DFX Intelligence

Data Factory

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 10b 100b

WOODBURY FINANCIAL SERVICES, INC.

CRD 421

OAKDALE, MN

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Search this name across graphsid dfx:ria:ed6152ad-31cc-56f4-aa1a-cd9390c53c41

Data as of Jan 19, 2024 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:41 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2,518
Dated events: 40
On other graphs: 2
Observed: Jan 27, 2012 to Jan 19, 2024
187 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

Woodbury Financial Services, Inc.

Intermediary · shared crd

Allocatorsidentity

Woodbury Financial Services, Inc.

Investment consultant · shared crd

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: $19BItem 5.F on the latest filing (2024-01-19); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $16B
Private client RAUM: $19BderivedItem 5.D individuals plus high net worth individuals
Private client share: 96%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3,002
Advisory employees: 1,373
Offices: 1,038Schedule D 1.F, beyond the principal office
Accounts: 101,950
Individual clients: 62,216
High net worth clients: 7,424
Custody, client assets: $141M
SEC number: 801-54905
CRD: 421
Filings on the tape: 187
First filed: Jan 27, 2012
Latest filed: Jan 19, 2024
Organised: Corporation, Minnesota

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
AG ARTEMIS HOLDINGS GP, LLC	GENERAL PARTNER	F	yes	05/2019	Jun 26, 2020	Jan 19, 2024
AG ARTEMIS HOLDINGS, L.P.	Shareholder	E	yes	08/2019	Jun 22, 2022	Jan 19, 2024
AG INTERMEDIATE CORPORATION	Shareholder	E	yes	05/2020	Aug 30, 2019	Jan 19, 2024
AG PARENT CORPORATION	Shareholder	E	yes	08/2019	Aug 30, 2019	Jan 19, 2024
BERLINSKI, MILTON RALPH	Member	C	yes	08/2014	Jun 26, 2020	Jan 19, 2024
BERLINSKI, MILTON RALPH	GENERAL PARTNER	F	yes	08/2014	Jun 26, 2020	Jan 19, 2024
BERLINSKI, MILTON RALPH	Trustee	C	yes	06/2006	Jun 26, 2020	Jan 19, 2024
BERLINSKI, MILTON RALPH	INVESTMENT MANAGER	F	yes	08/2014	Jun 26, 2020	Jan 19, 2024
CORNICK, GREGORY ALLEN	Director	Na	yes	01/2021	Mar 30, 2021	Jan 19, 2024
FERGESEN, RICHARD DAVID	CEO, PRESIDENT, DIRECTOR	Na	yes	03/2014	Jan 27, 2012	Jan 19, 2024
HODGE, TIMOTHY ROBERT	CHIEF OPERATIONS OFFICER	Na	yes	11/2023	Dec 21, 2023	Jan 19, 2024
MRB ICBC LLC	Member	C	yes	08/2014	Jun 26, 2020	Jan 19, 2024
OSAIC FINANCIAL SERVICES, INC.	Shareholder	E	yes	05/2020	Jul 21, 2023	Jan 19, 2024
OSAIC HOLDINGS, INC.	Shareholder	E	yes	05/2016	Jul 21, 2023	Jan 19, 2024
OSAIC, INC.	Shareholder	E	yes	11/2012	Jul 21, 2023	Jan 19, 2024
PRICE, JAMES DALE	Chairman	Na	yes	11/2016	Mar 27, 2019	Jan 19, 2024
RCP ARTEMIS CO-INVEST GP LLC	GENERAL PARTNER	F	yes	05/2019	Jun 26, 2020	Jan 19, 2024
RCP ARTEMIS CO-INVEST, L.P.	LIMITED PARTNER	D	yes	08/2019	Aug 30, 2019	Jan 19, 2024
RCP GENPAR HOLDCO LLC	LIMITED PARTNER	E	yes	08/2014	Jun 26, 2020	Jan 19, 2024
RCP GENPAR LP	LIMITED PARTNER	E	yes	01/2018	Jun 26, 2020	Jan 19, 2024
RCP OPP FUND II GP, LP	LIMITED PARTNER	E	yes	01/2018	Jun 26, 2020	Jan 19, 2024
SCHLUETER, MATTHEW ADAM	EXECUTIVE VICE PRESIDENT, DIRECTOR	Na	yes	03/2019	Jan 9, 2014	Jan 19, 2024
THE BERLINSKI FAMILY 2006 TRUST	Member	E	yes	08/2014	Jun 26, 2020	Jan 19, 2024
COONEY, JOHN MICHAEL	SVP, CHIEF COMPLIANCE OFFICER	Na	no	09/2023	Dec 13, 2023	Jan 19, 2024
GERB, JASON	SVP, CHIEF REGULATORY OFFICER	Na	no	06/2022	Jun 22, 2022	Jan 19, 2024
NORTHRIP, IRYNA YAKOVLEVNA	SVP, CHIEF COMPLIANCE OFFICER,	Na	no	08/2023	Aug 21, 2023	Jan 19, 2024
SCHMIDT, DAVID MARTIN	TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL	Na	no	03/2017	Apr 12, 2017	Jan 19, 2024

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
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
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
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
OSAIC INSTITUTIONS, 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

