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CRD 105644
SCHAUMBURG, IL
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
Dated 2026-08-24 (filing); first seen by DFX 2026-09-15.
Dated 2026-08-25 (filing); first seen by DFX 2026-09-15.
Dated 2026-09-17 (filing); first seen by DFX 2026-09-19.
Dated 2026-09-11 (filing); first seen by DFX 2026-09-16.
Dated 2026-09-02 (filing); first seen by DFX 2026-09-15.
Dated 2026-09-14 (filing); first seen by DFX 2026-09-15.
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| DOROTHY MARGUERITE BELVILLE | Certified Financial Planner | MONTEREY, CA | 31 | 44 | 3 | yes |
| BRYAN PAUL BOGEN | Certified Financial Planner | HAMDEN, CT | 31 | 34 | 2 | yes |
| STACEY GIBBLE BARRICK | Certified Financial Planner | CAMP HILL, PA | 30 | 40 | 2 | yes |
| JACK MIKE BRKICH | Certified Financial Planner | SANTA ANA, CA | 29 | 35 | n/a | yes |
| MARK GERARD FINKE | Certified Financial Planner | ST. LOUIS, MO | POPLAR BLUFF, MO | 28 | 36 | n/a | yes |
| THOMAS FOSTER MENGEL | n/a | POPLAR BLUFF, MO | ST. LOUIS, MO | 28 | 46 | n/a | yes |
| DAVID ALAN KALFEN | n/a | NORTHBROOK, IL | VERNON HILLS, IL | 28 | 41 | n/a | yes |
| KENNETH JOHN KOLNICKI | n/a | DOWNERS GROVE, IL | 28 | 51 | n/a | yes |
| STEPHEN WAYNE DEFILIPPIS | n/a | SUNNY ISLES BEACH, FL | WHEATON, IL | 28 | 39 | n/a | yes |
| BEVERLY RACHEL MOORE | Certified Financial Planner | DONNA, TX | WEST DUNDEE, IL | 28 | 39 | n/a | yes |
| DON WAYNE BARNES | Certified Financial Planner | BURR RIDGE, IL | 28 | 48 | n/a | yes |
| PATRICK FRANCIS NAUGHTON | n/a | ST. CHARLES, IL | 28 | 38 | n/a | yes |
| CLARA SUE BOGEN | Certified Financial Planner | LAKE FOREST, IL | 28 | 45 | n/a | yes |
| JOSEPH LEE KULA | n/a | NAPLES, FL | BLOOMINGTON, IL | SPRINGFIELD, IL | 28 | 39 | n/a | yes |
| TODD WESLEY ZASTROW | n/a | OAK BROOK, IL | 28 | 37 | 1 | yes |
| LEONARD WAYNE METZL | n/a | ELMHURST, IL | 28 | 41 | n/a | yes |
| LAWRENCE ARNOLD GOLDMAN | n/a | CHICAGO, IL | 28 | 36 | n/a | yes |
| A. BRUCE OTTO | n/a | MINIER, IL | 28 | 35 | n/a | yes |
| RAYMOND WILLIAM WEBER | n/a | PERU, IL | 28 | 34 | n/a | yes |
| JAMES EDWARD TROMP | n/a | MANHATTAN, IL | 28 | 45 | n/a | yes |
| RONALD S KOT | n/a | AURORA, IL | 28 | 49 | n/a | yes |
| VAN ROBIN JONKER | Personal Financial Specialist | TINLEY PARK, IL | 28 | 49 | n/a | yes |
| J TERENCE GALLAGHER | Certified Financial Planner | LOMBARD, IL | DOWNERS GROVE, IL | 28 | 39 | 1 | yes |
| JEFFREY MICHAEL ANTOS | Certified Financial Planner | WHEELING, IL | 28 | 38 | n/a | yes |
| CINDY J BURKE | Certified Financial Planner | WARRENTON, MO | 28 | 42 | n/a | yes |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| BUCHHEISTER, JEFFREY, ROBERT | CHIEF FINANCIAL OFFICER, MANAGER | Na | yes | 05/2021 | Aug 13, 2026 | Aug 13, 2026 |
| CETERA FINANCIAL SPECIALISTS | SOLE MEMBER | E | yes | 06/1998 | Aug 13, 2026 | Aug 13, 2026 |
