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Data Factory

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

SSN ADVISORY, INC.

CRD 126090

KNOXVILLE, TN

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:ebda9fb2-c106-8639-3a1c-d042215e23ec

Data as of Aug 14, 2020 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:07 AM UTC and rebuilt at most every 15 minutes.

Relationships: 391
Dated events: 8
On other graphs: 0
Observed: Jan 3, 2012 to Aug 14, 2020
71 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: $2.4BItem 5.F on the latest filing (2020-08-14); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $2.0B
Private client RAUM: $2.4BderivedItem 5.D individuals plus high net worth individuals
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 241
Advisory employees: 222
Offices: 6Schedule D 1.F, beyond the principal office
Accounts: 13,989
Individual clients: 10,600
High net worth clients: 2,373
Custody, client assets: $900M
SEC number: 801-61989
CRD: 126090
Filings on the tape: 71
First filed: Jan 3, 2012
Latest filed: Aug 14, 2020
Organised: Corporation, Tennessee

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
ADVISOR GROUP HOLDINGS, INC.	Owner	E	yes	05/2020	Mar 13, 2020	Aug 14, 2020
AG ARTEMIS HOLDINGS, L.P.	Shareholder	E	yes	02/2020	Mar 13, 2020	Aug 14, 2020
AG INTERMEDIATE CORP.	Shareholder	E	yes	02/2020	Mar 13, 2020	Aug 14, 2020
AG PARENT CORP.	Shareholder	E	yes	02/2020	Mar 13, 2020	Aug 14, 2020
BLANCATO, PHILIP, SALVATORE	Director	Na	yes	01/2015	Jan 2, 2015	Aug 14, 2020
GIOVANNIELLO, JOSEPH, N/A	Director	Na	yes	01/2015	Jan 2, 2015	Aug 14, 2020
KLIMAS, RONALD, THOMAS	EXECUTIVE VICE PRESIDENT	Na	yes	03/2003	Jan 3, 2012	Aug 14, 2020
LADENBURG THALMANN FINANCIAL SERVICES, INC.	Shareholder	E	yes	05/2020	Jan 2, 2015	Aug 14, 2020
MAAS, JONATHAN, ELMER	VICE PRESIDENT, TRADING	Na	yes	01/2006	Jan 3, 2012	Aug 14, 2020
MCKENNA, NINA	Secretary	Na	yes	05/2020	Jun 26, 2020	Aug 14, 2020
PATEL, JAYAPRAKASH, MOHANBHAI	SENIOR VICE PRESIDENT OF ACCOUNTING	Na	yes	03/2003	Jan 3, 2012	Aug 14, 2020
PRICE, JAMES, DALE	Chairman	Na	yes	05/2020	Jun 26, 2020	Aug 14, 2020
RCP ARTEMIS CO-INVEST, L.P.	LIMITED PARTNER	E	yes	02/2020	Mar 13, 2020	Aug 14, 2020
SCHLUETER, MATTHEW, ADAM	Director	Na	yes	05/2020	Jun 26, 2020	Aug 14, 2020
WILKINSON, WADE, SHANNON	PRESIDENT AND CEO	Na	yes	03/2003	Jan 3, 2012	Aug 14, 2020
SMARGIASSO, HEATH, JAMES	VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER OF SSNAI	Na	no	05/2018	Jun 2, 2017	Aug 14, 2020