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	15	yes
OAKBROOK TERRACE	IL	United States	13	yes
Warrenville	IL	United States	12	yes
Minnetonka	Mn	United States	12	yes
Charlotte	Nc	United States	12	yes
FOND DU LAC	Wi	United States	10	yes
COSTA MESA	CA	United States	9	yes
Houston	TX	United States	9	yes
Carmel	In	United States	8	yes
Woodbury	Mn	United States	8	yes
Greensboro	Nc	United States	8	yes
DE PERE	Wi	United States	8	yes
GREENWOOD VILLAGE	Co	United States	7	yes
EAST PEORIA	IL	United States	7	yes
Brighton	Mi	United States	7	yes
Oakdale	Mn	United States	7	yes
Manhasset	NY	United States	7	yes
Manhasset	NY	United States	7	yes
JOHNSON CITY	Tn	United States	7	yes
Phoenix	Az	United States	6	yes
DIAMOND BAR	CA	United States	6	yes
Roseville	CA	United States	6	yes
SAN DIEGO	CA	United States	6	yes
YORBA LINDA	CA	United States	6	yes
Olney	Md	United States	6	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
2022	Apr 3, 2023	$19B	$16B	3,002	1,373	1,038	n/a	n/a
2021	Mar 31, 2022	$21B	$18B	3,216	1,291	837	n/a	n/a
2020	Mar 30, 2021	$16B	$12B	3,008	1,279	833	n/a	n/a
2019	Mar 30, 2020	$12B	$8.6B	2,257	1,277	834	n/a	n/a
2018	Mar 28, 2019	$7.6B	$3.7B	1,925	947	634	n/a	n/a
2017	Mar 29, 2018	$5.7B	$2.8B	1,945	947	590	n/a	n/a
2016	Mar 30, 2017	$3.3B	$1.2B	1,527	830	n/a	n/a	n/a
2015	Jan 27, 2016	$2.5B	$606M	1,674	843	n/a	n/a	n/a
2014	Mar 31, 2015	$2.3B	$404M	1,580	1,160	n/a	n/a	n/a
2013	Mar 31, 2014	$2.2B	$111M	1,445	1,145	n/a	n/a	n/a
2012	Apr 1, 2013	$1.6B	$94.0M	1,525	850	n/a	n/a	n/a
2011	Mar 30, 2012	$1.8B	$47.6M	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
2022	$19B	$21B	-9.7%	$12B	18.4%	3,002	3,216	1,038	837

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction; showing 20 of 71

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
PRIVATE CLIENT SERVICES, LLC	2	Jan 19, 2024	Aug 5, 2003	MCDONOUGH, GA	Team lift out	Ibd to ibd	0.2%
PRIVATE CLIENT SERVICES, LLC	3	Jan 19, 2024	Aug 25, 2004	KNOXVILLE, TN	Team lift out	Ibd to ibd	0.2%
GUIDE MY FINANCES	3	Jan 19, 2024	Jul 11, 2023	CARLSBAD, CA	Team lift out	Ibd to state RIA	0.2%
GUIDE MY FINANCES	2	Jan 19, 2024	Jan 12, 2023	OAKDALE, MN	Team lift out	Ibd to state RIA	0.2%
LPL FINANCIAL LLC	3	Jan 19, 2024	Jan 25, 2023	OAKDALE, MN	Team lift out	Ibd to ibd	0.2%
CADARET GRANT & CO INC	4	Dec 13, 2023	Dec 12, 2023	SCOTTSDALE, AZ	Team lift out	Ibd to ibd	0.3%
CADARET GRANT & CO INC	2	Dec 13, 2023	Dec 11, 2023	MCKINNEY, TX	Team lift out	Ibd to ibd	0.2%
LPL FINANCIAL LLC	2	Dec 12, 2023	Dec 8, 2023	OAKDALE, MN	Team lift out	Ibd to ibd	0.2%
KESTRA ADVISORY SERVICES, LLC	3	Nov 29, 2023	Nov 27, 2023	CHESTERFIELD, MO	Team lift out	Ibd to ibd	0.2%
CETERA INVESTMENT ADVISERS LLC	2	Nov 21, 2023	Nov 22, 2023	PEORIA, AZ	Team lift out	Ibd to ibd	0.2%
RAYMOND JAMES & ASSOCIATES, INC.	2	Nov 20, 2023	Nov 22, 2023	ISSAQUAH, WA	Team lift out	Ibd to ibd	0.2%
CWM, LLC	2	Nov 1, 2023	Oct 31, 2023	MILTON, GA	Team lift out	Ibd to ibd	0.2%
LPL FINANCIAL LLC	2	Oct 30, 2023	Oct 26, 2023	ISSAQUAH, WA	Team lift out	Ibd to ibd	0.2%
LPL FINANCIAL LLC	3	Oct 17, 2023	Oct 30, 2023	WICHITA FALLS, TX	Team lift out	Ibd to ibd	0.2%
LPL FINANCIAL LLC	2	Oct 2, 2023	Oct 1, 2023	SETUAKET, NY	Team lift out	Ibd to ibd	0.2%
KESTRA ADVISORY SERVICES, LLC	2	Aug 3, 2023	Aug 2, 2023	NORTH RICHLAND HILLS, TX	Team lift out	Ibd to ibd	0.2%
MERIT FINANCIAL ADVISORS	2	Jun 13, 2023	Jun 12, 2023	WEST BEND, WI	Team lift out	Ibd to RIA	0.2%
LPL FINANCIAL LLC	3	May 30, 2023	May 26, 2023	GREENWOOD VILLAGE, CO	Team lift out	Ibd to ibd	0.2%
J. W. COLE ADVISORS, INC.	2	May 16, 2023	May 24, 2023	OAKVILLE, CT	Team lift out	Ibd to ibd	0.1%
GROVE POINT ADVISORS, LLC	2	Feb 13, 2023	Feb 16, 2023	BELLEVUE, WA	Team lift out	Ibd to ibd	0.2%