| Gok, Lisa, Anne | Secretary | Na | yes | 05/2021 | Aug 13, 2026 | Aug 13, 2026 |
| HALEY, KRISTY, MARIE | CHIEF COMPLIANCE OFFICER, ADVISORY | Na | yes | 11/2015 | Aug 13, 2026 | Aug 13, 2026 |
| KRUEGER, RONALD, GEORGE | VICE PRESIDENT | Na | yes | 07/2020 | Aug 13, 2026 | Aug 13, 2026 |
| Mizuguchi, Maura, Rie | CHIEF ACCOUNTING OFFICER | Na | yes | 05/2021 | Aug 13, 2026 | Aug 13, 2026 |
| NEARY, JOSEPH, DANIEL | VP, MANAGER, CEO AND PRESIDENT | Na | yes | 05/2019 | Aug 13, 2026 | Aug 13, 2026 |
| SMILEY, STANLEY, ROBERT | VICE PRESIDENT | Na | yes | 04/2012 | Aug 13, 2026 | Aug 13, 2026 |
| Van Havermaat, David, James | ASST. SECRETARY | Na | yes | 04/2021 | Aug 13, 2026 | Aug 13, 2026 |
| ARETEC GROUP, INC. | Owner | E | yes | 12/2009 | Jun 10, 2016 | Dec 13, 2024 |
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | E | yes | 10/2012 | Apr 5, 2012 | Dec 13, 2024 |
| CETERA FINANCIAL HOLDINGS, INC. | Owner | E | yes | 10/2009 | May 27, 2014 | Dec 13, 2024 |
| CETERA FINANCIAL SPECIALISTS SERVICES LLC | SOLE MEMBER | E | yes | 06/1998 | Feb 15, 2013 | Dec 13, 2024 |
| Chaffin, Gary, Lynn | TAX OFFICER | Na | yes | 05/2021 | May 27, 2021 | Dec 13, 2024 |
| GC TWO HOLDINGS, INC | Owner | E | yes | 07/2018 | Mar 28, 2024 | Dec 13, 2024 |
| GC TWO INTERMEDIATE HOLDINGS, INC | Owner | E | yes | 12/2012 | Mar 28, 2024 | Dec 13, 2024 |
| Gooley, Thomas, Andrew | Manager | Na | yes | 05/2021 | May 27, 2021 | Dec 13, 2024 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | Na | yes | 03/2023 | Mar 15, 2023 | Dec 13, 2024 |
| Taylor, Thomas, Byron | CHIEF EXECUTIVE OFFICER & PRESIDENT | Na | yes | 12/2019 | Dec 5, 2019 | Dec 13, 2024 |
| Budevich, Serge | VICE PRESIDENT, TAX OFFICER | Na | no | 11/2024 | Aug 13, 2026 | Aug 13, 2026 |
| FRIES, MATTHEW, NEIL KALANI | VICE PRESIDENT | Na | no | 08/2024 | Aug 13, 2026 | Aug 13, 2026 |
| HOLLORAN, WILLIAM, THOMAS | VICE PRESIDENT | Na | no | 01/2024 | Aug 13, 2026 | Aug 13, 2026 |
| Kirwin, Scott, M | ASSISTANT SECRETARY | Na | no | 05/2027 | Aug 13, 2026 | Aug 13, 2026 |
| LEE, WINNIE, AI-LING | ASSISTANT SECRETARY | Na | no | 05/2022 | Aug 13, 2026 | Aug 13, 2026 |
| Mackay, Todd, Christopher | Manager | Na | no | 01/2025 | Aug 13, 2026 | Aug 13, 2026 |
| Molnar, Michael, James | VICE PRESIDENT | Na | no | 03/2026 | Aug 13, 2026 | Aug 13, 2026 |
| NILAND, ERIK, BRADLEY | VICE PRESIDENT | Na | no | 06/2026 | Aug 13, 2026 | Aug 13, 2026 |
| OBrien, Edward, D | Manager | Na | no | 06/2026 | Aug 13, 2026 | Aug 13, 2026 |
| RUMMEL, LEANN, RENEE | VICE PRESIDENT | Na | no | 09/2017 | Aug 13, 2026 | Aug 13, 2026 |
| Vays, Tamas | Secretary | Na | no | 12/2024 | Aug 13, 2026 | Aug 13, 2026 |
| WATTS, ANDREW, DAVID | VICE PRESIDENT | Na | no | 09/2025 | Aug 13, 2026 | Aug 13, 2026 |
| GC THREE HOLDINGS, LLC | Owner | E | no | 07/2023 | Mar 28, 2024 | Dec 13, 2024 |