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
ROYAL ALLIANCE ASSOCIATES, 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
SAGEPOINT FINANCIAL, INC.	n/a	Former SEC adviser	$16B	N	yes	n/a
TRIAD HYBRID SOLUTIONS, LLC	n/a	Bd affiliated wealth	$15B	N	yes	n/a
FSC SECURITIES CORPORATION	n/a	Former SEC adviser	$12B	N	yes	n/a
KMS FINANCIAL SERVICES, INC.	n/a	Former SEC adviser	$8.2B	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
TRIAD ADVISORS, LLC	n/a	Former SEC adviser	$1.1B	N	yes	n/a
VISION2020 WEALTH MANAGEMENT CORP.	n/a	No RAUM reported	$0	N	yes	n/a
HIGHLAND CAPITAL BROKERAGE	n/a	n/a	n/a	N	yes	n/a
LADENBURG CAPITAL AGENCY, INC.	n/a	n/a	n/a	N	yes	n/a
LADENBURG THALMANN & CO. INC.	n/a	n/a	n/a	N	yes	n/a
NETWORK AGENCY OF ALABAMA	n/a	n/a	n/a	N	yes	n/a
NETWORK AGENCY OF OHIO, INC.	n/a	n/a	n/a	N	yes	n/a
NETWORK AGENCY, 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
SECURITIES SERVICE NETWORK, LLC	n/a	n/a	n/a	Y	yes	n/a
SSN AGENCY OF TEXAS, INC	n/a	n/a	n/a	N	yes	n/a
SSN AGENCY, INC.	n/a	n/a	n/a	N	yes	n/a
VALOR INSURANCE AGENCY, INC.	n/a	n/a	n/a	N	yes	n/a

Offices

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

City	State	Country	Employees	Also broker-dealer
Brookfield	Wi	United States	9	no
Birmingham	Al	United States	6	no
WEST HARTFORD	Ct	United States	5	no
Gaithersburg	Md	United States	5	no
Chesterfield	Mo	United States	3	no
Westerville	Oh	United States	1	yes

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
2019	Mar 30, 2020	$2.4B	$2.0B	241	222	6	n/a	n/a
2018	Mar 29, 2019	$2.9B	$2.4B	246	215	151	n/a	n/a
2017	Mar 20, 2018	$2.7B	$2.2B	239	214	151	n/a	n/a
2016	Mar 15, 2017	$1.9B	$1.4B	263	227	n/a	n/a	n/a
2015	Mar 23, 2016	$1.5B	$919M	252	213	n/a	n/a	n/a
2014	Apr 20, 2015	$1.3B	$826M	252	213	n/a	n/a	n/a
2013	Mar 7, 2014	$1.2B	$627M	247	210	n/a	n/a	n/a
2012	Mar 7, 2013	$1.1B	$438M	222	185	n/a	n/a	n/a
2011	Mar 22, 2012	$580M	$386M	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
2019	$2.4B	$2.9B	-15.8%	$1.9B	8.3%	241	246	6	151

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
THE MARSHALL FINANCIAL GROUP LLC	2	Sep 18, 2020	Mar 1, 2018	TOWSON, MD	Team lift out	Ibd to RIA	1.3%
ARBOR POINT ADVISORS	3	Sep 18, 2020	Sep 18, 2020	DUNKIRK, MD	Channel change	Ibd to ibd	1.9%
HORIZON FINANCIAL	4	Sep 18, 2020	Jan 21, 2020	WEST HENRIETTA, NY	Team lift out	Ibd to RIA	2.5%
CETERA INVESTMENT ADVISERS LLC	3	Sep 2, 2020	Mar 21, 2024	TRUSSVILLE, AL	Team lift out	Ibd to ibd	1.8%
LPL FINANCIAL LLC	4	Sep 2, 2020	Sep 3, 2020	IRONDALE, AL	Team lift out	Ibd to ibd	2.4%
CETERA INVESTMENT ADVISERS LLC	2	Aug 26, 2020	Mar 21, 2024	FRANKFORT, IL	Team lift out	Ibd to ibd	1.2%
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER	2	Jul 28, 2020	Jul 24, 2020	SCOTSDALE, AZ	Team lift out	Ibd to RIA	1.1%
H. BECK, INC.	7	Jul 24, 2020	Jul 27, 2020	GAITHERSBURG, MD	Team lift out	Ibd to ibd	3.6%
LPL FINANCIAL LLC	2	Jul 21, 2020	Jul 21, 2020	FT MYERS, FL	Team lift out	Ibd to ibd	1.0%
SILVER OAK SECURITIES, INC.	2	Sep 23, 2018	Sep 25, 2018	LOUISVILLE, KY	Team lift out	Ibd to RIA	1.1%
SILVER OAK SECURITIES, INC.	4	Sep 20, 2018	Oct 25, 2018	GREENWOOD, IN	Team lift out	Ibd to RIA	2.2%
PRAIRIE RIVERS INVESTMENTS, LLC	3	Dec 31, 2017	Jun 27, 2017	ROBINSON, IL	Team lift out	Other	1.7%
IC ADVISORY SERVICES, INC.	2	Oct 2, 2017	Oct 2, 2017	KNOXVILLE, TN	Team lift out	Other	1.2%
SKG CAPITAL ADVISORS, LLC	2	May 11, 2017	Apr 17, 2017	ALBUQUERQUE, NM	Team lift out	Other	1.2%
TRUSTMONT ADVISORY GROUP, INC.	2	Feb 1, 2016	Feb 2, 2016	MANSFIELD, OH	Team lift out	Other	1.3%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
SII INVESTMENTS, INC.	3	Nov 21, 2017	Nov 22, 2017	APPLETON, WI	Team lift out	Other	1.0%
SII INVESTMENTS, INC.	3	Nov 6, 2017	Nov 6, 2017	GREENVILLE, WI	Team lift out	Other	0.9%
NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	3	Oct 10, 2017	Oct 9, 2017	FAYETTEVILLE, NC	Team lift out	Other	0.4%
HORNOR, TOWNSEND & KENT, LLC	2	Dec 15, 2016	Dec 7, 2016	TOWSON, MD	Team lift out	Other	0.5%
AMERITAS ADVISORY SERVICES	2	Nov 7, 2016	Oct 11, 2016	WESTERVILLE, OH	Team lift out	Other	1.1%
SORRENTO PACIFIC FINANCIAL, LLC	2	Jan 9, 2015	Feb 3, 2015	SAN DIEGO, CA	Team lift out	Other	6.7%