Teams in

teams that arrived here from one firm together; showing 20 of 64

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
FSC SECURITIES CORPORATION	2	Nov 3, 2023	Jan 4, 2022	ST PETERSBURG, FL	Channel change	Ibd to ibd	0.4%
FSC SECURITIES CORPORATION	19	Nov 3, 2023	Nov 22, 2021	ATLANTA, GA	Channel change	Ibd to ibd	3.8%
SAGEPOINT FINANCIAL, INC.	2	Sep 1, 2023	Nov 9, 2016	SCOTTSDALE, AZ	Channel change	Ibd to ibd	0.2%
CETERA ADVISORS LLC	2	Jun 23, 2023	Jun 21, 2023	OKLAHOMA CITY, OK	Team lift out	Ibd to ibd	1.1%
SECURIAN FINANCIAL SERVICES, INC.	2	Mar 6, 2023	Mar 6, 2023	SOUTHFIELD, MI	Team lift out	RIA to ibd	0.2%
MML INVESTORS SERVICES, LLC	2	Dec 6, 2022	Nov 22, 2022	MERIDIAN, ID	Team lift out	Ibd to ibd	0.0%
CETERA ADVISORS LLC	2	Nov 30, 2022	Nov 30, 2022	OVERLAND PARK, KS	Team lift out	Ibd to ibd	1.1%
ON INVESTMENT MANAGEMENT CO	2	Nov 18, 2022	Nov 17, 2022	WICHITA, KS	Team lift out	Ibd to ibd	0.8%
CETERA ADVISOR NETWORKS LLC	2	Nov 16, 2022	Nov 16, 2022	COLUMBUS, OH	Team lift out	Ibd to ibd	0.4%
CETERA INVESTMENT ADVISERS LLC	2	Sep 7, 2022	Sep 7, 2022	SUN PRAIRIE, WI	Team lift out	Ibd to ibd	0.1%
EAGLE STRATEGIES LLC	2	Jun 3, 2022	Jun 1, 2022	WICHITA, KS	Team lift out	Ibd to ibd	0.1%
GROVE POINT ADVISORS, LLC	2	May 6, 2022	May 10, 2022	ROCKVILLE, MD	Team lift out	Ibd to ibd	0.7%
SECURITIES AMERICA ADVISORS, INC.	3	May 2, 2022	May 2, 2022	VASHON ISLAND, WA	Channel change	Ibd to ibd	0.2%
CETERA INVESTMENT ADVISERS LLC	3	Dec 10, 2021	Dec 10, 2021	MARSHFIELD, WI	Team lift out	Ibd to ibd	0.1%
FIRST HEARTLAND CONSULTANTS, INC.	2	Sep 3, 2021	Sep 3, 2021	OVERLAND PARK, KS	Team lift out	Ibd to ibd	2.4%
OSAIC WEALTH, INC.	2	Apr 6, 2021	Dec 13, 2018	SCOTTSDALE, AZ	Channel change	Ibd to ibd	0.1%
RAYMOND JAMES & ASSOCIATES, INC.	2	Mar 26, 2021	Mar 22, 2021	PORTLAND, IN	Team lift out	Ibd to ibd	0.1%
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	2	Mar 22, 2021	Mar 16, 2021	EAU CLAIRE, WI	Team lift out	Ibd to ibd	0.1%
PRUCO SECURITIES, LLC	2	Mar 18, 2021	Mar 25, 2021	OMAHA, NE	Team lift out	Ibd to ibd	0.1%
MML INVESTORS SERVICES, LLC	2	Nov 30, 2020	Nov 30, 2020	REDWOOD CITY, CA	Team lift out	Ibd to ibd	0.1%

Relationships

showing 80 of 2,518

Affiliated with (18)

← AMERICAN PORTFOLIOS ADVISORS, INCRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ LADENBURG THALMANN ASSET MANAGEMENT INCRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ SECURITIES AMERICA ADVISORS, INC.Registered adviserother investment adviser, LP sponsor, common control
factForm ADV
→ AMERICAN PORTFOLIOS ADVISORS, INCRegistered adviserother investment adviser, 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
→ BLACK DIAMOND FINANCIAL, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ OSAIC INSTITUTIONS, INC.Registered adviserother investment adviser, broker-dealer, common control
factForm ADV
← FSC SECURITIES CORPORATIONRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
← SAGEPOINT FINANCIAL, INC.Registered adviserother investment adviser, broker-dealer, common control
factForm ADV
← KMS FINANCIAL SERVICES, INCRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
← SSN ADVISORY, INC.Registered adviserother investment adviser, broker-dealer, common control
factForm ADV
← INVESTACORP ADVISORY SERVICES INCRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
← HL INVESTMENT ADVISORS, LLCRegistered adviserother investment adviser, broker-dealer, insurance company, investment company, LP sponsor, common control
factForm ADV
← HARTFORD INVESTMENT FINANCIAL SERVICES, LLCRegistered adviserother investment adviser, broker-dealer, insurance company, investment company, LP sponsor, common control
factForm ADV

Controls (19)

