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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

STRATEGIC WEALTH ADVISORS GROUP

STRATEGIC WEALTH ADVISORS GROUP, INC., CRD 140977

SAN MATEO, CA

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:f6ac6348-453c-923d-f990-ec12d4dacbcf

Data as of Jun 16, 2016 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:15 PM UTC and rebuilt at most every 15 minutes.

Relationships: 103
Dated events: 0
On other graphs: 0
Observed: Jan 3, 2012 to Jun 16, 2016
43 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: $863MItem 5.F on the latest filing (2016-06-16); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $814M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 108
Advisory employees: 52
Accounts: 4,935
SEC number: 801-67001
CRD: 140977
Filings on the tape: 43
First filed: Jan 3, 2012
Latest filed: Jun 16, 2016
Organised: Corporation, California

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
HERRINGTON, JAMES, WINDSOR	Chairman	E	yes	05/2006	Jan 3, 2012	Jun 16, 2016
MERCADO, CHRISTOPHER, FREITAS	CHIEF INVESTMENT STRATEGIST	Na	yes	08/2014	Sep 2, 2014	Jun 16, 2016
OLEN, JEREMY, LOUIS	CHIEF INVESTMENT OFFICER	Na	yes	07/2014	Jul 22, 2014	Jun 16, 2016
RICHARD, ROSEMARY, ANNE	CHIEF COMPLIANCE OFFICER	Na	yes	01/2012	Jan 23, 2012	Jun 16, 2016
STADJUHAR, DAXS, ALEXANDER	CHIEF EXECUTIVE OFFICER	Na	yes	08/2015	Sep 2, 2014	Jun 16, 2016

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
ALBERT E VACEK, JR	n/a	n/a	n/a	Y	no	n/a
CONSTANCE MECK	n/a	n/a	n/a	Y	no	n/a
FRANK DEPTOLA	n/a	n/a	n/a	Y	no	n/a
JEFFREY SEITZ	n/a	n/a	n/a	Y	no	n/a
JOHN CAMPAIGNE	n/a	n/a	n/a	Y	no	n/a
KEVIN SANDERFORD	n/a	n/a	n/a	Y	no	n/a
PAUL VIREN	n/a	n/a	n/a	Y	no	n/a
SALVADOR MARTINEZ	n/a	n/a	n/a	Y	no	n/a

Offices

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

City	State	Country	Employees	Also broker-dealer
Napa	CA	United States	n/a	no
Sacramento	CA	United States	n/a	no
SAN JOSE	CA	United States	n/a	no
Denver	Co	United States	n/a	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

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Aug 31, 2015	$863M	$814M	108	52	n/a	n/a	n/a
2014	Sep 2, 2014	$612M	$568M	58	33	n/a	n/a	n/a
2013	Aug 30, 2013	$561M	$503M	64	29	n/a	n/a	n/a
2012	Aug 31, 2012	$508M	$423M	n/a	0	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
2015	$863M	$612M	41.0%	$508M	19.3%	108	58	n/a	n/a

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
LPL FINANCIAL LLC	2	Jul 8, 2016	Nov 22, 2025	ROCKLIN, CA	Team lift out	Other	10.0%
ASSOCIATED SECURITIES CORP.	3	Jul 7, 2016	Jan 6, 2009	SACRAMENTO, CA	Team lift out	Other	9.7%
CWM, LLC	2	Mar 31, 2016	Apr 1, 2016	SAN MATEO, CA	Team lift out	Other	4.1%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
LPL FINANCIAL LLC	2	Sep 7, 2016	Apr 22, 2016	MONTEREY, CA	Team lift out	Other	0.0%
CETERA ADVISORS LLC	2	May 13, 2016	May 12, 2016	WINDSOR, CA	Team lift out	Other	0.6%
CETERA ADVISOR NETWORKS LLC	2	May 6, 2016	May 6, 2016	BERKELEY, CA	Team lift out	Other	0.4%
D.A. DAVIDSON & CO.	2	Oct 1, 2015	Oct 5, 2015	WESTLAKE VILLAGE, CA	Team lift out	Other	0.6%

Relationships

showing 80 of 103

Controls (5)

