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CRD 108257
BOSTON, MA
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 |
|---|---|---|---|---|---|---|
| SCOTT ARTHUR AVERY | n/a | Cary, NC | BOSTON, MA | 16 | 31 | 3 | yes |
| ANDREW MICHAEL WRIGHT | n/a | BOSTON, MA | 16 | 39 | 1 | yes |
| ROBERT JAMES BEAL | n/a | BOSTON, MA | 16 | 36 | 1 | yes |
| WILLARD BURTON CAREY | n/a | BOSTON, MA | 16 | 35 | 1 | yes |
| PETER MATTHEW SCHORTMANN | n/a | BOSTON, MA | 16 | 33 | 1 | yes |
| KENNETH JON DAVIS | n/a | BOSTON, MA | WAXHAW, NC | 16 | 28 | 1 | yes |
| CAROLINE KELLEY HOLT | n/a | MOUNT PLEASANT, SC | BOSTON, MA | 16 | 31 | 1 | yes |
| GARY WILLIAM RAWDON | n/a | BOSTON, MA | 16 | 31 | 2 | yes |
| GREGORY SEAN SELLERS | n/a | BOSTON, MA | 16 | 30 | 1 | yes |
| DONALD C WILHELM | n/a | SCARSDALE, NY | BOSTON, MA | 16 | 30 | 2 | yes |
| EDGAR ALCIDES MEJIA | n/a | BOSTON, MA | 16 | 21 | 1 | yes |
| SCOTT MICHAEL STANTON | n/a | BOSTON, MA | 16 | 28 | 1 | yes |
| ANDREW VINCENT ALDI | n/a | BOSTON, MA | BRIELLE, NJ | 16 | 27 | 1 | yes |
| STEPHEN M KARNOLT | n/a | BOSTON, MA | 16 | 26 | 1 | yes |
| SARAH RACHEL HENTSCHEL | n/a | New Orleans, LA | BOSTON, MA | 16 | 25 | 4 | yes |
| DAVID KLEIMAN | n/a | BOSTON, MA | Voorhees, NJ | 16 | 25 | 1 | yes |
| CHRISTOPHER NEIL GOWE | n/a | Galena, IL | BOSTON, MA | 16 | 23 | 2 | yes |
| PAUL ARNOLD SHELTON | n/a | BOSTON, MA | Davidson, NC | 16 | 23 | 2 | yes |
| MELISSA ANN MATTSON | n/a | BOSTON, MA | Gorham, ME | 16 | 21 | 1 | yes |
| KRISTIN JEANNE GREELEY | n/a | BOSTON, MA | Arlington, MA | 16 | 25 | 1 | yes |
| GREIG WILLIAM RANCE | n/a | MINNEAPOLIS, MN | BOSTON, MA | 16 | 17 | 1 | yes |
| DANIEL M MILLIGAN | Chartered Financial Analyst | BOSTON, MA | 16 | 20 | 1 | yes |
| SETH PEDRO BUKS | n/a | BOSTON, MA | 16 | 23 | 1 | yes |
| Kimberly Hayes | n/a | BOSTON, MA | Ashland, MA | 16 | 18 | 1 | yes |
| CHARLES P PEROSIO | n/a | THOUSAND OAKS, CA | BOSTON, MA | 16 | 25 | 2 | yes |
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| SELIGMAN SPECTRUM FOCUS (MASTER) FUND | Hedge Fund | $800M | Apr 18, 2012 | 70 | Mar 23, 2012 | dropped | 021-110619 |
| SELIGMAN TECH SPECTRUM OFFSHORE FUND | Hedge Fund | $762M | Dec 3, 2024 | 53 | Feb 21, 2018 | reported | 021-298856 |
| SELIGMAN TECH SPECTRUM (MASTER) FUND | Hedge Fund | $621M | Dec 3, 2024 | 114 | Mar 23, 2012 | reported | 021-40119 |
| COLUMBIA PYRFORD INTERNATIONAL STOCK PRIVATE FUND, LLC | Other Private Fund | $576M | Dec 3, 2024 | 3 | Mar 31, 2015 | reported | 021-216418 |