← PRICE, JAMES DALEOwnerCHAIRMAN, ownership code NA, individual
Mar 27, 2019 to presentfactForm ADV
← BERLINSKI, MILTON RALPHOwnerINVESTMENT MANAGER, ownership code F, individual
Jun 26, 2020 to presentfactForm ADV
← HODGE, TIMOTHY ROBERTOwnerCHIEF OPERATIONS OFFICER, ownership code NA, individual
Dec 21, 2023 to presentfactForm ADV
← SCHLUETER, MATTHEW ADAMOwnerEXECUTIVE VICE PRESIDENT, DIRECTOR, ownership code NA, individual
Jan 9, 2014 to presentfactForm ADV
← CORNICK, GREGORY ALLENOwnerDIRECTOR, ownership code NA, individual
Mar 30, 2021 to presentfactForm ADV
← FERGESEN, RICHARD DAVIDOwnerCEO, PRESIDENT, DIRECTOR, ownership code NA, individual
Jan 27, 2012 to presentfactForm ADV
← AG ARTEMIS HOLDINGS GP, LLCOwnerGENERAL PARTNER, ownership code F, domestic entity
Jun 26, 2020 to presentfactForm ADV
← AG ARTEMIS HOLDINGS, L.P.OwnerSHAREHOLDER, ownership code E, domestic entity
Jun 22, 2022 to presentfactForm ADV
← AG INTERMEDIATE CORPORATIONOwnerSHAREHOLDER, ownership code E, domestic entity
Aug 30, 2019 to presentfactForm ADV
← AG PARENT CORPORATIONOwnerSHAREHOLDER, ownership code E, domestic entity
Aug 30, 2019 to presentfactForm ADV
← MRB ICBC LLCOwnerMEMBER, ownership code C, domestic entity
Jun 26, 2020 to presentfactForm ADV
← OSAIC FINANCIAL SERVICES, INC.OwnerSHAREHOLDER, ownership code E, domestic entity
Jul 21, 2023 to presentfactForm ADV
← OSAIC HOLDINGS, INC.OwnerSHAREHOLDER, ownership code E, domestic entity
Jul 21, 2023 to presentfactForm ADV
← RCP ARTEMIS CO-INVEST GP LLCOwnerGENERAL PARTNER, ownership code F, domestic entity
Jun 26, 2020 to presentfactForm ADV
← RCP ARTEMIS CO-INVEST, L.P.OwnerLIMITED PARTNER, ownership code D, foreign entity
Aug 30, 2019 to presentfactForm ADV
← RCP GENPAR HOLDCO LLCOwnerLIMITED PARTNER, ownership code E, domestic entity
Jun 26, 2020 to presentfactForm ADV
← RCP GENPAR LPOwnerLIMITED PARTNER, ownership code E, domestic entity
Jun 26, 2020 to presentfactForm ADV
← RCP OPP FUND II GP, LPOwnerLIMITED PARTNER, ownership code E, domestic entity
Jun 26, 2020 to presentfactForm ADV
← THE BERLINSKI FAMILY 2006 TRUSTOwnerMEMBER, ownership code E, domestic entity
Jun 26, 2020 to presentfactForm ADV

Owns (4)

← COONEY, JOHN MICHAELOwnerSVP, CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Dec 13, 2023 to presentfactForm ADV
← GERB, JASONOwnerSVP, CHIEF REGULATORY OFFICER, ownership code NA, individual
Jun 22, 2022 to presentfactForm ADV
← SCHMIDT, DAVID MARTINOwnerTREASURER, FINANCIAL AND OPERATIONS PRINCIPAL, ownership code NA, individual
Apr 12, 2017 to presentfactForm ADV
← NORTHRIP, IRYNA YAKOVLEVNAOwnerSVP, CHIEF COMPLIANCE OFFICER,, ownership code NA, individual
Aug 21, 2023 to presentfactForm ADV

Moved with (1)

→ LPL FINANCIAL LLCRegistered adviser2 advisors, team lift out, same day
Dec 11, 2019 to Jan 1, 2025factForm ADV

Registered with (34)

← NOREEN SUE LIN CLEMENTAdvisorregistration: previous registration
Mar 1, 2019 to Jan 19, 2024factForm ADV
← CRAIG ALLEN HAUGERAdvisorregistration: previous registration
Mar 1, 2019 to Jan 19, 2024factForm ADV
← BARRY STEPHEN MILLSONAdvisorregistration: previous registration
Mar 1, 2019 to Jan 19, 2024factForm ADV
← EDWARD PAUL HADELAdvisorregistration: previous registration
May 7, 2002 to Jan 19, 2024factForm ADV
← WILLIAM WALTER ZUREKAdvisorregistration: previous registration
Aug 8, 2017 to Jan 19, 2024factForm ADV
← TIMOTHY LANE JOHNSTONAdvisorregistration: previous registration
Apr 10, 2017 to Jan 19, 2024factForm ADV
← GERALD E WOLFAdvisorregistration: previous registration
Nov 26, 1999 to Jan 19, 2024factForm ADV
← ALLAN LAVERNE BRUNMEIERAdvisorregistration: previous registration
Mar 1, 2019 to Jan 19, 2024factForm ADV
← ROBERT MARTIN TAYLORAdvisorregistration: previous registration
Oct 11, 2006 to Jan 19, 2024factForm ADV
← GINA GOREE McWhorterAdvisorregistration: previous registration
Mar 1, 2019 to Jan 19, 2024factForm ADV
← LAWRENCE EARLE EMMONSAdvisorregistration: previous registration
May 1, 2006 to Jan 19, 2024factForm ADV
← PHILIP FRANK BOMBACEAdvisorregistration: previous registration
Nov 30, 2020 to Jan 19, 2024factForm ADV
← ROXANNE CALABRESEAdvisorregistration: previous registration
Jul 28, 2022 to Jan 19, 2024factForm ADV
← MARK ELMER STEVENSONAdvisorregistration: previous registration
Mar 23, 2018 to Jan 19, 2024factForm ADV
← GARY D WOODSAdvisorregistration: previous registration
Dec 7, 2001 to Jan 19, 2024factForm ADV
← JOHN JOSEPH BARRIOSAdvisorregistration: previous registration
Mar 31, 2020 to Jan 19, 2024factForm ADV
← JOHN NORMAN DREHERAdvisorregistration: previous registration
Jan 26, 2010 to Jan 19, 2024factForm ADV
← ROBERT EDWARD LYLEAdvisorregistration: previous registration
Jun 1, 2006 to Jan 19, 2024factForm ADV
← GERD RALPH MARTIN HANSMAAdvisorregistration: previous registration
Jan 7, 2010 to Jan 19, 2024factForm ADV
← MICHAEL ANTHONY DARANYAdvisorregistration: previous registration
Apr 10, 2012 to Jan 19, 2024factForm ADV
← ANIL GULATIAdvisorregistration: previous registration
Oct 27, 2009 to Jan 19, 2024factForm ADV
← JEFFREY CRAIG NELSONAdvisorregistration: previous registration
Jan 22, 2014 to Jan 19, 2024factForm ADV
← JOSEPH DANIEL MALEGOAdvisorregistration: previous registration
Jun 10, 2008 to Jan 19, 2024factForm ADV
← JOSEPH JOHN OPALSKIAdvisorregistration: previous registration
Jun 18, 2008 to Jan 19, 2024factForm ADV
← MICHAEL ALLEN FRONTINOAdvisorregistration: previous registration
Nov 26, 2008 to Jan 19, 2024factForm ADV
← QUREISH ESMAILAdvisorregistration: previous registration
Apr 28, 2008 to Jan 19, 2024factForm ADV
← WILLIAM EDWARD SNOWAdvisorregistration: previous registration
Nov 15, 2017 to Jan 19, 2024factForm ADV
← RICHARD EDWARD RUTKOWSKIAdvisorregistration: previous registration
May 31, 2006 to Jan 19, 2024factForm ADV
← MARK STEPHEN SULLIVANAdvisorregistration: previous registration
Jul 17, 2006 to Jan 19, 2024factForm ADV
← PABLO RENE ZALDUENDOAdvisorregistration: previous registration
Oct 27, 2006 to Jan 19, 2024factForm ADV
and 4 more

