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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

BLACKRIDGE ASSET MANAGEMENT, LLC

CRD 277085

JUPITER, FL

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:f54aadfb-1e48-4767-102f-1821237a982e

Data as of May 18, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:31 AM UTC and rebuilt at most every 15 minutes.

Relationships: 134
Dated events: 40
On other graphs: 0
Observed: Aug 26, 2015 to May 18, 2026
84 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: independent wealth managerderivedprivate_client_share=0.97 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=49.0
Regulatory AUM: $370MItem 5.F on the latest filing (2026-05-18); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $310M
Private client RAUM: $359MderivedItem 5.D individuals plus high net worth individuals
Private client share: 97%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 70
RAUM per advisor: $5.3Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 72
Advisory employees: 67
Offices: 60Schedule D 1.F, beyond the principal office
Accounts: 1,529
Individual clients: 978
High net worth clients: 524
SEC number: 801-108114
CRD: 277085
Filings on the tape: 84
First filed: Aug 26, 2015
Latest filed: May 18, 2026
Organised: Limited Liability Company, FL

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first; showing 25 of 68

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
DENISE J NOSTROM	n/a	JUPITER, FL \| Medford, NY	10	35	2	yes
BRIAN LEE BREISINGER	n/a	JUPITER, FL \| Pittsburgh, PA	10	26	1	no
DAVID CHRISTOPHER MALONE	n/a	St. Louis, MO	10	23	3	yes
JEFFREY ROBERT BORON	n/a	JUPITER, FL	10	23	3	yes
DENNIS BIAGIO PELLEGRINI	n/a	Wyomissing, PA	10	34	1	yes
BRYAN KEITH KAARLSEN	n/a	San Antonio, TX	10	26	4	yes
NATHAN RAMOS	n/a	Miami, FL	9	13	1	yes
JAMES DALE KRAATZ	n/a	JUPITER, FL \| Shelby Township, MI	9	35	3	yes
STACY ANN CALDER	n/a	JUPITER, FL \| Shelby Township, MI	9	25	3	yes
ROBERT RICHARD LAURO	n/a	JUPITER, FL \| PITTSBURG, PA	9	30	n/a	yes
DENNY ARTACHE	n/a	Port ST Lucie, FL	9	31	6	yes
DION REY PADILLA	n/a	San Antonio, TX	9	25	3	no
KATHLEEN M DONNELLY	n/a	JUPITER, FL \| Tierra Verde, FL	9	28	3	yes
SCOTT ALAN TANKER	Chartered Financial Consultant	JUPITER, FL \| Mt. Laurel, NJ	9	34	4	yes
CHERYL ANN CIAGLIA	n/a	Sarasota, FL \| JUPITER, FL	8	41	2	yes
KENNETH LOWELL COOK	n/a	Bryan, TX \| JUPITER, FL	8	41	6	yes
KEVIN Bradford GEIGER	n/a	Daniel Island, SC \| JUPITER, FL \| Schaumburg, IL \| St Petersburg, FL	8	15	5	yes
ANTHONY SCOTT DIETRICH	n/a	JUPITER, FL \| Gainesville, VA	8	30	1	no
OMAR RASMI SHALABI	Certified Financial Planner	Columbia, SC \| JUPITER, FL	8	29	2	yes
Ernesto Guadalupe Mendoza	n/a	El Paso, TX	7	12	2	yes
SCOT BRIAN AHEARN	n/a	JUPITER, FL \| Pittston, PA	7	39	3	yes
TONYA LEE COOPER	n/a	JUPITER, FL \| Gainesville, FL	7	18	1	yes
CHARLES A MASSIE	Certified Financial Planner	Fort Myers, FL \| JUPITER, FL	7	29	1	yes
WILLIAM ALLIE HURLEY	n/a	Ann Arbor, MI \| JUPITER, FL	7	27	3	yes
GEHAD MOHAMED YOUSSEF	n/a	Maumee, OH \| JUPITER, FL	7	33	2	yes