Relationships

showing 80 of 391

Affiliated with (13)

→ LADENBURG THALMANN ASSET MANAGEMENT INCRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ SECURITIES AMERICA ADVISORS, INC.Registered adviserother investment adviser, common control
factForm ADV
→ SAGEPOINT FINANCIAL, INC.Registered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ VISION2020 WEALTH MANAGEMENT CORP.Registered adviserother investment adviser, common control
factForm ADV
→ ARBOR POINT ADVISORSRegistered adviserother investment adviser, common control
factForm ADV
→ OSAIC ADVISORY SERVICES, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ OSAIC WEALTH, INC.Registered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ TRIAD ADVISORS, LLCRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ KMS FINANCIAL SERVICES, INCRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ WOODBURY FINANCIAL SERVICES, INC.Registered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ FSC SECURITIES CORPORATIONRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
← INVESTACORP ADVISORY SERVICES INCRegistered adviserother investment adviser, common control
factForm ADV
← LADENBURG THALMANN FUND MANAGEMENT LLCRegistered adviserother investment adviser, common control
factForm ADV

Controls (15)

← PRICE, JAMES, DALEOwnerCHAIRMAN, ownership code NA, individual
Jun 26, 2020 to presentfactForm ADV
← BLANCATO, PHILIP, SALVATOREOwnerDIRECTOR, ownership code NA, individual
Jan 2, 2015 to presentfactForm ADV
← WILKINSON, WADE, SHANNONOwnerPRESIDENT AND CEO, ownership code NA, individual
Jan 3, 2012 to presentfactForm ADV
← KLIMAS, RONALD, THOMASOwnerEXECUTIVE VICE PRESIDENT, ownership code NA, individual
Jan 3, 2012 to presentfactForm ADV
← SCHLUETER, MATTHEW, ADAMOwnerDIRECTOR, ownership code NA, individual
Jun 26, 2020 to presentfactForm ADV
← MAAS, JONATHAN, ELMEROwnerVICE PRESIDENT, TRADING, ownership code NA, individual
Jan 3, 2012 to presentfactForm ADV
← PATEL, JAYAPRAKASH, MOHANBHAIOwnerSENIOR VICE PRESIDENT OF ACCOUNTING, ownership code NA, individual
Jan 3, 2012 to presentfactForm ADV
← GIOVANNIELLO, JOSEPH, N/AOwnerDIRECTOR, ownership code NA, individual
Jan 2, 2015 to presentfactForm ADV
← MCKENNA, NINAOwnerSECRETARY, ownership code NA, individual
Jun 26, 2020 to presentfactForm ADV
← ADVISOR GROUP HOLDINGS, INC.OwnerOWNER, ownership code E, domestic entity
Mar 13, 2020 to presentfactForm ADV
← AG ARTEMIS HOLDINGS, L.P.OwnerSHAREHOLDER, ownership code E, domestic entity
Mar 13, 2020 to presentfactForm ADV
← AG INTERMEDIATE CORP.OwnerSHAREHOLDER, ownership code E, domestic entity
Mar 13, 2020 to presentfactForm ADV
← AG PARENT CORP.OwnerSHAREHOLDER, ownership code E, domestic entity
Mar 13, 2020 to presentfactForm ADV
← LADENBURG THALMANN FINANCIAL SERVICES, INC.OwnerSHAREHOLDER, ownership code E, domestic entity
Jan 2, 2015 to presentfactForm ADV
← RCP ARTEMIS CO-INVEST, L.P.OwnerLIMITED PARTNER, ownership code E, foreign entity
Mar 13, 2020 to presentfactForm ADV