Dated events

Occurred
Jan 19, 2024
Team lift-out
2 advisors left Woodbury Financial Services, Inc. (Oakdale, MN) for Guide MY Finances on the same day
Form ADVobserved 6 days ago
2 advisors
Occurred
Jan 19, 2024
Team lift-out
3 advisors left Woodbury Financial Services, Inc. (Knoxville, TN) for Private Client Services, LLC on the same day
Form ADVobserved 6 days ago
3 advisors
Occurred
Jan 19, 2024
Team lift-out
3 advisors left Woodbury Financial Services, Inc. (Carlsbad, CA) for Guide MY Finances on the same day
Form ADVobserved 6 days ago
3 advisors
Occurred
Jan 19, 2024
Team lift-out
3 advisors left Woodbury Financial Services, Inc. (Oakdale, MN) for LPL Financial LLC on the same day
Form ADVobserved 6 days ago
3 advisors
Occurred
Jan 19, 2024
Team lift-out
2 advisors left Woodbury Financial Services, Inc. (Mcdonough, GA) for Private Client Services, LLC on the same day
Form ADVobserved 6 days ago
2 advisors
Occurred
Jan 19, 2024
Advisor changed firm
Amanda Whitney left Woodbury Financial Services, Inc. for Guide My Finances (registered 2022-08-22)
Form ADVobserved 6 days ago
Occurred
Jan 19, 2024
Advisor changed firm
David Gwin Brooke left Woodbury Financial Services, Inc. for Private Client Services, Llc (registered 2004-07-19)
Form ADVobserved 6 days ago
Occurred
Jan 19, 2024
Advisor changed firm
Paul Charles Ragone left Woodbury Financial Services, Inc. for Private Client Services, Llc (registered 2004-08-25)
Form ADVobserved 6 days ago
Occurred
Jan 19, 2024
Advisor changed firm
Lily Fallah left Woodbury Financial Services, Inc. for Guide My Finances (registered 2023-07-11)
Form ADVobserved 6 days ago
Occurred
Jan 19, 2024
Advisor changed firm
Judy Lynn Copenbarger left Woodbury Financial Services, Inc. for Money Truth Strategic Planning (registered 2019-07-08)
Form ADVobserved 6 days ago
Occurred
Jan 19, 2024
Advisor changed firm
Diana M Leon left Woodbury Financial Services, Inc. for Lpl Financial Llc (registered 2022-06-02)
Form ADVobserved 6 days ago
Occurred
Jan 19, 2024
Advisor changed firm
Benjamin Alexander Hadel left Woodbury Financial Services, Inc. for Lpl Financial Llc (registered 2023-01-25)
Form ADVobserved 6 days ago
Occurred
Jan 19, 2024
Advisor changed firm
Sean Francis Boylan left Woodbury Financial Services, Inc. for Guide My Finances (registered 2023-01-12)
Form ADVobserved 6 days ago
Occurred
Jan 19, 2024
Advisor changed firm
Brooks David Vanderzee left Woodbury Financial Services, Inc. for United Planners' Financial Services Of America A Limited Partner (registered 2026-04-09)
Form ADVobserved 6 days ago
Occurred
Jan 19, 2024
Advisor changed firm
Edward Paul Hadel left Woodbury Financial Services, Inc. for Lpl Financial Llc (registered 2023-01-25)
Form ADVobserved 6 days ago
Occurred
Jan 19, 2024
Advisor changed firm
Jennifer Erdmann Logan left Woodbury Financial Services, Inc. for Guide My Finances (registered 2017-10-03)
Form ADVobserved 6 days ago
Occurred
Jan 19, 2024
Advisor changed firm
Andrew Paul Hadel left Woodbury Financial Services, Inc. for Lpl Financial Llc (registered 2023-01-25)
Form ADVobserved 6 days ago
Occurred
Jan 19, 2024
Advisor changed firm
Mark William Hamelmann left Woodbury Financial Services, Inc. for Circle City Wealth Advisors Llc (registered 2016-07-11)
Form ADVobserved 6 days ago
Occurred
Jan 19, 2024
Advisor changed firm
Steven Edward Markel left Woodbury Financial Services, Inc. for Private Client Services, Llc (registered 2003-08-05)
Form ADVobserved 6 days ago
Occurred
Jan 19, 2024
Advisor changed firm
Glenn Copeland Williams left Woodbury Financial Services, Inc. for Private Client Services, Llc (registered 2003-06-20)
Form ADVobserved 6 days ago
Occurred
Jan 19, 2024
Advisor departed, no destination yet
Elizabeth Anne Salmon-Osbon no longer registered at Woodbury Financial Services, Inc.; no later IA registration on IAPD
Form ADVobserved 6 days ago
Occurred
Jan 19, 2024
Advisor changed firm
James Anthony Spina left Woodbury Financial Services, Inc. for Gamble Jones Investment Counsel (registered 2009-09-09)
Form ADVobserved 6 days ago
Occurred
Jan 19, 2024
Advisor departed, no destination yet
Hal Matthew Gilbert no longer registered at Woodbury Financial Services, Inc.; no later IA registration on IAPD
Form ADVobserved 6 days ago
Occurred
Jan 19, 2024
Advisor changed firm
Todd Thomas Rechenbach left Woodbury Financial Services, Inc. for Private Client Services, Llc (registered 2004-07-19)
Form ADVobserved 6 days ago
Occurred
Jan 19, 2024
Advisor changed firm
Matthew George Shahady left Woodbury Financial Services, Inc. for Onedigital (registered 2026-01-16)
Form ADVobserved 6 days ago
Occurred
Jan 19, 2024
Advisor changed firm
Jaclyn Paige Mazur left Woodbury Financial Services, Inc. for Guide My Finances (registered 2017-10-03)
Form ADVobserved 6 days ago
Occurred
Jan 19, 2024
Advisor changed firm
David Michael Pabin left Woodbury Financial Services, Inc. for Alera Investment Advisors, Llc (registered 2025-11-04)
Form ADVobserved 6 days ago
Occurred
Jan 19, 2024
Advisor changed firm
Timothy Allen Alessi left Woodbury Financial Services, Inc. for Onedigital (registered 2026-01-06)
Form ADVobserved 6 days ago
Occurred
Jan 19, 2024
Advisor departed, no destination yet
Kevin James Anderson no longer registered at Woodbury Financial Services, Inc.; no later IA registration on IAPD
Form ADVobserved 6 days ago
Occurred
Jan 19, 2024
Advisor departed, no destination yet
Christopher Edward Elardo no longer registered at Woodbury Financial Services, Inc.; no later IA registration on IAPD
Form ADVobserved 6 days ago
Occurred
Jan 19, 2024
Advisor changed firm
Adam Louis Schwartz left Woodbury Financial Services, Inc. for Gcd Advisors, Llc (registered 2023-12-08)
Form ADVobserved 6 days ago
Occurred
Jan 19, 2024
Advisor departed, no destination yet
Richard White Chase no longer registered at Woodbury Financial Services, Inc.; no later IA registration on IAPD
Form ADVobserved 6 days ago
Occurred
Jan 5, 2024
Advisor changed firm
Joseph M Norton left Woodbury Financial Services, Inc. for Principal Securities, Inc. (registered 2024-01-06)
Form ADVobserved 6 days ago
Occurred
Jan 4, 2024
Advisor changed firm
Walter Wilson Roop left Woodbury Financial Services, Inc. for Lpl Financial Llc (registered 2024-01-04)
Form ADVobserved 6 days ago
Occurred
Dec 31, 2023
Advisor changed firm
Rafat Jadon Jadon left Woodbury Financial Services, Inc. for Regal Investment Advisors Llc (registered 2024-02-07)
Form ADVobserved 6 days ago
Occurred
Dec 31, 2023
Advisor changed firm
Andrew G Rosner left Woodbury Financial Services, Inc. for Oneamerica Securities, Inc. (registered 2024-01-02)
Form ADVobserved 6 days ago
Occurred
Dec 31, 2023
Advisor changed firm
Michael Dare left Woodbury Financial Services, Inc. for Park Avenue Securities Llc (registered 2024-02-05)
Form ADVobserved 6 days ago
Occurred
Dec 21, 2023
Control person left
Cynthia Ann Hamel (Evp, Chief Operations Officer) no longer on Schedule A of Woodbury Financial Services, Inc. (listed 2023-12-13, absent 2023-12-21)
Form ADVobserved 6 days ago
Occurred
Dec 21, 2023
Control person joined
Timothy Robert Hodge (Chief Operations Officer) appeared on Schedule A of Woodbury Financial Services, Inc.
Form ADVobserved 6 days ago
Occurred
Dec 13, 2023
Team lift-out
4 advisors left Woodbury Financial Services, Inc. (Scottsdale, AZ) for Cadaret Grant & CO Inc on the same day
Form ADVobserved 6 days ago
4 advisors

