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CRD 133763
PHOENIX, AZ
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| AG ARTEMIS HOLDINGS GP, LLC | GENERAL PARTNER | F | yes | 05/2019 | Jun 26, 2020 | Sep 18, 2023 |
| AG ARTEMIS HOLDINGS, L.P. | Shareholder | E | yes | 08/2019 | Aug 30, 2019 | Sep 18, 2023 |
| AG INTERMEDIATE CORPORATION | Shareholder | E | yes | 05/2020 | Aug 30, 2019 | Sep 18, 2023 |
| AG PARENT CORPORATION | Shareholder | E | yes | 08/2019 | Aug 30, 2019 | Sep 18, 2023 |
| BERLINSKI, MILTON RALPH | INVESTMENT MANAGER | F | yes | 08/2014 | Jun 26, 2020 | Sep 18, 2023 |
| BERLINSKI, MILTON RALPH | GENERAL PARTNER | F | yes | 08/2014 | Jun 26, 2020 | Sep 18, 2023 |
| BERLINSKI, MILTON RALPH | Trustee | C | yes | 06/2006 | Jun 26, 2020 | Sep 18, 2023 |
| BERLINSKI, MILTON RALPH | Member | C | yes | 08/2014 | Jun 26, 2020 | Sep 18, 2023 |
| MRB ICBC LLC | Member | C | yes | 08/2014 | Jun 26, 2020 | Sep 18, 2023 |
| OSAIC FINANCIAL SERVICES, INC. | Shareholder | E | yes | 05/2020 | Jul 21, 2023 | Sep 18, 2023 |
| OSAIC HOLDINGS, INC. | Shareholder | E | yes | 05/2016 | Jul 21, 2023 | Sep 18, 2023 |
| OSAIC, INC. | Shareholder | E | yes | 09/2004 | Jul 21, 2023 | Sep 18, 2023 |
| RCP ARTEMIS CO-INVEST GP LLC | GENERAL PARTNER | F | yes | 05/2019 | Jun 26, 2020 | Sep 18, 2023 |
| RCP ARTEMIS CO-INVEST, L.P. | LIMITED PARTNER | D | yes | 08/2019 | Aug 30, 2019 | Sep 18, 2023 |
| RCP GENPAR HOLDCO LLC | LIMITED PARTNER | E | yes | 08/2014 | Jun 26, 2020 | Sep 18, 2023 |
| RCP GENPAR LP | LIMITED PARTNER | E | yes | 01/2018 | Jun 26, 2020 | Sep 18, 2023 |
| RCP OPP FUND II GP, LP | LIMITED PARTNER | E | yes | 01/2018 | Jun 26, 2020 | Sep 18, 2023 |
| THE BERLINSKI FAMILY 2006 TRUST | Member | E | yes | 08/2014 | Jun 26, 2020 | Sep 18, 2023 |
| CORNICK, GREGORY ALLEN | CEO AND PRESIDENT | Na | no | 09/2023 | Mar 30, 2021 | Sep 18, 2023 |
| GERB, JASON | SVP, CHIEF REGULATORY OFFICER | Na | no | 09/2023 | Jun 22, 2022 | Sep 18, 2023 |
| HAMEL, CYNTHIA ANN | CHIEF OPERATIONS OFFICER | Na | no | 05/2017 | Jun 22, 2017 | Sep 18, 2023 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | Na | no | 09/2023 | Sep 18, 2023 | Sep 18, 2023 |
| NORTHRIP, IRYNA YAKOVLEVNA | CHIEF COMPLIANCE OFFICER, IA | Na | no | 08/2023 | Aug 21, 2023 | Sep 18, 2023 |
| PRICE, JAMES DALE | Chairman | Na | no | 11/2016 | Jan 19, 2017 | Sep 18, 2023 |
| SCHLUETER, MATTHEW ADAM | EVP, DIRECTOR | Na | no | 03/2019 | Jun 28, 2012 | Sep 18, 2023 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | Na | no | 03/2017 | Apr 12, 2017 | Sep 18, 2023 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| OSAIC WEALTH, 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 |
