CA | Team lift out | RIA to new firm | 15.4% |
| PORTOLA PARTNERS | 4 | Dec 31, 2019 | Mar 10, 2020 | CHICAGO, IL | Team lift out | RIA to new firm | 10.3% |
| BROWNSON, REHMUS & FOXWORTH | 3 | May 2, 2016 | May 31, 2016 | MENLO PARK, CA | Channel change | Other | 9.1% |