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ed6152ad-31cc-56f4-aa1a-cd9390c53c41
First observed: Jan 27, 2012
Last observed: Jan 19, 2024 32 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.

WOODBURY FINANCIAL SERVICES, INC.

CRD 421

OAKDALE, MN

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:ed6152ad-31cc-56f4-aa1a-cd9390c53c41

Data as of Jan 19, 2024 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:41 PM UTC 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

yes

05/2019

Jun 26, 2020

Jan 19, 2024

AG ARTEMIS HOLDINGS, L.P.

Shareholder

yes

08/2019

Jun 22, 2022

Jan 19, 2024

AG INTERMEDIATE CORPORATION

Shareholder

yes

05/2020

Aug 30, 2019

Jan 19, 2024

AG PARENT CORPORATION

Shareholder

yes

08/2019

Aug 30, 2019

Jan 19, 2024

BERLINSKI, MILTON RALPH

Member

yes

08/2014

Jun 26, 2020

Jan 19, 2024

BERLINSKI, MILTON RALPH

GENERAL PARTNER

yes

08/2014

Jun 26, 2020

Jan 19, 2024

BERLINSKI, MILTON RALPH

Trustee

yes

06/2006

Jun 26, 2020

Jan 19, 2024

BERLINSKI, MILTON RALPH

INVESTMENT MANAGER

yes

08/2014

Jun 26, 2020

Jan 19, 2024

CORNICK, GREGORY ALLEN

Director

yes

01/2021

Mar 30, 2021

Jan 19, 2024

FERGESEN, RICHARD DAVID

CEO, PRESIDENT, DIRECTOR

yes

03/2014

Jan 27, 2012

Jan 19, 2024

HODGE, TIMOTHY ROBERT

CHIEF OPERATIONS OFFICER

yes

11/2023

Dec 21, 2023

Jan 19, 2024

MRB ICBC LLC

Member

yes

08/2014

Jun 26, 2020

Jan 19, 2024

OSAIC FINANCIAL SERVICES, INC.