| SOUTH LASALLE INTERNATIONAL EQUITIES TRUST | Other Private Fund | $314M | Dec 3, 2024 | 14 | Mar 31, 2015 | reported | 021-265000 |
| CENT CLO 17 LIMITED | Securitized Asset Fund | $291M | Dec 19, 2018 | 10 | Mar 28, 2014 | dropped | n/a |
| PM MANAGER FUND, SPC. - SEGREGATED PORTFOLIO 6 | Hedge Fund | $250M | Apr 18, 2012 | 25 | Mar 23, 2012 | dropped | 021-98349 |
| PM MANAGER FUND, SPC. - SEGREGATED PORTFOLIO 5 | Hedge Fund | $189M | Apr 18, 2012 | 24 | Mar 23, 2012 | dropped | 021-98346 |
| COLUMBIA EMERGING MARKETS EQUITY PRIVATE (MASTER) FUND | Other Private Fund | $98.4M | Dec 3, 2024 | 3 | Jul 22, 2021 | reported | 021-408087 |
| COLUMBIA MANAGEMENT PRIVATE FUNDS VII, LLC - INTERNATIONAL VALUE FUND | Other Private Fund | $87.8M | Nov 18, 2013 | 7 | Mar 23, 2012 | dropped | 021-98209 |
| MULTI-MANAGER SOLUTIONS U.S LARGE CAP PRIVATE FUND, LLC | Other Private Fund | $81.1M | Dec 3, 2024 | 6 | Mar 27, 2024 | reported | 021-482900 |
| SELIGMAN HEALTH SPECTRUM (MASTER) FUND | Hedge Fund | $77.4M | Apr 18, 2012 | 40 | Mar 23, 2012 | dropped | 021-76640 |
| COLUMBIA MANAGEMENT PRIVATE FUNDS I, LLC - INTERMEDIATE FIXED INCOME FUND | Other Private Fund | $61.8M | Apr 18, 2012 | 3 | Mar 23, 2012 | dropped | 021-98210 |
| COLUMBIA U.S. CONTRARIAN CORE EQUITY PRIVATE FUND, LLC | Other Private Fund | $52.0M | Dec 3, 2024 | 2 | Mar 23, 2012 | reported | 021-173138 |
| COLUMBIA SOLUTIONS CATHOLIC VALUES INTERMEDIATE BOND PRIVATE FUND, LLC | Other Private Fund | $49.0M | Dec 3, 2024 | 5 | Mar 27, 2024 | reported | 021-482898 |
| COLUMBIA EMERGING MARKETS BOND PRIVATE (MASTER) FUND | Other Private Fund | $45.7M | Nov 18, 2016 | 2 | Mar 30, 2015 | dropped | 021-221944 |
| COLUMBIA MANAGEMENT PRIVATE FUNDS I, LLC - LARGECAP 500 INDEX FUND | Other Private Fund | $38.6M | Apr 18, 2012 | 2 | Mar 23, 2012 | dropped | 021-98210 |
| COLUMBIA MANAGEMENT PRIVATE FUNDS I, LLC - CORE FIXED INCOME FUND | Other Private Fund | $38.5M | Apr 18, 2012 | 3 | Mar 23, 2012 | dropped | 021-98210 |
| COLUMBIA MANAGEMENT PRIVATE FUNDS I, LLC - LARGECAP ENHANCED CORE FUND | Other Private Fund | $32.0M | Mar 25, 2021 | 2 | Mar 23, 2012 | dropped | 021-98210 |
| COLUMBIA INSTITUTIONAL HIGH YIELD FIXED INCOME PRIVATE (MASTER) FUND | Other Private Fund | $29.8M | Dec 3, 2024 | 4 | Mar 30, 2015 | reported | 021-177797 |
| SELIGMAN HEALTH SPECTRUM PLUS (MASTER) FUND | Hedge Fund | $28.1M | Oct 1, 2015 | 8 | Mar 23, 2012 | dropped | 021-127973 |