← RICHARD, ROSEMARY, ANNEOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jan 23, 2012 to presentfactForm ADV
← HERRINGTON, JAMES, WINDSOROwnerCHAIRMAN, ownership code E, individual
Jan 3, 2012 to presentfactForm ADV
← MERCADO, CHRISTOPHER, FREITASOwnerCHIEF INVESTMENT STRATEGIST, ownership code NA, individual
Sep 2, 2014 to presentfactForm ADV
← OLEN, JEREMY, LOUISOwnerCHIEF INVESTMENT OFFICER, ownership code NA, individual
Jul 22, 2014 to presentfactForm ADV
← STADJUHAR, DAXS, ALEXANDEROwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual
Sep 2, 2014 to presentfactForm ADV

Moved with (6)

→ LPL FINANCIAL LLCRegistered adviser2 advisors, team lift out
Jul 8, 2016 to Nov 22, 2025factForm ADV
← CETERA ADVISORS LLCRegistered adviser2 advisors, team lift out, same day
May 13, 2016 to May 12, 2016factForm ADV
← CETERA ADVISOR NETWORKS LLCRegistered adviser2 advisors, team lift out
May 6, 2016 to May 6, 2016factForm ADV
← LPL FINANCIAL LLCRegistered adviser2 advisors, team lift out
Sep 7, 2016 to Apr 22, 2016factForm ADV
→ CWM, LLCRegistered adviser2 advisors, team lift out, same day
Mar 31, 2016 to Apr 1, 2016factForm ADV
← D.A. DAVIDSON & CO.Registered adviser2 advisors, team lift out, same day
Oct 1, 2015 to Oct 5, 2015factForm ADV

Registered with (69)

← JOHN BERNARD ANZALDUAAdvisorregistration: previous registration
Jun 5, 2015 to Jul 21, 2016factForm ADV
← DONALD WILLIAM FAULAdvisorregistration: previous registration
Nov 12, 2015 to Jul 8, 2016factForm ADV
← GEORGE THEODORE TEMELAdvisorregistration: previous registration
Jul 22, 2015 to Jul 8, 2016factForm ADV
← STUART BRADLEY ARAKELIANAdvisorregistration: previous registration
May 6, 2016 to Jul 8, 2016factForm ADV
← PARRISH T MALSONAdvisorregistration: previous registration
Dec 11, 2009 to Jul 8, 2016factForm ADV
← DERRICK SMITH ANDREWSAdvisorregistration: previous registration
Sep 10, 2015 to Jul 8, 2016factForm ADV
← SALVADOR TRINIDAD MARTINEZAdvisorregistration: previous registration
Nov 9, 2012 to Jul 8, 2016factForm ADV
← STEVEN FREDERICK RAUAdvisorregistration: previous registration
Dec 11, 2009 to Jul 8, 2016factForm ADV
← GREGORY REGINALD VAN KESTERENAdvisorregistration: previous registration
Jan 11, 2016 to Jul 8, 2016factForm ADV
← SCOTT ALLEN VAN EPPSAdvisorregistration: previous registration
Sep 5, 2006 to Jul 8, 2016factForm ADV
← BRADLEY MARSHALLAdvisorregistration: previous registration
Jul 28, 2015 to Jul 8, 2016factForm ADV
← PATRICK GLENN BENNETTAdvisorregistration: previous registration
Nov 5, 2014 to Jul 8, 2016factForm ADV
← BRANDON PAUL SIMMONSAdvisorregistration: previous registration
Jan 5, 2016 to Jul 8, 2016factForm ADV
← ERIC CARL JOHNSONAdvisorregistration: previous registration
Oct 14, 2014 to Jul 8, 2016factForm ADV
← ANDREW HALE SLANKSTERAdvisorregistration: previous registration
Nov 25, 2013 to Jul 8, 2016factForm ADV
← JESSICA LILLIAN MC CURDYAdvisorregistration: previous registration
Apr 6, 2016 to Jul 8, 2016factForm ADV
← DOMINICK RUIZAdvisorregistration: previous registration
Sep 9, 2015 to Jul 8, 2016factForm ADV
← DALE ANDREW HORNBERGERAdvisorregistration: previous registration
Dec 23, 2015 to Jul 8, 2016factForm ADV
← CHARLES WILLIAM ROCCOAdvisorregistration: previous registration
Oct 22, 2014 to Jul 8, 2016factForm ADV
← DAVID EDWARD SIEGELAdvisorregistration: previous registration
Sep 5, 2006 to Jul 8, 2016factForm ADV
← SCOTT E GROOMSAdvisorregistration: previous registration
Mar 3, 2016 to Jul 7, 2016factForm ADV
← JEFFERY JAY SEITZAdvisorregistration: previous registration
May 7, 2014 to Jul 7, 2016factForm ADV
← KURT MICHAEL LE FEVREAdvisorregistration: previous registration
Dec 22, 2014 to Jul 7, 2016factForm ADV
← BETTY JO TOMLINSONAdvisorregistration: previous registration
Dec 18, 2014 to Jul 7, 2016factForm ADV
← RONALD AIJI MATSUIAdvisorregistration: previous registration
Jan 27, 2015 to Jul 7, 2016factForm ADV
← JEFFREY ROGER KLEINAdvisorregistration: previous registration
Jun 3, 2015 to Jul 7, 2016factForm ADV
← NICOLAS PAUL TABELLIONAdvisorregistration: previous registration
Nov 24, 2015 to Jul 7, 2016factForm ADV
← LILIAN LOAdvisorregistration: previous registration
Apr 22, 2016 to Jul 7, 2016factForm ADV
← JOHN THOMAS MILLSAdvisorregistration: previous registration
Sep 21, 2007 to Jul 7, 2016factForm ADV
← JONATHAN DENNIS HORSTAdvisorregistration: previous registration
Mar 2, 2016 to Jul 7, 2016factForm ADV
and 39 more