| TRIAD HYBRID SOLUTIONS, LLC | n/a | Bd affiliated wealth | $15B | N | yes | n/a |
| AMERICAN PORTFOLIOS ADVISORS. INC | n/a | Former SEC adviser | $13B | N | yes | n/a |
| FSC SECURITIES CORPORATION | n/a | Former SEC adviser | $12B | N | yes | n/a |
| ARBOR POINT ADVISORS, LLC | n/a | Former SEC adviser | $6.9B | N | yes | n/a |
| LADENBURG THALMANN ASSET MANAGEMENT INC | n/a | Other adviser | $6.7B | N | yes | n/a |
| INFINEX INVESTMENTS, INC. | n/a | Bd affiliated wealth | $6.5B | N | yes | n/a |
| TRIAD ADVISORS, LLC | n/a | Former SEC adviser | $1.1B | N | yes | n/a |
| BLACK DIAMOND FINANCIAL, LLC | n/a | Independent wealth | $441M | N | yes | n/a |
| VISION2020 WEALTH MANAGEMENT CORP. | n/a | No RAUM reported | $0 | N | yes | n/a |
| AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC. | n/a | n/a | n/a | N | yes | n/a |
| HIGHLAND CAPITAL BROKERAGE | 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 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| FORT LAUDERDALE | FL | United States | 19 | yes |
| Milwaukee | Wi | United States | 17 | yes |
| NEWBURY PARK | CA | United States | 13 | yes |
| Camarillo | CA | United States | 12 | yes |
| Carlsbad | CA | United States | 11 | yes |
| THE WOODLANDS | TX | United States | 10 | yes |
| Westborough | Ma | United States | 9 | yes |
| LAKE OSWEGO | Or | United States | 9 | yes |
| Scottsdale | Az | United States | 8 | yes |
| Honolulu | Hi | United States | 8 | yes |
| Braintree | Ma | United States | 8 | yes |
| STERLING HEIGHTS | Mi | United States | 8 | yes |
| ST LOUIS PARK | Mn | United States | 8 | yes |
| Syracuse | NY | United States | 8 | yes |
| Gardena | CA | United States | 7 | yes |
| SAN DIEGO | CA | United States | 7 | yes |
| FOREST LAKE | Mn | United States | 7 | yes |
| Wausau | Wi | United States | 7 | yes |
| NEWPORT BEACH | CA | United States | 6 | yes |
| Deptford | Nj | United States | 6 | yes |
| Youngstown | Oh | United States | 6 | yes |
| Cranston | Ri | United States | 6 | yes |
| Omaha | Ne | United States | 5 | yes |
| Lancaster | Pa | United States | 5 | yes |
| Provo | Ut | United States | 5 | yes |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2022 | Mar 31, 2023 | $16B | $13B | 3,563 | 967 | 770 | n/a | n/a |
| 2021 | Mar 31, 2022 | $16B | $14B | 2,845 | 920 | 519 | n/a | n/a |
| 2020 | Mar 30, 2021 | $12B | $10B | 2,656 | 927 | 531 | n/a | n/a |
| 2019 | Mar 30, 2020 | $10.0B | $7.9B | 1,954 | 974 | 564 | n/a | n/a |
| 2018 | Mar 28, 2019 | $8.0B | $5.3B | 1,957 | 1,033 | 618 | n/a | n/a |
| 2017 | Mar 29, 2018 | $7.0B | $4.5B | 2,032 | 1,034 | 615 | n/a | n/a |