| SELIGMAN TECHNOLOGY 130/30 (MASTER) FUND | Hedge Fund | $26.8M | Nov 18, 2013 | 2 | Mar 23, 2012 | dropped | n/a |
| COLUMBIA MANAGEMENT PRIVATE FUNDS I, LLC - INTERNATIONAL EQUITY FUND | Other Private Fund | $26.4M | Apr 18, 2012 | 6 | Mar 23, 2012 | dropped | 021-98210 |
| COLUMBIA MANAGEMENT PRIVATE FUNDS I, LLC - LARGECAP GROWTH FUND | Other Private Fund | $22.0M | Nov 18, 2013 | 2 | Mar 23, 2012 | dropped | 021-98210 |
| COLUMBIA INTEGRATED SMALL AND MID CAP PRIVATE FUND, LLC | Other Private Fund | $21.6M | Dec 3, 2024 | 3 | Mar 29, 2019 | reported | 021-233059 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| AMERIPRISE FINANCIAL, INC. | SOLE MEMBER | E | yes | 10/1985 | Mar 23, 2012 | Dec 3, 2024 |
| ASSELTA, FRANCINE | VICE PRESIDENT AND HEAD OF NORTH AMERICA INSTITUTIONAL | Na | yes | 01/2024 | Jan 16, 2024 | Dec 3, 2024 |
| CLARKE, MICHAEL, GERALD | MEMBER, BOARD OF GOVERNORS, SENIOR VICE PRESIDENT AND NORTH AMERICA HEAD OF OPERATIONS AND INVESTOR SERVICES | Na | yes | 06/2019 | Jun 24, 2019 | Dec 3, 2024 |
| DEFAO, MICHAEL, E | VICE PRESIDENT, CHIEF LEGAL OFFICER AND ASSISTANT SECRETARY | Na | yes | 10/2021 | Oct 28, 2021 | Dec 3, 2024 |
| ENGELKING, BRIAN, MICHAEL | MEMBER, BOARD OF GOVERNORS, VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | Na | yes | 06/2020 | Jun 22, 2020 | Dec 3, 2024 |
| FARIA, LEE, A | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | Na | yes | 01/2014 | Nov 18, 2013 | Dec 3, 2024 |
| KUTIN, JOSHUA, BARRY | HEAD OF ASSET ALLOCATION, NORTH AMERICA | Na | yes | 01/2024 | Jan 16, 2024 | Dec 3, 2024 |
| MERGEN, MELDA | MANAGING DIRECTOR AND GLOBAL HEAD OF EQUITIES | Na | yes | 10/2021 | Mar 30, 2015 | Dec 3, 2024 |
| TANNUZZO, GENE, RICHARD | MANAGING DIRECTOR AND GLOBAL HEAD OF FIXED INCOME | Na | yes | 03/2021 | Mar 25, 2021 | Dec 3, 2024 |
| TRUSCOTT, WILLIAM, FREDERICK | CHAIRMAN OF THE BOARD AND PRESIDENT | Na | yes | 02/2012 | Mar 23, 2012 | Dec 3, 2024 |
| WALDNER, MATT, M | SENIOR VICE PRESIDENT AND GLOBAL HEAD OF TRADING | Na | yes | 03/2024 | Mar 27, 2024 | Dec 3, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| AMERIPRISE FINANCIAL SERVICES, LLC | n/a | National bd RIA | $660B | N | yes | n/a |
| PYRFORD INTERNATIONAL LTD | n/a | Other adviser | $7.1B | N | yes | n/a |
| COLUMBIA WANGER ASSET MANAGEMENT, LLC | n/a | Former SEC adviser | $5.8B | Y | yes | n/a |
| COLUMBIA CENT CLO ADVISERS, LLC | n/a | Asset manager | $3.0B | N | yes | n/a |
| COLUMBIA THREADNEEDLE (EM) INVESTMENTS LIMITED | n/a | Former SEC adviser | $2.9B | N | yes | n/a |