Owns (1)

← SMARGIASSO, HEATH, JAMESOwnerVICE PRESIDENT AND CHIEF COMPLIANCE OFFICER OF SSNAI, ownership code NA, individual
Jun 2, 2017 to presentfactForm ADV

Moved with (2)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviser3 advisors, team lift out, same day
Sep 2, 2020 to Mar 21, 2024factForm ADV
→ ARBOR POINT ADVISORSRegistered adviser3 advisors, team lift out, same day
Sep 18, 2020 to Sep 18, 2020factForm ADV

Registered with (48)

← WADE SHANNON WILKINSONAdvisorregistration: previous registration
Jan 22, 2004 to Sep 30, 2020factForm ADV
← RONALD THOMAS KLIMASAdvisorregistration: previous registration
Jan 30, 2004 to Sep 30, 2020factForm ADV
← Robert Parks AhlerAdvisorregistration: previous registration
Feb 10, 2004 to Sep 30, 2020factForm ADV
← Heath J SmargiassoAdvisorregistration: previous registration
Jun 2, 2017 to Sep 30, 2020factForm ADV
← JAYAPRAKASH MOHANBHAI PATELAdvisorregistration: previous registration
Jan 30, 2004 to Sep 30, 2020factForm ADV
← Gregory W KalosiehAdvisorregistration: previous registration
Oct 1, 2014 to Sep 30, 2020factForm ADV
← David A HarlowAdvisorregistration: previous registration
Aug 28, 2013 to Sep 30, 2020factForm ADV
← David Hudson MelendyAdvisorregistration: previous registration
Aug 16, 2011 to Sep 30, 2020factForm ADV
← Crystal Lee GodbeeAdvisorregistration: previous registration
Feb 25, 2016 to Sep 30, 2020factForm ADV
← TERRY JAY MUCHLERAdvisorregistration: previous registration
Jan 5, 2016 to Sep 22, 2020factForm ADV
← TIMOTHY ROBERT HAMMONDAdvisorregistration: previous registration
Feb 9, 2018 to Sep 22, 2020factForm ADV
← Eric McIntyreAdvisorregistration: previous registration
Feb 5, 2020 to Sep 22, 2020factForm ADV
← Donald John KwartaAdvisorregistration: previous registration
Sep 12, 2017 to Sep 21, 2020factForm ADV
← JOSEPH ALPHONSE FERMANOAdvisorregistration: previous registration
Jan 9, 2015 to Sep 18, 2020factForm ADV
← David M KopycAdvisorregistration: previous registration
Jan 2, 2019 to Sep 18, 2020factForm ADV
← BRUCE ALLAN FAVORATAdvisorregistration: previous registration
Apr 4, 2012 to Sep 18, 2020factForm ADV
← JOHN DANIEL SABIOAdvisorregistration: previous registration
Jul 28, 2004 to Sep 18, 2020factForm ADV
← ARTHUR JOSEPH DIETZAdvisorregistration: previous registration
Jul 16, 2007 to Sep 18, 2020factForm ADV
← Randolph S ClarkAdvisorregistration: previous registration
Jan 11, 2018 to Sep 18, 2020factForm ADV
← James Samuel BurchamAdvisorregistration: previous registration
Jan 14, 2010 to Sep 18, 2020factForm ADV
← DAVID LEMOYNE BARNESAdvisorregistration: previous registration
Jan 22, 2019 to Sep 18, 2020factForm ADV
← RONALD CHRYSLER HAUFAdvisorregistration: previous registration
Oct 2, 2007 to Sep 18, 2020factForm ADV
← MICHAEL BRUCE KAPLOWITZAdvisorregistration: previous registration
Nov 10, 2008 to Sep 18, 2020factForm ADV
← CHARLES ALVIN SEWELLAdvisorregistration: previous registration
Feb 3, 2020 to Sep 18, 2020factForm ADV
← DENIS JEFFREY CONLONAdvisorregistration: previous registration
Jul 5, 2018 to Sep 18, 2020factForm ADV
← JON RAYMOND WINTEREGGAdvisorregistration: previous registration
Dec 7, 2012 to Sep 18, 2020factForm ADV
← Dennis R DercksAdvisorregistration: previous registration
Nov 6, 2017 to Sep 18, 2020factForm ADV
← RONALD LESLIE DUNKAdvisorregistration: previous registration
Jul 2, 2014 to Sep 18, 2020factForm ADV
← EDWIN ALEXANDER MCKNIGHTAdvisorregistration: previous registration
Nov 13, 2012 to Sep 18, 2020factForm ADV
← Mary Lynne YoderAdvisorregistration: previous registration
Mar 19, 2018 to Sep 18, 2020factForm ADV
and 18 more