Shareholder

yes

05/2020

Jul 21, 2023

Jan 19, 2024

OSAIC HOLDINGS, INC.

Shareholder

yes

05/2016

Jul 21, 2023

Jan 19, 2024

OSAIC, INC.

Shareholder

yes

11/2012

Jul 21, 2023

Jan 19, 2024

PRICE, JAMES DALE

Chairman

yes

11/2016

Mar 27, 2019

Jan 19, 2024

RCP ARTEMIS CO-INVEST GP LLC

GENERAL PARTNER

yes

05/2019

Jun 26, 2020

Jan 19, 2024

RCP ARTEMIS CO-INVEST, L.P.

LIMITED PARTNER

yes

08/2019

Aug 30, 2019

Jan 19, 2024

RCP GENPAR HOLDCO LLC

LIMITED PARTNER

yes

08/2014

Jun 26, 2020

Jan 19, 2024

RCP GENPAR LP

LIMITED PARTNER

yes

01/2018

Jun 26, 2020

Jan 19, 2024

RCP OPP FUND II GP, LP

LIMITED PARTNER

yes

01/2018

Jun 26, 2020

Jan 19, 2024

SCHLUETER, MATTHEW ADAM

EXECUTIVE VICE PRESIDENT, DIRECTOR

yes

03/2019

Jan 9, 2014

Jan 19, 2024

THE BERLINSKI FAMILY 2006 TRUST

Member

yes

08/2014

Jun 26, 2020

Jan 19, 2024

COONEY, JOHN MICHAEL

SVP, CHIEF COMPLIANCE OFFICER

09/2023

Dec 13, 2023

Jan 19, 2024

GERB, JASON

SVP, CHIEF REGULATORY OFFICER

06/2022

Jun 22, 2022

Jan 19, 2024

NORTHRIP, IRYNA YAKOVLEVNA

SVP, CHIEF COMPLIANCE OFFICER,

08/2023

Aug 21, 2023

Jan 19, 2024

SCHMIDT, DAVID MARTIN

TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL

03/2017

Apr 12, 2017

Jan 19, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

OSAIC WEALTH, INC.

n/a

Bd affiliated wealth

$235B

yes

n/a

SECURITIES AMERICA ADVISORS, INC.

n/a

Former SEC adviser

$40B

yes

n/a

TRIAD HYBRID SOLUTIONS, LLC

n/a

Bd affiliated wealth

$15B

yes

n/a

AMERICAN PORTFOLIOS ADVISORS. INC

n/a

Former SEC adviser

$13B

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

OSAIC INSTITUTIONS, INC.

n/a

Bd affiliated wealth

$6.5B

yes

n/a

TRIAD ADVISORS, LLC

n/a

Former SEC adviser

$1.1B

yes

n/a

BLACK DIAMOND FINANCIAL, LLC

n/a

Independent wealth

$441M

yes

n/a

VISION2020 WEALTH MANAGEMENT CORP.

n/a

No RAUM reported

yes

n/a

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

n/a

yes

n/a

HIGHLAND CAPITAL BROKERAGE

n/a

yes

n/a

LADENBURG THALMANN & CO. INC.

n/a

yes

n/a

PREMIER TRUST, INC.

n/a

yes

n/a

SECURITIES AMERICA, INC.