| THREADNEEDLE INTERNATIONAL LTD. | n/a | Former SEC adviser | $358M | N | yes | n/a |
| LIONSTONE PARTNERS, LLC | n/a | Former SEC adviser | $224M | Y | yes | n/a |
| ADVISORY CAPITAL STRATEGIES GROUP, INC. | n/a | n/a | n/a | Y | yes | n/a |
| AMERICAN ENTERPRISE INVESTMENT SERVICES INC. | n/a | n/a | n/a | N | yes | Mn |
| AMERIPRISE BANK, FSB | n/a | n/a | n/a | N | yes | n/a |
| AMERIPRISE CAPTIVE INSURANCE COMPANY | n/a | n/a | n/a | N | yes | n/a |
| AMERIPRISE TRUST COMPANY | n/a | n/a | n/a | N | yes | Mn |
| COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC. | n/a | n/a | n/a | Y | yes | n/a |
| COLUMBIA THREADNEEDLE FUND MANAGEMENT LIMITED | n/a | n/a | n/a | N | yes | n/a |
| COLUMBIA THREADNEEDLE INVESTMENT BUSINESS LIMITED | n/a | n/a | n/a | N | yes | n/a |
| COLUMBIA THREADNEEDLE INVESTMENTS (ME) LIMITED | n/a | n/a | n/a | N | yes | n/a |
| COLUMBIA THREADNEEDLE INVESTMENTS JAPAN CO., LTD. | n/a | n/a | n/a | N | yes | n/a |
| COLUMBIA THREADNEEDLE MANAGEMENT (SWISS) GMBH | n/a | n/a | n/a | N | yes | n/a |
| COLUMBIA THREADNEEDLE MANAGEMENT LIMITED | n/a | n/a | n/a | N | yes | n/a |
| COLUMBIA THREADNEEDLE MULTI-MANAGER LLP | n/a | n/a | n/a | N | yes | n/a |
| COLUMBIA THREADNEEDLE NETHERLANDS B.V. | n/a | n/a | n/a | N | yes | n/a |
| COLUMBIA THREADNEEDLE REAL ESTATE PARTNERS LLP | n/a | n/a | n/a | N | yes | n/a |
| COLUMBIA THREADNEEDLE REP AM PLC | n/a | n/a | n/a | N | yes | n/a |
| COLUMBIA THREADNEEDLE REP SARL | n/a | n/a | n/a | N | yes | n/a |
| CT REAL ESTATE PARTNERS GMBH & CO. KG | n/a | n/a | n/a | N | yes | n/a |
| LIONSTONE BBP GP, LLC | n/a | n/a | n/a | Y | yes | n/a |
| LIONSTONE CFRE II REAL ESTATE CAPITAL, LP | n/a | n/a | n/a | Y | yes | n/a |
| LIONSTONE CREAD PARTNERS TWO, LLC | n/a | n/a | n/a | Y | yes | n/a |
| LIONSTONE LORE TWO, LLC | n/a | n/a | n/a | Y | yes | n/a |
| LIONSTONE RALEIGH DEVELOPMENT PARTNERS GP, LLC | n/a | n/a | n/a | Y | yes | n/a |
| LIONSTONE RDP CHANNEL HOUSE INVESTORS GP, LLC | n/a | n/a | n/a | Y | yes | n/a |
| LIONSTONE RDP CO-INVESTMENT FUND I GP, LLC | n/a | n/a | n/a | Y | yes | n/a |
| LIONSTONE RDP PCS PHASE I INVESTORS GP, LLC | n/a | n/a | n/a | Y | yes | n/a |
| LIONSTONE RDP PLATFORM INVESTORS GP, LLC | n/a | n/a | n/a | Y | yes | n/a |
| LIONSTONE RDP ST. ALBANS INVESTORS GP, LLC | n/a | n/a | n/a | Y | yes | n/a |
| LIONSTONE RDP TOWER V INVESTORS GP, LLC | n/a | n/a | n/a | Y | yes | n/a |
| LIONSTONE U.S. LAND ONE GP, L.L.C. | n/a | n/a | n/a | Y | yes | n/a |