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Jun 26, 2020
Control person left
Heath Brett Kaufman (Director) no longer on Schedule A of Ssn Advisory, Inc. (listed 2020-06-15, absent 2020-06-26)
Form ADVobserved 4 days ago
Occurred
Jun 26, 2020
Control person joined
Adam Matthew Schlueter (Director) appeared on Schedule A of Ssn Advisory, Inc.
Form ADVobserved 4 days ago
Occurred
Jun 26, 2020
Control person joined
Dale James Price (Chairman) appeared on Schedule A of Ssn Advisory, Inc.
Form ADVobserved 4 days ago
Occurred
Jun 26, 2020
Control person joined
Nina Mckenna (Secretary) appeared on Schedule A of Ssn Advisory, Inc.
Form ADVobserved 4 days ago
Occurred
Mar 13, 2020
Control person left
Scott Adam Malamed (Director) no longer on Schedule A of Ssn Advisory, Inc. (listed 2020-03-05, absent 2020-03-13)
Form ADVobserved 4 days ago
Occurred
Jan 4, 2019
Control person left
William Gregory Kalosieh (Vice President Of Sales And Marketing) no longer on Schedule A of Ssn Advisory, Inc. (listed 2018-12-21, absent 2019-01-04)
Form ADVobserved 4 days ago
Occurred
Feb 1, 2018
Regulatory AUM changed
Ssn Advisory, Inc. reported RAUM $2.7B, up 40% from $1.9B (2017-09-28 to 2018-02-01)
Form ADVobserved 4 days ago
$760M

Show 1 bookkeeping events

Occurred
Mar 5, 2020
Ssn Advisory, Inc. reported 5 offices beyond its principal office, down from 151 (2019-07-11 to 2020-03-05)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ebda9fb2-c106-8639-3a1c-d042215e23ec
First observed: Jan 3, 2012
Last observed: Aug 14, 2020 74 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.

SSN ADVISORY, INC.

CRD 126090

KNOXVILLE, TN

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:ebda9fb2-c106-8639-3a1c-d042215e23ec

Data as of Aug 14, 2020 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:07 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ADVISOR GROUP HOLDINGS, INC.

Owner

yes

05/2020

Mar 13, 2020

Aug 14, 2020

AG ARTEMIS HOLDINGS, L.P.

Shareholder

yes

02/2020

Mar 13, 2020

Aug 14, 2020

AG INTERMEDIATE CORP.

Shareholder

yes

02/2020

Mar 13, 2020

Aug 14, 2020

AG PARENT CORP.