| SHORES, ALLAN, KEITH | Treasurer | Na | no | 04/2021 | Jun 30, 2021 | Dec 13, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| CETERA ADVISOR NETWORKS LLC | n/a | Former SEC adviser | $47B | N | yes | n/a |
| AVANTAX ADVISORY SERVICES, INC. | n/a | Former SEC adviser | $46B | N | yes | n/a |
| CETERA ADVISORS LLC | n/a | Former SEC adviser | $22B | N | yes | n/a |
| AVANTAX PLANNING PARTNERS, INC. | n/a | Bd affiliated wealth | $7.6B | N | yes | n/a |
| THE RETIREMENT PLANNING GROUP, LLC | n/a | Independent wealth | $4.2B | N | yes | n/a |
| CETERA INVESTMENT SERVICES LLC | n/a | Former SEC adviser | $1.2B | N | yes | Mn |
| CETERA ADVISORY SERVICES LLC | n/a | No RAUM reported | $0 | N | yes | n/a |
| CETERA INVESTMENT MANAGEMENT LLC | n/a | No RAUM reported | $0 | N | yes | n/a |
| ASSOCIATES IN EXCELLENCE, INC. | n/a | n/a | n/a | N | yes | n/a |
| AVANTAX INVESTMENT SERVICES, INC. | n/a | n/a | n/a | N | yes | n/a |
| CETERA ADVISOR NETWORKS INSURANCE SERVICES LLC | n/a | n/a | n/a | N | yes | n/a |
| CETERA ADVISORS INSURANCE SERVICES LLC | n/a | n/a | n/a | N | yes | n/a |
| CETERA FINANCIAL SPECIALISTS LLC | n/a | n/a | n/a | N | yes | n/a |
| CETERA INSURANCE AGENCY, LLC | n/a | n/a | n/a | N | yes | n/a |
| CETERA TRUST COMPANY, N.A. | n/a | n/a | n/a | N | yes | n/a |
| FASI INSURANCE SERVICES, INC. | n/a | n/a | n/a | N | yes | n/a |
| FASI OF TX, INC. | n/a | n/a | n/a | N | yes | n/a |
| FIRST ALLIED RETIREMENT SERVICES, INC. | n/a | n/a | n/a | N | yes | n/a |
| NFG BROKERAGE, LLC | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| ST. LOUIS | Mo | United States | 87 | yes |
| Minneapolis | Mn | United States | 69 | yes |
| Omaha | Ne | United States | 48 | yes |
| Scottsdale | Az | United States | 45 | yes |
| Midlothian | Va | United States | 40 | yes |
| Newark | De | United States | 38 | yes |
| SAN DIEGO | CA | United States | 34 | yes |
| NEWPORT BEACH | CA | United States | 32 | yes |
| Phoenix | Az | United States | 28 | yes |
| Concord | CA | United States | 28 | yes |
| LOS ANGELES | CA | United States | 26 | yes |
| Parsippany | Nj | United States | 24 | yes |
| NEW YORK | NY | United States | 24 | yes |
| Lombard | IL | United States | 23 | yes |
| SAINT PAUL | Mn | United States | 23 | yes |
| Phoenix | Az | United States | 22 | yes |
| Schaumburg | IL | United States | 22 | yes |
| Tigard | Or | United States | 22 | yes |
| DANIEL ISLAND | Sc | United States | 22 | yes |
| Houston | TX | United States | 22 | yes |
| Hoover | Al | United States | 21 | yes |
| SAN DIEGO | CA | United States | 21 | yes |
| OVERLAND PARK | Ks | United States | 21 | yes |
| Latham | NY | United States | 21 | yes |
| Germantown | Tn | United States | 21 | yes |
| Pasadena | CA | United States | 20 | yes |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Apr 1, 2026 | $257B | $209B | 10,251 | 9,049 | 6,584 | n/a | n/a |
| 2024 | Apr 9, 2025 | $164B | $128B | 7,705 | 6,825 | 4,816 | n/a | n/a |