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
Mueller, Christopher, Brian	CHIEF OPERATIONS OFFICER	Na	yes	03/2023	Mar 8, 2023	May 23, 2024
PEAK REPS, LLC	HOLDING COMPANY	E	yes	05/2015	Aug 26, 2015	May 23, 2024
Phillips, David, Levert	CHIEF INFORMATION SECURITY OFFICER	Na	yes	02/2023	Mar 8, 2023	May 23, 2024
Reynolds, Matthew, Mark	CHIEF COMPLIANCE OFFICER	Na	yes	01/2023	Jan 31, 2023	May 23, 2024
Rudnick, Regina, Mary	PRESIDENT/CHIEF EXECUTIVE OFFICER	Na	yes	02/2023	Mar 8, 2023	May 23, 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
PEAK BROKERAGE SERVICES, LLC	n/a	n/a	n/a	N	no	n/a
TOP ADVISORS GROUP	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
Pittsburgh	Pa	United States	4	no
SHELBY TOWNSHIP	Mi	United States	2	no
Williamsville	NY	United States	2	no
SAN ANTONIO	TX	United States	2	no
SAN ANTONIO	TX	United States	2	no
n/a	n/a	n/a	2	no
BOCA RATON	FL	United States	1	no
FORT MYERS	FL	United States	1	no
Melbourne	FL	United States	1	no
Burlington	Ma	United States	1	no
ANN ARBOR	Mi	United States	1	no
ST. LOUIS	Mo	United States	1	no
MAPLE SHADE	Nj	United States	1	no
Williamsville	NY	United States	1	no
Williamsville	NY	United States	1	no
Sherwood	Or	United States	1	no
Wyomissing	Pa	United States	1	no
EDISTO ISLAND	Sc	United States	1	no
MOUNT PLEASANT	Sc	United States	1	no
FORT WORTH	TX	United States	1	no
Gainesville	Va	United States	1	no

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; showing 10 of 11

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Apr 6, 2026	$197M	$182M	59	59	60	n/a	n/a
2024	Apr 1, 2025	$197M	$182M	59	59	60	n/a	n/a
2023	Mar 28, 2024	$187M	$172M	80	80	61	n/a	n/a
2022	Mar 31, 2023	$143M	$140M	80	80	61	n/a	n/a
2021	Mar 25, 2022	$709M	$704M	80	80	61	n/a	n/a
2020	Mar 26, 2021	$242M	$242M	80	75	40	n/a	n/a
2019	Apr 30, 2020	$178M	$178M	65	53	40	n/a	n/a
2018	Mar 27, 2019	$54.2M	$54.2M	46	40	19	n/a	n/a
2017	Jan 26, 2018	$28.9M	$28.9M	35	33	19	n/a	n/a
2016	Mar 27, 2017	$10.9M	$10.9M	4	3	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
6	4	2	5.7%	1	2	0	22	22

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
2025	$370M	$197M	88.1%	$143M	37.5%	72	59	60	60

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
COUNTRYSIDE FINANCIAL LLC	3	Sep 2, 2025	Aug 5, 2025	JUPITER, FL	Team lift out	Ibd to new firm	4.3%
INDEPENDENT SOLUTIONS WEALTH MANAGEMENT, LLC	3	Jan 6, 2025	Jan 8, 2025	JUPITER, FL	Team lift out	Ibd to RIA	4.5%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
DEMPSEY LORD SMITH, LLC	2	Jan 21, 2026	May 26, 2026	ROME, GA	Team lift out	RIA to ibd	4.4%
CHEVIOT VALUE MANAGEMENT, LLC	2	Jul 23, 2025	Jul 29, 2025	BEVERLY HILLS, CA	Team lift out	RIA to ibd	25.0%
GOLD COAST SECURITIES, INC.	3	May 31, 2024	Jan 1, 2025	BURBANK, CA	Team lift out	Other	30.0%
GWN SECURITIES INC.	2	Aug 2, 2019	Nov 26, 2019	WESTON, FL	Team lift out	Ibd to RIA	0.7%
NEXT FINANCIAL GROUP, INC.	2	Feb 22, 2017	May 10, 2017	SAN ANTONIO, TX	Team lift out	Other	0.6%

