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

FOOTHILL SECURITIES, INC.

CRD 1027

SANTA CLARA, 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:fc004030-d5df-fbbd-4870-a37d5fb796e0

Data as of Dec 27, 2016 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:20 AM UTC and rebuilt at most every 15 minutes.

Relationships: 111
Dated events: 1
On other graphs: 0
Observed: Mar 30, 2012 to Dec 27, 2016
25 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: $1.2BItem 5.F on the latest filing (2016-12-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $837M
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: 268
Advisory employees: 104
Accounts: 6,953
SEC number: 801-57293
CRD: 1027
Filings on the tape: 25
First filed: Mar 30, 2012
Latest filed: Dec 27, 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
CHIPMAN, STEPHEN HENRY	PRESIDENT AND CEO	A	yes	04/2006	Mar 30, 2012	Dec 27, 2016
KRESGE, RODNEY	Cco	Na	yes	07/2016	Jul 22, 2016	Dec 27, 2016
BURROUGHS, JOHN CORDELL	BOARD MEMBER	A	no	12/2005	Mar 30, 2012	Dec 27, 2016
CUE FINANCIAL GROUP	Shareholder	A	no	08/2009	Jun 13, 2016	Dec 27, 2016
ROSENZWEIG, DAVID A	OPTIONS PRINCIPAL	Na	no	09/2014	Oct 31, 2014	Dec 27, 2016
WHITE, KARYN MARIE	FINOP/CFO	Na	no	10/2015	Mar 30, 2016	Dec 27, 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
MALOON, POWERS, PITRE & HIGGINS, LLC	n/a	Independent wealth	$2.3B	N	no	n/a
GALVIN, GAUSTAD & STEIN, LLC	n/a	Independent wealth	$1.4B	N	no	n/a
AMERICAN FINANCIAL ADVISORS INC	n/a	Independent wealth	$1.3B	N	no	n/a
CAPITAL INSIGHT PARTNERS, LLC	n/a	Former SEC adviser	$830M	N	no	n/a
AMERICAN RETIREMENT PLANNERS II, INC.	n/a	Independent wealth	$761M	N	no	n/a
RNP ADVISORY SERVICES, INC.	n/a	Former SEC adviser	$451M	N	no	n/a
NOBLE WEALTH MANAGEMENT, INC.	n/a	Independent wealth	$223M	N	no	n/a
ATCAP PARTNERS, LLC	n/a	Independent wealth	$196M	N	no	n/a
CROSS STATE FINANCIAL GROUP LLC	n/a	Independent wealth	$188M	N	no	n/a
SEQUOIA FINANCIAL ADVISORS, INC.	n/a	Former SEC adviser	$168M	N	no	n/a
APPLE & ASSOCIATES	n/a	Independent wealth	$138M	N	no	n/a
JAMES D. HORN DBA QUALITY FINANCIAL CONCEPTS	n/a	Independent wealth	$129M	N	no	n/a
PARK PLACE WEALTH ADVISORS, INC	n/a	State registered	$87.1M	N	no	n/a
HAWLEY, DANIEL VINCENT	n/a	State registered	$74.2M	N	no	n/a
RCM ROBINSON CAPITAL MANAGEMENT LLC	n/a	Institutional manager	$61.8M	N	no	n/a
JIMENEZ, JAMES ANTHONY	n/a	State registered	$4.8M	N	no	n/a
AROS ASSET MANAGEMENT, INC.	n/a	n/a	n/a	N	no	n/a
BURROUGHS, JOHN CORDELL	n/a	n/a	n/a	N	no	n/a
CALLANEN, GLENDA G.	n/a	n/a	n/a	N	no	n/a
COUGHLIN II, GEORGE HARPER	n/a	n/a	n/a	N	no	n/a
CUE FINANCIAL GROUP, INC.	n/a	Former SEC adviser	n/a	N	yes	n/a
CURRAN, THOMAS JOSEPH	n/a	n/a	n/a	N	no	n/a