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f6ac6348-453c-923d-f990-ec12d4dacbcf
First observed: Jan 3, 2012
Last observed: Jun 16, 2016 124 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.

STRATEGIC WEALTH ADVISORS GROUP

STRATEGIC WEALTH ADVISORS GROUP, INC., CRD 140977

SAN MATEO, CA

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:f6ac6348-453c-923d-f990-ec12d4dacbcf

Data as of Jun 16, 2016 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:15 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

HERRINGTON, JAMES, WINDSOR

Chairman

yes

05/2006

Jan 3, 2012

Jun 16, 2016

MERCADO, CHRISTOPHER, FREITAS

CHIEF INVESTMENT STRATEGIST

yes

08/2014

Sep 2, 2014

Jun 16, 2016

OLEN, JEREMY, LOUIS

CHIEF INVESTMENT OFFICER

yes

07/2014

Jul 22, 2014

Jun 16, 2016

RICHARD, ROSEMARY, ANNE

CHIEF COMPLIANCE OFFICER

yes

01/2012

Jan 23, 2012

Jun 16, 2016

STADJUHAR, DAXS, ALEXANDER

CHIEF EXECUTIVE OFFICER

yes

08/2015

Sep 2, 2014

Jun 16, 2016

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

ALBERT E VACEK, JR

n/a

CONSTANCE MECK

n/a

FRANK DEPTOLA

n/a

JEFFREY SEITZ

n/a

JOHN CAMPAIGNE

n/a

KEVIN SANDERFORD

n/a

PAUL VIREN

n/a

SALVADOR MARTINEZ

n/a

City

State

Country

Employees

Also broker-dealer

Napa

United States

n/a

Sacramento

United States

n/a

SAN JOSE

United States

n/a

Denver

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2015

Aug 31, 2015

$863M

$814M

108

n/a

2014

Sep 2, 2014

$612M

$568M

n/a

2013

Aug 30, 2013

$561M

$503M

n/a

2012

Aug 31, 2012

$508M

$423M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2015

$863M

$612M

41.0%

$508M

19.3%

108

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

LPL FINANCIAL LLC

Jul 8, 2016

Nov 22, 2025

ROCKLIN, CA

Team lift out

Other

10.0%

ASSOCIATED SECURITIES CORP.

Jul 7, 2016

Jan 6, 2009

SACRAMENTO, CA

Team lift out

Other

9.7%

CWM, LLC

Mar 31, 2016

Apr 1, 2016

SAN MATEO, CA

Team lift out

Other

4.1%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

LPL FINANCIAL LLC

Sep 7, 2016

Apr 22, 2016

MONTEREY, CA

Team lift out

Other

0.0%

CETERA ADVISORS LLC

May 13, 2016

May 12, 2016

WINDSOR, CA

Team lift out

Other

0.6%

CETERA ADVISOR NETWORKS LLC

May 6, 2016

BERKELEY, CA

Team lift out

Other

0.4%

D.A. DAVIDSON & CO.

Oct 1, 2015

Oct 5, 2015

WESTLAKE VILLAGE, CA

Team lift out

Other

0.6%