Relationships

showing 80 of 134

Registered with (76)

← ANDREW STEPHEN RODGERSAdvisorregistration: current employment
May 26, 2026 to presentfactForm ADV
← Zachary Chapman GerrellsAdvisorregistration: current employment
May 26, 2026 to presentfactForm ADV
← Ellis Charles ReginiAdvisorregistration: current employment
Apr 21, 2026 to presentfactForm ADV
← TIMOTHY MICHAEL ECKELAdvisorregistration: current employment
Jan 7, 2026 to presentfactForm ADV
← MICHAEL ANTHONY SPERRAZZAAdvisorregistration: current employment
Dec 10, 2025 to presentfactForm ADV
← Christian Gabriel TaylorAdvisorregistration: current employment
Oct 27, 2025 to presentfactForm ADV
← JAMES GORDON DURSOAdvisorregistration: current employment
Aug 11, 2025 to presentfactForm ADV
← JANICE ANN WEBB LAVINAdvisorregistration: current employment
Aug 5, 2025 to presentfactForm ADV
← LINDA MICHELLE SHERMANAdvisorregistration: current employment
Jul 29, 2025 to presentfactForm ADV
← JOY PREFER COHENAdvisorregistration: current employment
Jul 29, 2025 to presentfactForm ADV
← ALEXANDER JACKSON LONGAdvisorregistration: current employment
Apr 4, 2025 to presentfactForm ADV
← KAREN Le'Ellen COKERAdvisorregistration: current employment
Feb 24, 2025 to presentfactForm ADV
← PETER APOSTOLOS KOTOSAdvisorregistration: current employment
Jan 7, 2025 to presentfactForm ADV
← LISABETH MORGAN SCHILLERAdvisorregistration: current employment
Jan 1, 2025 to presentfactForm ADV
← Kevin Ray ChancellorAdvisorregistration: current employment
Jan 1, 2025 to presentfactForm ADV
← Matthew Mark ReynoldsAdvisorregistration: current employment
Sep 26, 2024 to presentfactForm ADV
← Brian Joseph DobischAdvisorregistration: current employment
Sep 6, 2024 to presentfactForm ADV
← OLEG KATRIKHAdvisorregistration: current employment
Jun 3, 2024 to presentfactForm ADV
← PATRICK STEVEN SELWAYAdvisorregistration: current employment
Jun 3, 2024 to presentfactForm ADV
← DENNIS P OCONNORAdvisorregistration: current employment
Nov 27, 2023 to presentfactForm ADV
← GREGORY LOUIS SCHORPAdvisorregistration: current employment
Oct 11, 2023 to presentfactForm ADV
← TERRA LYNNE HOWARDAdvisorregistration: current employment
Aug 17, 2023 to presentfactForm ADV
← THOMAS WAYNE MEISSNERAdvisorregistration: current employment
Jul 7, 2023 to presentfactForm ADV
← Amy Elizabeth EmeryAdvisorregistration: current employment
Mar 7, 2023 to presentfactForm ADV
← FRANK GIGUEREAdvisorregistration: current employment
Dec 8, 2022 to presentfactForm ADV
← Sean W CoffeyAdvisorregistration: current employment
Aug 29, 2022 to presentfactForm ADV
← Joseph Louis SchruttAdvisorregistration: current employment
Aug 15, 2022 to presentfactForm ADV
← CHARMAINE VALOIS KAESAdvisorregistration: current employment
Mar 25, 2022 to presentfactForm ADV
← CHARLES MARC WILNERAdvisorregistration: current employment
Jan 28, 2022 to presentfactForm ADV
← CHRISTINA M. HANDAdvisorregistration: current employment
Oct 4, 2021 to presentfactForm ADV
and 46 more