| 2016 | Mar 30, 2017 | $5.2B | $3.2B | 1,638 | 941 | n/a | n/a | n/a |
| 2015 | Mar 30, 2016 | $4.4B | $2.6B | 1,722 | 891 | n/a | n/a | n/a |
| 2014 | Mar 31, 2015 | $4.0B | $2.4B | 1,670 | 1,260 | n/a | n/a | n/a |
| 2013 | Mar 31, 2014 | $3.5B | $2.0B | 1,470 | 1,170 | n/a | n/a | n/a |
| 2012 | Apr 1, 2013 | $2.6B | $1.3B | 1,420 | 1,290 | n/a | n/a | n/a |
| 2011 | Mar 30, 2012 | $2.0B | $1.1B | n/a | n/a | n/a | n/a | n/a |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2022 | $16B | $16B | 1.4% | $10.0B | 18.1% | 3,563 | 2,845 | 770 | 519 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| THIRD STREET ADVISORS, LLC | 3 | Sep 1, 2023 | Jul 26, 2022 | WAUSAU, WI | Team lift out | Ibd to RIA | 0.3% |
| B & C WEALTH MANAGEMENT | 2 | Sep 1, 2023 | May 6, 2008 | SAN MARCOS, CA | Team lift out | Other | 0.2% |
| HARMAN ASSET MANAGEMENT, LLC | 2 | Sep 1, 2023 | Jun 12, 2019 | THE WOODLANDS, TX | Team lift out | Other | 0.2% |
| THE AMERIFLEX GROUP | 2 | Sep 1, 2023 | Feb 21, 2023 | SCOTTSDALE, AZ | Team lift out | Ibd to ibd | 0.2% |
| THE AMERIFLEX GROUP | 2 | Sep 1, 2023 | Mar 6, 2020 | BELLAIRE, TX | Team lift out | Ibd to ibd | 0.2% |
| IRONBRIDGE WEALTH COUNSEL, LLC | 2 | Sep 1, 2023 | Mar 27, 2023 | SCOTTSDALE, AZ | Team lift out | Ibd to state RIA | 0.2% |
| WOODBURY FINANCIAL SERVICES, INC. | 2 | Sep 1, 2023 | Nov 9, 2016 | SCOTTSDALE, AZ | Channel change | Ibd to ibd | 0.2% |
| FSC SECURITIES CORPORATION | 19 | Sep 1, 2023 | Aug 8, 2023 | SCOTTSDALE, AZ | Channel change | Ibd to ibd | 2.0% |
| FSC SECURITIES CORPORATION | 2 | Sep 1, 2023 | Jan 4, 2022 | ST PETERSBURG, FL | Channel change | Ibd to ibd | 0.2% |
| CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | 5 | May 4, 2023 | May 3, 2023 | GLADSTONE, OR | Team lift out | Ibd to ibd | 0.5% |
| LPL FINANCIAL LLC | 2 | May 2, 2023 | Apr 28, 2023 | NEWINGTON, CT | Team lift out | Ibd to ibd | 0.2% |
| CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | 2 | Apr 3, 2023 | Apr 4, 2023 | VANCOUVER, WA | Team lift out | Ibd to ibd | 0.2% |
| LPL FINANCIAL LLC | 2 | Mar 14, 2023 | Mar 10, 2023 | WOOSTER, OH | Team lift out | Ibd to RIA | 0.2% |
| CETERA INVESTMENT ADVISERS LLC | 3 | Feb 3, 2023 | Jun 29, 2023 | HUDSON, MA | Team lift out | Ibd to ibd | 0.3% |
| LPL FINANCIAL LLC | 2 | Dec 6, 2022 | Dec 8, 2022 | MASON CITY, IA | Team lift out | Ibd to RIA | 0.2% |
| CHANNEL WEALTH, LLC | 6 | Nov 1, 2022 | Jan 1, 2025 | SANTA BARBARA, CA | Team lift out | Ibd to new firm | 0.6% |
| THE AMERIFLEX GROUP | 3 | May 18, 2022 | Dec 3, 2021 | STERLING, CO | Team lift out | Ibd to RIA | 0.3% |