| 2023 | Mar 28, 2024 | $104B | $78B | 6,648 | 5,928 | 1,614 | n/a | n/a |
| 2022 | Mar 29, 2023 | $33B | $30B | 3,094 | 2,788 | 1,614 | n/a | n/a |
| 2021 | May 31, 2022 | $36B | $32B | 3,055 | 2,771 | 1,614 | n/a | n/a |
| 2020 | Mar 26, 2021 | $28B | $25B | 2,967 | 2,462 | 1,614 | n/a | n/a |
| 2019 | Mar 17, 2020 | $16B | $14B | 2,358 | 2,111 | 1,614 | n/a | n/a |
| 2018 | Mar 14, 2019 | $10B | $8.7B | 2,072 | 1,911 | 1,938 | n/a | n/a |
| 2017 | Mar 29, 2018 | $10B | $8.4B | 1,951 | 1,748 | 1,938 | n/a | n/a |
| 2016 | Mar 30, 2017 | $7.8B | $5.9B | 1,928 | 1,724 | n/a | n/a | n/a |
| 2015 | Mar 29, 2016 | $7.0B | $5.1B | 2,109 | 1,914 | n/a | n/a | n/a |
| 2014 | Mar 31, 2015 | $7.4B | $4.5B | 1,901 | 1,775 | n/a | n/a | n/a |
| 2013 | Mar 31, 2014 | $4.7B | $3.0B | 1,778 | 1,778 | n/a | n/a | n/a |
| 2012 | Apr 1, 2013 | $3.1B | $2.4B | 1,006 | 1,006 | n/a | n/a | n/a |
| 2011 | Mar 28, 2012 | $3.0B | $2.3B | n/a | n/a | 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 |
|---|---|---|---|---|---|---|---|---|
| 572 | 565 | 7 | 5.4% | 121 | 146 | 0 | 1,907 | 1,416 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $257B | $164B | 56.8% | $33B | 97.5% | 10,251 | 7,705 | 6,584 | 4,816 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | 9 | Sep 17, 2026 | Sep 18, 2026 | IONIA, MI | Team lift out | Ibd to ibd | 0.1% |
| KOVACK ADVISORS, INC. | 2 | Aug 25, 2026 | Aug 21, 2026 | BOERNE, TX | Team lift out | Ibd to ibd | 0.0% |
| KESTRA ADVISORY SERVICES, LLC | 3 | Aug 24, 2026 | Aug 21, 2026 | ST LOUIS, MO | Team lift out | Ibd to ibd | 0.0% |
| LPL FINANCIAL LLC | 3 | Aug 17, 2026 | Aug 18, 2026 | STUART, FL | Team lift out | Ibd to ibd | 0.0% |
| KESTRA ADVISORY SERVICES, LLC | 3 | Aug 12, 2026 | Aug 12, 2026 | FAIRVIEW HGHTS, IL | Team lift out | Ibd to ibd | 0.0% |
| LPL FINANCIAL LLC | 11 | Aug 5, 2026 | Aug 4, 2026 | WATERLOO, IA | Team lift out | Ibd to ibd | 0.1% |
| OSAIC ADVISORY SERVICES, LLC | 2 | Jul 29, 2026 | Aug 14, 2026 | SANDY, UT | Team lift out | Ibd to ibd | 0.0% |
| EAST WEST WEALTH ADVISORS LLC | 5 | Jul 29, 2026 | Aug 31, 2026 | PASADENA, CA | Team lift out | Ibd to new firm | 0.0% |
| DIVERSIFIED, LLC | 2 | Jul 24, 2026 | Jul 28, 2026 | RALEIGH, NC | Team lift out | Ibd to RIA | 0.0% |
| LIFEWISE WEALTH ADVISORS | 4 | Jul 23, 2026 | Jul 29, 2026 | CHAMPAIGN, IL | Team lift out | Ibd to new firm | 0.0% |
| PRIVATE ADVISOR GROUP, LLC | 5 | Jul 21, 2026 | Jul 17, 2026 | ARLINGTON, TX | Team lift out | Ibd to ibd | 0.0% |
| LEVEL FOUR ADVISORY SERVICES | 2 | Jul 21, 2026 | Jul 31, 2026 | BEDFORD, TX | Team lift out | Ibd to ibd | 0.0% |
| LPL FINANCIAL LLC | 2 | Jul 21, 2026 | Sep 1, 2026 | HILLARD, OH | Team lift out | Ibd to ibd | 0.0% |
| VANDERBILT ADVISORY SERVICES | 2 | Jul 15, 2026 | Jul 24, 2026 | NEW CITY, NY | Team lift out | Ibd to ibd | 0.0% |
| AVANTAX PLANNING PARTNERS, INC. | 3 | Jul 9, 2026 | Jul 2, 2026 | GRAND FORKS, ND | Team lift out | Ibd to ibd | 0.0% |