| LIONSTONE USL TWO GP, LLC | n/a | n/a | n/a | Y | yes | n/a |
| LIONSTONE VA FIVE, L.P. | n/a | n/a | n/a | Y | yes | n/a |
| LIONSTONE VA FOUR, L.P. | n/a | n/a | n/a | Y | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Minneapolis | Mn | United States | 97 | yes |
| NEW YORK | NY | United States | 45 | yes |
| LAKE OSWEGO | Or | United States | 14 | yes |
| EL SEGUNDO | CA | United States | 11 | no |
| MENLO PARK | CA | United States | 9 | yes |
| Chicago | IL | United States | 7 | yes |
| Stamford | Ct | United States | 4 | no |
| Charlotte | Nc | United States | 1 | no |
| Johnston | Ri | United States | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 26, 2026 | $502B | $501B | 914 | 440 | 7 | 12 | n/a |
| 2024 | Mar 27, 2025 | $457B | $457B | 910 | 392 | 8 | 11 | n/a |
| 2023 | Mar 27, 2024 | $427B | $426B | 1,008 | 411 | 9 | 17 | $2.6B |
| 2022 | Mar 28, 2023 | $388B | $388B | 1,010 | 434 | 8 | 14 | $3.2B |
| 2021 | Mar 25, 2022 | $469B | $467B | 988 | 424 | 8 | 14 | $3.9B |
| 2020 | Mar 25, 2021 | $408B | $406B | 1,004 | 380 | 9 | 7 | $1.7B |
| 2019 | Mar 26, 2020 | $359B | $357B | 994 | 381 | 9 | 12 | $3.8B |
| 2018 | Mar 28, 2019 | $323B | $314B | 1,030 | 381 | 9 | 21 | $3.9B |
| 2017 | Mar 29, 2018 | $364B | $351B | 1,106 | 297 | 8 | 27 | $5.4B |
| 2016 | Mar 24, 2017 | $350B | $339B | 1,151 | 322 | n/a | 27 | $7.6B |
| 2015 | Mar 21, 2016 | $339B | $337B | 1,151 | 301 | n/a | 29 | $8.4B |
| 2014 | Mar 30, 2015 | $345B | $344B | 1,130 | 319 | n/a | 28 | $7.6B |
| 2013 | Mar 28, 2014 | $337B | $336B | 1,126 | 339 | n/a | 24 | $6.1B |
| 2012 | Mar 22, 2013 | $305B | $304B | 1,121 | 372 | n/a | 26 | $6.3B |
| 2011 | Mar 23, 2012 | $301B | $300B | n/a | n/a | n/a | 36 | $9.8B |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 10 | 9 | 1 | 4.5% | 1 | 1 | 0 | 20 | 45 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $502B | $457B | 9.8% | $388B | 9.0% | 914 | 910 | 7 | 8 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| VOYA INVESTMENT MANAGEMENT CO. LLC | 2 | Apr 14, 2025 | Mar 10, 2026 | BOSTON, MA | Team lift out | Other | 1.1% |
| CITIZENS SECURITIES, INC. | 2 | Oct 7, 2021 | Jan 19, 2023 | BOSTON, MA | Team lift out | Other | 1.3% |
| BLACKROCK INVESTMENT MANAGEMENT, LLC | 3 | Jan 4, 2017 | Jan 31, 2017 | BOSTON, MA | Team lift out | Other | 2.3% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| FIDELITY PERSONAL AND WORKPLACE ADVISORS | 2 | Aug 26, 2021 | Nov 17, 2021 | MERRIMACK, NH | Team lift out | Other | 0.0% |