Affiliated with (3)

← QUINCY WELLS ADVISORS, LLCRegistered adviserother investment adviser
factForm ADV
← INDEPENDENT SOLUTIONS WEALTH MANAGEMENT, LLCRegistered adviserother investment adviser, common control
factForm ADV
← TRUEDGE ASSET MANAGEMENT LLCRegistered adviserother investment adviser
factForm ADV

Moved with (1)

← DEMPSEY LORD SMITH, LLCRegistered adviser2 advisors, team lift out, same day
Jan 21, 2026 to May 26, 2026factForm ADV

Dated events

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

Occurred
Sep 9, 2026
Advisor changed firm
Richard A Fertig left Blackridge Asset Management, Llc for Blue Monarch Financial Inc. (registered 2026-09-08)
Form ADVobserved 6 days ago
Occurred
Sep 4, 2026
Advisor changed firm
Jason Allen Stewart left Blackridge Asset Management, Llc for Independent Solutions Wealth Management, Llc (registered 2025-12-18)
Form ADVobserved 6 days ago
Occurred
May 18, 2026
Regulatory AUM changed
Blackridge Asset Management, Llc reported RAUM $370.3M, up 88% from $196.8M (2026-04-06 to 2026-05-18)
Form ADVobserved 6 days ago
$173M
Occurred
May 18, 2026
Advisor headcount changed
Blackridge Asset Management, Llc reported 72 state-registered advisory representatives, up from 59 (2026-04-06 to 2026-05-18)
Form ADVobserved 6 days ago
13 IARS
Occurred
May 13, 2026
Advisor changed firm
James Anthony Cook left Blackridge Asset Management, Llc for Independent Solutions Wealth Management, Llc (registered 2026-06-18)
Form ADVobserved 6 days ago
Occurred
Feb 3, 2026
Advisor changed firm
Brittney A Broich left Blackridge Asset Management, Llc for Planmember Securities Corporation (registered 2026-01-29)
Form ADVobserved 6 days ago
Occurred
Jan 21, 2026
Team lift-out
2 advisors left Dempsey Lord Smith, LLC (Rome, GA) for Blackridge Asset Management, LLC on the same day
Form ADVobserved 6 days ago
2 advisors
Occurred
Sep 2, 2025
Team lift-out
3 advisors left Blackridge Asset Management, LLC (Jupiter, FL) for Countryside Financial LLC on the same day
Form ADVobserved 6 days ago
3 advisors
Occurred
Sep 2, 2025
Advisor changed firm
Patrick D Sheelar left Blackridge Asset Management, Llc for Countryside Financial Llc (registered 2025-08-05)
Form ADVobserved 6 days ago
Occurred
Sep 2, 2025
Advisor changed firm
Trevor Cahill left Blackridge Asset Management, Llc for Countryside Financial Llc (registered 2025-08-05)
Form ADVobserved 6 days ago
Occurred
Sep 2, 2025
Advisor changed firm
Abbey Gwin left Blackridge Asset Management, Llc for Countryside Financial Llc (registered 2025-08-05)
Form ADVobserved 6 days ago
Occurred
Jul 23, 2025
Team lift-out
2 advisors left Cheviot Value Management, LLC (Beverly Hills, CA) for Blackridge Asset Management, LLC on the same day
Form ADVobserved 6 days ago
2 advisors
Occurred
Mar 21, 2025
Advisor changed firm
Ricardo Eduardo Harmsen left Blackridge Asset Management, Llc for Kingswood Wealth Advisors, Llc (registered 2025-02-28)
Form ADVobserved 6 days ago
Occurred
Jan 23, 2025
Advisor changed firm
Stephen Francis Grisko left Blackridge Asset Management, Llc for Independent Solutions Wealth Management, Llc (registered 2025-01-24)
Form ADVobserved 6 days ago
Occurred
Jan 7, 2025
Advisor changed firm
Rohn Harrison Pierce left Blackridge Asset Management, Llc for Independent Solutions Wealth Management, Llc (registered 2025-01-08)
Form ADVobserved 6 days ago
Occurred
Jan 6, 2025
Team lift-out
3 advisors left Blackridge Asset Management, LLC (Jupiter, FL) for Independent Solutions Wealth Management, LLC a day apart
Form ADVobserved 6 days ago
3 advisors
Occurred
Jan 6, 2025
Advisor changed firm
Ronald J Waskow left Blackridge Asset Management, Llc for Independent Solutions Wealth Management, Llc (registered 2025-01-06)
Form ADVobserved 6 days ago
Occurred
Jan 6, 2025
Advisor changed firm
Michael Richard Shaver left Blackridge Asset Management, Llc for Independent Solutions Wealth Management, Llc (registered 2025-01-06)