Shareholder

yes

02/2020

Mar 13, 2020

Aug 14, 2020

BLANCATO, PHILIP, SALVATORE

Director

yes

01/2015

Jan 2, 2015

Aug 14, 2020

GIOVANNIELLO, JOSEPH, N/A

Director

yes

01/2015

Jan 2, 2015

Aug 14, 2020

KLIMAS, RONALD, THOMAS

EXECUTIVE VICE PRESIDENT

yes

03/2003

Jan 3, 2012

Aug 14, 2020

LADENBURG THALMANN FINANCIAL SERVICES, INC.

Shareholder

yes

05/2020

Jan 2, 2015

Aug 14, 2020

MAAS, JONATHAN, ELMER

VICE PRESIDENT, TRADING

yes

01/2006

Jan 3, 2012

Aug 14, 2020

MCKENNA, NINA

Secretary

yes

05/2020

Jun 26, 2020

Aug 14, 2020

PATEL, JAYAPRAKASH, MOHANBHAI

SENIOR VICE PRESIDENT OF ACCOUNTING

yes

03/2003

Jan 3, 2012

Aug 14, 2020

PRICE, JAMES, DALE

Chairman

yes

05/2020

Jun 26, 2020

Aug 14, 2020

RCP ARTEMIS CO-INVEST, L.P.

LIMITED PARTNER

yes

02/2020

Mar 13, 2020

Aug 14, 2020

SCHLUETER, MATTHEW, ADAM

Director

yes

05/2020

Jun 26, 2020

Aug 14, 2020

WILKINSON, WADE, SHANNON

PRESIDENT AND CEO

yes

03/2003

Jan 3, 2012

Aug 14, 2020

SMARGIASSO, HEATH, JAMES

VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER OF SSNAI

05/2018

Jun 2, 2017

Aug 14, 2020

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

ROYAL ALLIANCE ASSOCIATES, INC.

n/a

Bd affiliated wealth

$235B

yes

n/a

SECURITIES AMERICA ADVISORS, INC.

n/a

Former SEC adviser

$40B

yes

n/a

WOODBURY FINANCIAL SERVICES, INC.

n/a

Former SEC adviser

$19B

yes

n/a

SAGEPOINT FINANCIAL, INC.

n/a

Former SEC adviser

$16B

yes

n/a

TRIAD HYBRID SOLUTIONS, LLC

n/a

Bd affiliated wealth

$15B

yes

n/a

FSC SECURITIES CORPORATION

n/a

Former SEC adviser

$12B

yes

n/a

KMS FINANCIAL SERVICES, INC.

n/a

Former SEC adviser

$8.2B

yes

n/a

ARBOR POINT ADVISORS, LLC

n/a

Former SEC adviser

$6.9B

yes

n/a

LADENBURG THALMANN ASSET MANAGEMENT INC

n/a

Other adviser

$6.7B

yes

n/a

TRIAD ADVISORS, LLC

n/a

Former SEC adviser

$1.1B

yes

n/a

VISION2020 WEALTH MANAGEMENT CORP.

n/a

No RAUM reported

yes

n/a

HIGHLAND CAPITAL BROKERAGE

n/a

yes

n/a

LADENBURG CAPITAL AGENCY, INC.

n/a

yes

n/a

LADENBURG THALMANN & CO. INC.

n/a

yes

n/a

NETWORK AGENCY OF ALABAMA

n/a

yes

n/a

NETWORK AGENCY OF OHIO, INC.

n/a

yes

n/a

NETWORK AGENCY, INC.

n/a

yes

n/a

PREMIER TRUST, INC.

n/a

yes

n/a

SECURITIES AMERICA, INC.

n/a

yes

n/a

SECURITIES SERVICE NETWORK, LLC

n/a

yes

n/a

SSN AGENCY OF TEXAS, INC

n/a

yes

n/a

SSN AGENCY, INC.

n/a

yes

n/a

VALOR INSURANCE AGENCY, INC.