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Brookfield

United States

yes

OAKBROOK TERRACE

United States

yes

Warrenville

United States

yes

Minnetonka

United States

yes

Charlotte

United States

yes

FOND DU LAC

United States

yes

COSTA MESA

United States

yes

Houston

United States

yes

Carmel

United States

yes

Woodbury

United States

yes

Greensboro

United States

yes

DE PERE

United States

yes

GREENWOOD VILLAGE

United States

yes

EAST PEORIA

United States

yes

Brighton

United States

yes

Oakdale

United States

yes

Manhasset

United States

yes

Manhasset

United States

yes

JOHNSON CITY

United States

yes

Phoenix

United States

yes

DIAMOND BAR

United States

yes

Roseville

United States

yes

SAN DIEGO

United States

yes

YORBA LINDA

United States

yes

Olney

United States

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2022

Apr 3, 2023

$19B

$16B

3,002

1,373

1,038

n/a

2021

Mar 31, 2022

$21B

$18B

3,216

1,291

837

n/a

2020

Mar 30, 2021

$16B

$12B

3,008

1,279

833

n/a

2019

Mar 30, 2020

$12B

$8.6B

2,257

1,277

834

n/a

2018

Mar 28, 2019

$7.6B

$3.7B

1,925

947

634

n/a

2017

Mar 29, 2018

$5.7B

$2.8B

1,945

947

590

n/a

2016

Mar 30, 2017

$3.3B

$1.2B

1,527

830

n/a

2015

Jan 27, 2016

$2.5B

$606M

1,674

843

n/a

2014

Mar 31, 2015

$2.3B

$404M

1,580

1,160

n/a

2013

Mar 31, 2014

$2.2B

$111M

1,445

1,145

n/a

2012

Apr 1, 2013

$1.6B

$94.0M

1,525

850

n/a

2011

Mar 30, 2012

$1.8B

$47.6M

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

$19B

$21B

-9.7%

$12B

18.4%

3,002

3,216

1,038

837

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

PRIVATE CLIENT SERVICES, LLC

Jan 19, 2024

Aug 5, 2003

MCDONOUGH, GA

Team lift out

Ibd to ibd

0.2%

PRIVATE CLIENT SERVICES, LLC

Jan 19, 2024

Aug 25, 2004

KNOXVILLE, TN

Team lift out

Ibd to ibd

0.2%

GUIDE MY FINANCES

Jan 19, 2024

Jul 11, 2023

CARLSBAD, CA

Team lift out

Ibd to state RIA

0.2%

GUIDE MY FINANCES

Jan 19, 2024

Jan 12, 2023

OAKDALE, MN

Team lift out

Ibd to state RIA

0.2%

LPL FINANCIAL LLC

Jan 19, 2024

Jan 25, 2023

OAKDALE, MN

Team lift out

Ibd to ibd

0.2%

CADARET GRANT & CO INC

Dec 13, 2023

Dec 12, 2023

SCOTTSDALE, AZ

Team lift out

Ibd to ibd

0.3%

CADARET GRANT & CO INC

Dec 13, 2023

Dec 11, 2023

MCKINNEY, TX

Team lift out

Ibd to ibd

0.2%

LPL FINANCIAL LLC

Dec 12, 2023

Dec 8, 2023

OAKDALE, MN

Team lift out

Ibd to ibd

0.2%

KESTRA ADVISORY SERVICES, LLC

Nov 29, 2023

Nov 27, 2023

CHESTERFIELD, MO

Team lift out

Ibd to ibd

0.2%

CETERA INVESTMENT ADVISERS LLC

Nov 21, 2023

Nov 22, 2023

PEORIA, AZ

Team lift out

Ibd to ibd

0.2%

RAYMOND JAMES & ASSOCIATES, INC.

Nov 20, 2023

Nov 22, 2023

ISSAQUAH, WA

Team lift out

Ibd to ibd

0.2%

CWM, LLC

Nov 1, 2023

Oct 31, 2023

MILTON, GA

Team lift out

Ibd to ibd

0.2%

LPL FINANCIAL LLC

Oct 30, 2023

Oct 26, 2023

ISSAQUAH, WA

Team lift out

Ibd to ibd

0.2%

LPL FINANCIAL LLC

Oct 17, 2023

Oct 30, 2023

WICHITA FALLS, TX

Team lift out

Ibd to ibd

0.2%

LPL FINANCIAL LLC

Oct 2, 2023

Oct 1, 2023

SETUAKET, NY

Team lift out

Ibd to ibd

0.2%

KESTRA ADVISORY SERVICES, LLC

Aug 3, 2023

Aug 2, 2023

NORTH RICHLAND HILLS, TX

Team lift out

Ibd to ibd

0.2%

MERIT FINANCIAL ADVISORS

Jun 13, 2023

Jun 12, 2023

WEST BEND, WI

Team lift out

Ibd to RIA

0.2%

LPL FINANCIAL LLC

May 30, 2023

May 26, 2023

GREENWOOD VILLAGE, CO

Team lift out

Ibd to ibd

0.2%

J. W. COLE ADVISORS, INC.

May 16, 2023

May 24, 2023

OAKVILLE, CT

Team lift out

Ibd to ibd

0.1%

GROVE POINT ADVISORS, LLC

Feb 13, 2023

Feb 16, 2023

BELLEVUE, WA

Team lift out

Ibd to ibd

0.2%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

FSC SECURITIES CORPORATION

Nov 3, 2023

Jan 4, 2022

ST PETERSBURG, FL

Channel change

Ibd to ibd

0.4%

FSC SECURITIES CORPORATION

Nov 3, 2023

Nov 22, 2021

ATLANTA, GA

Channel change

Ibd to ibd

3.8%

SAGEPOINT FINANCIAL, INC.

Sep 1, 2023

Nov 9, 2016

SCOTTSDALE, AZ

Channel change

Ibd to ibd

0.2%

CETERA ADVISORS LLC

Jun 23, 2023

Jun 21, 2023

OKLAHOMA CITY, OK

Team lift out

Ibd to ibd

1.1%

SECURIAN FINANCIAL SERVICES, INC.

Mar 6, 2023

SOUTHFIELD, MI

Team lift out

RIA to ibd

0.2%

MML INVESTORS SERVICES, LLC

Dec 6, 2022

Nov 22, 2022

MERIDIAN, ID

Team lift out

Ibd to ibd

0.0%

CETERA ADVISORS LLC

Nov 30, 2022

OVERLAND PARK, KS

Team lift out

Ibd to ibd

1.1%

ON INVESTMENT MANAGEMENT CO

Nov 18, 2022

Nov 17, 2022

WICHITA, KS

Team lift out

Ibd to ibd

0.8%

CETERA ADVISOR NETWORKS LLC

Nov 16, 2022

COLUMBUS, OH

Team lift out

Ibd to ibd

0.4%

CETERA INVESTMENT ADVISERS LLC

Sep 7, 2022

SUN PRAIRIE, WI

Team lift out

Ibd to ibd

0.1%

EAGLE STRATEGIES LLC

Jun 3, 2022

Jun 1, 2022

WICHITA, KS

Team lift out

Ibd to ibd

0.1%

GROVE POINT ADVISORS, LLC

May 6, 2022

May 10, 2022

ROCKVILLE, MD

Team lift out

Ibd to ibd

0.7%

SECURITIES AMERICA ADVISORS, INC.

May 2, 2022

VASHON ISLAND, WA

Channel change

Ibd to ibd

0.2%

CETERA INVESTMENT ADVISERS LLC

Dec 10, 2021

MARSHFIELD, WI

Team lift out

Ibd to ibd

0.1%

FIRST HEARTLAND CONSULTANTS, INC.

Sep 3, 2021

OVERLAND PARK, KS

Team lift out

Ibd to ibd

2.4%

OSAIC WEALTH, INC.

Apr 6, 2021

Dec 13, 2018

SCOTTSDALE, AZ

Channel change

Ibd to ibd

0.1%

RAYMOND JAMES & ASSOCIATES, INC.

Mar 26, 2021

Mar 22, 2021

PORTLAND, IN

Team lift out

Ibd to ibd

0.1%

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Mar 22, 2021

Mar 16, 2021

EAU CLAIRE, WI

Team lift out

Ibd to ibd

0.1%

PRUCO SECURITIES, LLC

Mar 18, 2021

Mar 25, 2021

OMAHA, NE

Team lift out

Ibd to ibd

0.1%

MML INVESTORS SERVICES, LLC

Nov 30, 2020

REDWOOD CITY, CA

Team lift out

Ibd to ibd

0.1%