Form ADVobserved 6 days ago
Occurred
Aug 27, 2024
Advisor changed firm
Jeanne L Hill left Blackridge Asset Management, Llc for Harvest Portfolio Management, Llc (registered 2024-08-20)
Form ADVobserved 6 days ago
Occurred
Aug 23, 2024
Advisor changed firm
Michael Sean Primo left Blackridge Asset Management, Llc for Dempsey Lord Smith, Llc (registered 2024-08-26)
Form ADVobserved 6 days ago
Occurred
Aug 14, 2024
Advisor changed firm
Russell Owen left Blackridge Asset Management, Llc for Gray Lake Advisors (registered 2024-10-30)
Form ADVobserved 6 days ago
Occurred
Jun 6, 2024
Advisor changed firm
Itziar Ramos left Blackridge Asset Management, Llc for Tlg Advisors, Inc. (registered 2026-01-05)
Form ADVobserved 6 days ago
Occurred
May 31, 2024
Team lift-out
3 advisors left Gold Coast Securities, Inc. (Burbank, CA) for Blackridge Asset Management, LLC on the same day
Form ADVobserved 6 days ago
3 advisors
Occurred
Mar 20, 2024
Advisor changed firm
Joshua Jon Perkins left Blackridge Asset Management, Llc for Dewitt And Dunn Financial Services, Llc (registered 2024-01-23)
Form ADVobserved 6 days ago
Occurred
Nov 7, 2023
Advisor changed firm
David Jason Smith left Blackridge Asset Management, Llc for Osaic Wealth, Inc. (registered 2024-12-05)
Form ADVobserved 6 days ago
Occurred
Oct 12, 2023
Advisor changed firm
Gianna Mary Campo left Blackridge Asset Management, Llc for Sound Income Strategies, Llc (registered 2025-03-03)
Form ADVobserved 6 days ago
Occurred
Oct 6, 2023
Advisor changed firm
Joseph Henry Lux left Blackridge Asset Management, Llc for Gradient Advisors, Llc (registered 2024-08-07)
Form ADVobserved 6 days ago
Occurred
Oct 6, 2023
Advisor changed firm
Norman Stanley Batansky left Blackridge Asset Management, Llc for Independence Square Holdings, Llc (registered 2026-01-01)
Form ADVobserved 6 days ago
Occurred
Sep 20, 2023
Advisor changed firm
Theodore Edward Greggis left Blackridge Asset Management, Llc for Private Client Services, Llc (registered 2023-10-31)
Form ADVobserved 6 days ago
Occurred
Sep 13, 2023
Advisor changed firm
William Lawrence Curry left Blackridge Asset Management, Llc for Alexander Capital Wealth Management Llc (registered 2023-09-13)
Form ADVobserved 6 days ago
Occurred
Aug 31, 2023
Advisor changed firm
Russell E Gaiser left Blackridge Asset Management, Llc for Independent Solutions Wealth Management, Llc (registered 2023-08-31)
Form ADVobserved 6 days ago
Occurred
Jun 28, 2023
Advisor changed firm
Michael Frederick Bien left Blackridge Asset Management, Llc for Independent Solutions Wealth Management, Llc (registered 2023-06-27)
Form ADVobserved 6 days ago
Occurred
Mar 31, 2023
Regulatory AUM changed
Blackridge Asset Management, Llc reported RAUM $142.6M, down 80% from $709.5M (2023-03-08 to 2023-03-31)
Form ADVobserved 6 days ago
$-567M
Occurred
Mar 8, 2023
Control person joined
Mary Regina Rudnick (President/Chief Executive Officer) appeared on Schedule A of Blackridge Asset Management, Llc
Form ADVobserved 6 days ago
Occurred
Mar 8, 2023
Control person joined
Levert David Phillips (Chief Information Security Officer) appeared on Schedule A of Blackridge Asset Management, Llc
Form ADVobserved 6 days ago
Occurred
Mar 8, 2023
Control person joined
Brian Christopher Mueller (Chief Operations Officer) appeared on Schedule A of Blackridge Asset Management, Llc
Form ADVobserved 6 days ago
Occurred
Mar 8, 2023
Control person left
Allan Matt Myers (President/Chief Executive Officer) no longer on Schedule A of Blackridge Asset Management, Llc (listed 2023-02-14, absent 2023-03-08)
Form ADVobserved 6 days ago
Occurred
Mar 8, 2023
Control person left
N Shon Girdhari (Chief Information Security Officer) no longer on Schedule A of Blackridge Asset Management, Llc (listed 2023-02-14, absent 2023-03-08)
Form ADVobserved 6 days ago