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Brookfield

United States

Birmingham

United States

WEST HARTFORD

United States

Gaithersburg

United States

Chesterfield

United States

Westerville

United States

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2019

Mar 30, 2020

$2.4B

$2.0B

241

222

n/a

2018

Mar 29, 2019

$2.9B

$2.4B

246

215

151

n/a

2017

Mar 20, 2018

$2.7B

$2.2B

239

214

151

n/a

2016

Mar 15, 2017

$1.9B

$1.4B

263

227

n/a

2015

Mar 23, 2016

$1.5B

$919M

252

213

n/a

2014

Apr 20, 2015

$1.3B

$826M

252

213

n/a

2013

Mar 7, 2014

$1.2B

$627M

247

210

n/a

2012

Mar 7, 2013

$1.1B

$438M

222

185

n/a

2011

Mar 22, 2012

$580M

$386M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2019

$2.4B

$2.9B

-15.8%

$1.9B

8.3%

241

246

151

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

THE MARSHALL FINANCIAL GROUP LLC

Sep 18, 2020

Mar 1, 2018

TOWSON, MD

Team lift out

Ibd to RIA

1.3%

ARBOR POINT ADVISORS

Sep 18, 2020

DUNKIRK, MD

Channel change

Ibd to ibd

1.9%

HORIZON FINANCIAL

Sep 18, 2020

Jan 21, 2020

WEST HENRIETTA, NY

Team lift out

Ibd to RIA

2.5%

CETERA INVESTMENT ADVISERS LLC

Sep 2, 2020

Mar 21, 2024

TRUSSVILLE, AL

Team lift out

Ibd to ibd

1.8%

LPL FINANCIAL LLC

Sep 2, 2020

Sep 3, 2020

IRONDALE, AL

Team lift out

Ibd to ibd

2.4%

CETERA INVESTMENT ADVISERS LLC

Aug 26, 2020

Mar 21, 2024

FRANKFORT, IL

Team lift out

Ibd to ibd

1.2%

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

Jul 28, 2020

Jul 24, 2020

SCOTSDALE, AZ

Team lift out

Ibd to RIA

1.1%

H. BECK, INC.

Jul 24, 2020

Jul 27, 2020

GAITHERSBURG, MD

Team lift out

Ibd to ibd

3.6%

LPL FINANCIAL LLC

Jul 21, 2020

FT MYERS, FL

Team lift out

Ibd to ibd

1.0%

SILVER OAK SECURITIES, INC.

Sep 23, 2018

Sep 25, 2018

LOUISVILLE, KY

Team lift out

Ibd to RIA

1.1%

SILVER OAK SECURITIES, INC.

Sep 20, 2018

Oct 25, 2018

GREENWOOD, IN

Team lift out

Ibd to RIA

2.2%

PRAIRIE RIVERS INVESTMENTS, LLC

Dec 31, 2017

Jun 27, 2017

ROBINSON, IL

Team lift out

Other

1.7%

IC ADVISORY SERVICES, INC.

Oct 2, 2017

KNOXVILLE, TN

Team lift out

Other

1.2%

SKG CAPITAL ADVISORS, LLC

May 11, 2017

Apr 17, 2017

ALBUQUERQUE, NM

Team lift out

Other

1.2%

TRUSTMONT ADVISORY GROUP, INC.

Feb 1, 2016

Feb 2, 2016

MANSFIELD, OH

Team lift out

Other

1.3%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

SII INVESTMENTS, INC.

Nov 21, 2017

Nov 22, 2017

APPLETON, WI

Team lift out

Other

1.0%

SII INVESTMENTS, INC.

Nov 6, 2017

GREENVILLE, WI

Team lift out

Other

0.9%

NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)

Oct 10, 2017

Oct 9, 2017

FAYETTEVILLE, NC

Team lift out

Other

0.4%

HORNOR, TOWNSEND & KENT, LLC

Dec 15, 2016

Dec 7, 2016

TOWSON, MD

Team lift out

Other

0.5%

AMERITAS ADVISORY SERVICES

Nov 7, 2016

Oct 11, 2016

WESTERVILLE, OH

Team lift out

Other

1.1%

SORRENTO PACIFIC FINANCIAL, LLC

Jan 9, 2015

Feb 3, 2015

SAN DIEGO, CA

Team lift out

Other

6.7%