| PERIGON WEALTH MANAGEMENT, LLC | 2 | Apr 29, 2022 | Apr 27, 2022 | DAUFUSKIE ISLAND, SC | Team lift out | Ibd to RIA | 0.2% |
| FREEDOM WEALTH ALLIANCE | 5 | Feb 24, 2022 | Feb 24, 2022 | MILWAUKEE, WI | Team lift out | Ibd to RIA | 0.6% |
| THE AMERIFLEX GROUP | 2 | Jan 5, 2022 | Jun 12, 2020 | LAS VEGAS, NV | Team lift out | Ibd to RIA | 0.2% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| SECURITIES AMERICA ADVISORS, INC. | 2 | Jun 14, 2024 | Jan 19, 2021 | LA VISTA, NE | Channel change | Ibd to ibd | 0.1% |
| BMS FINANCIAL ADVISORS, LLC | 3 | Nov 9, 2023 | Mar 29, 2021 | RAPID CITY, SD | Firm absorbed | RIA to ibd | 75.0% |
| OSAIC FA, INC. | 2 | May 16, 2023 | May 15, 2023 | WILLIAMSVILLE, NY | Team lift out | Ibd to ibd | 0.2% |
| EAGLE STRATEGIES LLC | 2 | May 3, 2023 | May 1, 2023 | WYOMISSING, PA | Team lift out | Ibd to ibd | 0.1% |
| LPL FINANCIAL LLC | 2 | Oct 20, 2022 | May 24, 2023 | FORT MILL, SC | Team lift out | RIA to ibd | 0.0% |
| SECURIAN FINANCIAL SERVICES, INC. | 10 | Aug 19, 2022 | Aug 2, 2022 | BRAINTREE, MA | Team lift out | RIA to ibd | 1.1% |
| OSAIC FA, INC. | 2 | May 9, 2022 | May 6, 2022 | SCOTTSDALE, AZ | Team lift out | Ibd to ibd | 0.2% |
| CETERA ADVISORS LLC | 2 | May 2, 2022 | Apr 29, 2022 | CHANHASSEN, MN | Team lift out | Ibd to ibd | 1.0% |
| SECURIAN FINANCIAL SERVICES, INC. | 5 | Apr 6, 2022 | Apr 4, 2022 | LANCASTER, PA | Team lift out | RIA to ibd | 0.5% |
| MUTUAL ADVISORS, LLC | 2 | Dec 21, 2021 | Dec 20, 2021 | CEDARBURG, WI | Team lift out | Ibd to ibd | 1.8% |
| INDEPENDENT CAPITAL MANAGEMENT | 4 | Nov 10, 2021 | Jun 29, 2021 | SAN DIEGO, CA | Firm absorbed | Other | 80.0% |
| CML WEALTH MANAGEMENT, LLC | 2 | Nov 8, 2021 | Nov 10, 2021 | BREA, CA | Team lift out | RIA to ibd | 100.0% |
| CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | 2 | Aug 6, 2021 | Aug 3, 2021 | GRAYSLAKE, IL | Team lift out | Ibd to ibd | 0.1% |
| SECURIAN FINANCIAL SERVICES, INC. | 3 | Jun 23, 2021 | Jun 17, 2021 | BIRMINGHAM, AL | Team lift out | Ibd to ibd | 0.3% |
| VOYA FINANCIAL ADVISORS, INC. | 2 | Apr 26, 2021 | May 12, 2021 | WOBURN, MA | Team lift out | Ibd to ibd | 0.2% |
| OSAIC WEALTH, INC. | 2 | Apr 8, 2021 | May 19, 2020 | SCOTTSDALE, AZ | Channel change | Ibd to ibd | 0.1% |
| FSC SECURITIES CORPORATION | 2 | Apr 6, 2021 | Dec 13, 2018 | ATLANTA, GA | Channel change | Ibd to ibd | 0.4% |
| MML INVESTORS SERVICES, LLC | 3 | Dec 18, 2020 | Dec 17, 2020 | CLEVELAND, OH | Team lift out | Ibd to ibd | 0.1% |
| LPL FINANCIAL LLC | 3 | Nov 11, 2020 | Nov 5, 2020 | FRESNO, CA | Team lift out | Ibd to ibd | 0.0% |
| MML INVESTORS SERVICES, LLC | 2 | Sep 24, 2020 | Sep 24, 2020 | CLEVELAND, OH | Team lift out | Ibd to ibd | 0.1% |