Show 2 bookkeeping events

Occurred
Sep 15, 2026
Malachi Cattanach registered as an investment adviser representative at Blackridge Asset Management, Llc
Occurred
Apr 1, 2025
Blackridge Asset Management, Llc reported 59 state-registered advisory representatives, down from 80 (2025-02-14 to 2025-04-01)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f54aadfb-1e48-4767-102f-1821237a982e
First observed: Aug 26, 2015
Last observed: May 18, 2026 4 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.

BLACKRIDGE ASSET MANAGEMENT, LLC

CRD 277085

JUPITER, FL

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:f54aadfb-1e48-4767-102f-1821237a982e

Data as of May 18, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:31 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

DENISE J NOSTROM

n/a

JUPITER, FL | Medford, NY

yes

BRIAN LEE BREISINGER

n/a

JUPITER, FL | Pittsburgh, PA

DAVID CHRISTOPHER MALONE

n/a

St. Louis, MO

yes

JEFFREY ROBERT BORON

n/a

JUPITER, FL

yes

DENNIS BIAGIO PELLEGRINI

n/a

Wyomissing, PA

yes

BRYAN KEITH KAARLSEN

n/a

San Antonio, TX

yes

NATHAN RAMOS

n/a

Miami, FL

yes

JAMES DALE KRAATZ

n/a

JUPITER, FL | Shelby Township, MI

yes

STACY ANN CALDER

n/a

JUPITER, FL | Shelby Township, MI

yes

ROBERT RICHARD LAURO

n/a

JUPITER, FL | PITTSBURG, PA

n/a

yes

DENNY ARTACHE

n/a

Port ST Lucie, FL

yes

DION REY PADILLA

n/a

San Antonio, TX

KATHLEEN M DONNELLY

n/a

JUPITER, FL | Tierra Verde, FL

yes

SCOTT ALAN TANKER

Chartered Financial Consultant

JUPITER, FL | Mt. Laurel, NJ

yes

CHERYL ANN CIAGLIA

n/a

Sarasota, FL | JUPITER, FL

yes

KENNETH LOWELL COOK

n/a

Bryan, TX | JUPITER, FL

yes

KEVIN Bradford GEIGER

n/a

Daniel Island, SC | JUPITER, FL | Schaumburg, IL | St Petersburg, FL

yes

ANTHONY SCOTT DIETRICH

n/a

JUPITER, FL | Gainesville, VA

OMAR RASMI SHALABI

Certified Financial Planner

Columbia, SC | JUPITER, FL

yes

Ernesto Guadalupe Mendoza

n/a

El Paso, TX

yes

SCOT BRIAN AHEARN

n/a

JUPITER, FL | Pittston, PA

yes

TONYA LEE COOPER

n/a

JUPITER, FL | Gainesville, FL

yes

CHARLES A MASSIE

Certified Financial Planner

Fort Myers, FL | JUPITER, FL

yes

WILLIAM ALLIE HURLEY

n/a

Ann Arbor, MI | JUPITER, FL

yes

GEHAD MOHAMED YOUSSEF

n/a

Maumee, OH | JUPITER, FL

yes

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

Mueller, Christopher, Brian

CHIEF OPERATIONS OFFICER

yes

03/2023

Mar 8, 2023

May 23, 2024