| Onedigital | 8 | Jul 7, 2026 | Jul 6, 2026 | MANASSAS, VA | Team lift out | Other | 0.1% |
| LPL FINANCIAL LLC | 2 | Jul 6, 2026 | Jul 10, 2026 | RICHARDSON, TX | Team lift out | Ibd to ibd | 0.0% |
| DIXIE'S TAX & FINANCIAL SERVICES, L.L.C. | 2 | Jul 1, 2026 | Jun 1, 2026 | DES MOINES, WA | Team lift out | Ibd to state RIA | 0.0% |
| MARTIN & COMPANY | 4 | Jun 23, 2026 | Jun 16, 2026 | VALENCIA, CA | Team lift out | Ibd to new firm | 0.0% |
| KOALA FINANCIAL | 3 | Jun 16, 2026 | Apr 23, 2026 | BONITA, CA | Team lift out | Ibd to state RIA | 0.0% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| COMMONWEALTH FINANCIAL NETWORK | 5 | Sep 14, 2026 | Sep 8, 2026 | LUTZ, FL | Team lift out | Ibd to ibd | 0.2% |
| LPL FINANCIAL LLC | 20 | Sep 11, 2026 | Aug 19, 2026 | ROSEVILLE, CA | Team lift out | Ibd to ibd | 0.1% |
| LPL FINANCIAL LLC | 2 | Sep 11, 2026 | Aug 14, 2026 | HALES CORNERS, WI | Team lift out | Ibd to ibd | 0.0% |
| OSAIC WEALTH, INC. | 2 | Sep 2, 2026 | Sep 2, 2026 | RAINBOW CITY, AL | Team lift out | Ibd to ibd | 0.0% |
| LPL FINANCIAL LLC | 2 | Aug 28, 2026 | Aug 12, 2026 | WESTFORD, MA | Team lift out | Ibd to ibd | 0.0% |
| MML INVESTORS SERVICES, LLC | 4 | Aug 26, 2026 | Aug 26, 2026 | NEWTOWN, CT | Team lift out | Ibd to ibd | 0.1% |
| COMMONWEALTH FINANCIAL NETWORK | 2 | Aug 20, 2026 | Aug 18, 2026 | ANNAPOLIS, MD | Team lift out | Ibd to ibd | 0.1% |
| MML INVESTORS SERVICES, LLC | 2 | Aug 19, 2026 | Aug 25, 2026 | EAST HILLS, NY | Team lift out | Ibd to ibd | 0.0% |
| INDEPENDENT ADVISOR ALLIANCE, LLC | 3 | Aug 12, 2026 | Aug 12, 2026 | ROCK HILL, SC | Team lift out | RIA to ibd | 1.0% |
| COMMONWEALTH FINANCIAL NETWORK | 2 | Aug 3, 2026 | Jul 23, 2026 | AVON LAKE, OH | Team lift out | Ibd to ibd | 0.1% |
| OSAIC WEALTH, INC. | 5 | Jul 27, 2026 | Jul 27, 2026 | SAN RAMON, CA | Team lift out | Ibd to ibd | 0.1% |
| TRUIST ADVISORY SERVICES, INC. | 2 | Jun 25, 2026 | Jul 28, 2026 | ATLANTA, GA | Team lift out | Ibd to ibd | 0.1% |
| LPL FINANCIAL LLC | 2 | Jun 25, 2026 | Jun 23, 2026 | YARMOUTH, ME | Team lift out | Ibd to ibd | 0.0% |
| OSAIC INSTITUTIONS, INC. | 4 | Jun 15, 2026 | Jun 18, 2026 | LAKELAND, FL | Team lift out | Ibd to ibd | 0.7% |
| LPL FINANCIAL LLC | 3 | Jun 12, 2026 | Jun 1, 2026 | WESTERVILLE, OH | Team lift out | Ibd to ibd | 0.0% |
| COMMONWEALTH FINANCIAL NETWORK | 5 | Jun 2, 2026 | Jun 8, 2026 | DURHAM, NC | Team lift out | Ibd to ibd | 0.2% |
| LPL FINANCIAL LLC | 3 | May 17, 2026 | Apr 27, 2026 | SALEM, IN | Team lift out | Ibd to ibd | 0.0% |
| COMMONWEALTH FINANCIAL NETWORK | 2 | May 6, 2026 | May 5, 2026 | PORTLAND, OR | Team lift out | Ibd to ibd | 0.1% |
| COMMONWEALTH FINANCIAL NETWORK | 4 | May 6, 2026 | May 4, 2026 | HARLEYSVILLE, PA | Team lift out | Ibd to ibd | 0.1% |
| OSAIC WEALTH, INC. | 3 | Apr 29, 2026 | Apr 27, 2026 | BURNSVILLE, MN | Team lift out | Ibd to ibd | 0.0% |