PEAK REPS, LLC

HOLDING COMPANY

yes

05/2015

Aug 26, 2015

May 23, 2024

Phillips, David, Levert

CHIEF INFORMATION SECURITY OFFICER

yes

02/2023

Mar 8, 2023

May 23, 2024

Reynolds, Matthew, Mark

CHIEF COMPLIANCE OFFICER

yes

01/2023

Jan 31, 2023

May 23, 2024

Rudnick, Regina, Mary

PRESIDENT/CHIEF EXECUTIVE OFFICER

yes

02/2023

Mar 8, 2023

May 23, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

PEAK BROKERAGE SERVICES, LLC

n/a

TOP ADVISORS GROUP

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Pittsburgh

United States

SHELBY TOWNSHIP

United States

Williamsville

United States

SAN ANTONIO

United States

SAN ANTONIO

United States

n/a

BOCA RATON

United States

FORT MYERS

United States

Melbourne

United States

Burlington

United States

ANN ARBOR

United States

ST. LOUIS

United States

MAPLE SHADE

United States

Williamsville

United States

Williamsville

United States

Sherwood

United States

Wyomissing

United States

EDISTO ISLAND

United States

MOUNT PLEASANT

United States

FORT WORTH

United States

Gainesville

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Apr 6, 2026

$197M

$182M

n/a

2024

Apr 1, 2025

$197M

$182M

n/a

2023

Mar 28, 2024

$187M

$172M

n/a

2022

Mar 31, 2023

$143M

$140M

n/a

2021

Mar 25, 2022

$709M

$704M

n/a

2020

Mar 26, 2021

$242M

n/a

2019

Apr 30, 2020

$178M

n/a

2018

Mar 27, 2019

$54.2M

n/a

2017

Jan 26, 2018

$28.9M

n/a

2016

Mar 27, 2017

$10.9M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

5.7%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$370M

$197M

88.1%

$143M

37.5%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

COUNTRYSIDE FINANCIAL LLC

Sep 2, 2025

Aug 5, 2025

JUPITER, FL

Team lift out

Ibd to new firm

4.3%

INDEPENDENT SOLUTIONS WEALTH MANAGEMENT, LLC

Jan 6, 2025

Jan 8, 2025

JUPITER, FL

Team lift out

Ibd to RIA

4.5%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

DEMPSEY LORD SMITH, LLC

Jan 21, 2026

May 26, 2026

ROME, GA

Team lift out

RIA to ibd

4.4%

CHEVIOT VALUE MANAGEMENT, LLC

Jul 23, 2025

Jul 29, 2025

BEVERLY HILLS, CA

Team lift out

RIA to ibd

25.0%

GOLD COAST SECURITIES, INC.

May 31, 2024

Jan 1, 2025

BURBANK, CA

Team lift out

Other

30.0%

GWN SECURITIES INC.

Aug 2, 2019

Nov 26, 2019

WESTON, FL

Team lift out

Ibd to RIA

0.7%

NEXT FINANCIAL GROUP, INC.

Feb 22, 2017

May 10, 2017

SAN ANTONIO, TX

Team lift out

Other

0.6%