DERBY AND DERBY, INC.	n/a	n/a	n/a	N	no	n/a
GIBSON CAPITAL MANAGEMENT	n/a	n/a	n/a	N	no	n/a
HUB INTERNATIONAL INVESTMENT SERVICES INC.	n/a	n/a	n/a	N	no	n/a
HUBBELL, GREGORY HAROLD	n/a	n/a	n/a	N	no	n/a
JOHN M. PARSONS	n/a	n/a	n/a	N	no	n/a
KARL LEAL	n/a	n/a	n/a	N	no	n/a
LILANI, RASHIDA	n/a	n/a	n/a	N	no	n/a
MARGARET CHAN	n/a	n/a	n/a	N	no	n/a
MONARCH WEALTH MANAGEMENT LLC	n/a	n/a	n/a	N	no	n/a
MONEYPENNY, GERALD ALAN	n/a	n/a	n/a	N	no	n/a
PARSONS FINANCIAL ADVISORS, INC.	n/a	n/a	n/a	N	no	n/a
PHILLIPS, AARON KURT	n/a	n/a	n/a	N	no	n/a
SCOTT HANISH	n/a	n/a	n/a	N	no	n/a
TPGR FINANCIAL SERVICES, LLC	n/a	n/a	n/a	N	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
HALF MOON BAY	CA	United States	n/a	no
LOS GATOS	CA	United States	n/a	no
Roseville	CA	United States	n/a	no
Sacramento	CA	United States	n/a	no
SAN JOSE	CA	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	Mar 30, 2016	$1.2B	$837M	268	104	n/a	n/a	n/a
2014	Mar 31, 2015	$912M	$587M	261	200	n/a	n/a	n/a
2013	Mar 31, 2014	$742M	$442M	251	106	n/a	n/a	n/a
2012	Apr 1, 2013	$509M	$338M	270	112	n/a	n/a	n/a
2011	Mar 30, 2012	$666M	$524M	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
2015	$1.2B	$912M	27.0%	$509M	31.5%	268	261	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
OSAIC ADVISORY SERVICES, LLC	2	Dec 31, 2016	Nov 8, 2024	SAN RAMON, CA	Team lift out	Other	50.0%
CAPITAL INSIGHT PARTNERS, LLC	2	Dec 8, 2016	Jan 2, 2014	SANTA CLARA, CA	Team lift out	Other	5.7%
ARBOR POINT ADVISORS	9	Dec 8, 2016	Dec 8, 2016	SANTA CLARA, CA	Team lift out	Other	25.7%
SECURITIES AMERICA ADVISORS, INC.	20	Dec 7, 2016	Dec 15, 2016	SANTA CLARA, CA	Firm absorbed	Other	55.6%
LPL FINANCIAL LLC	2	Jun 27, 2016	Jun 28, 2016	SANTA CLARA, CA	Team lift out	Other	5.0%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
ARBOR POINT ADVISORS	2	Nov 8, 2024	Dec 9, 2016	SAN RAMON, CA	Team lift out	Other	1.2%

Relationships

showing 80 of 111

Affiliated with (17)

→ AMERICAN FINANCIAL ADVISORS INCRegistered adviserother investment adviser
factForm ADV
→ CALIFORNIA FINANCIAL ADVISORSRegistered adviserother investment adviser
factForm ADV
→ RCM ROBINSON CAPITAL MANAGEMENT LLCRegistered adviserother investment adviser
factForm ADV
→ RNP ADVISORY SERVICES, INC.Registered adviserother investment adviser
factForm ADV
→ QUALITY FINANCIAL CONCEPTSRegistered adviserother investment adviser
factForm ADV
→ AMERICAN WEALTH MANAGEMENTRegistered adviserother investment adviser
factForm ADV
→ APPLE & ASSOCIATESRegistered adviserother investment adviser
factForm ADV
→ SEQUOIA FINANCIAL ADVISORS, INC.Registered adviserother investment adviser
factForm ADV
→ JAMES A. JIMENEZRegistered adviserother investment adviser
factForm ADV
→ HAWLEY ADVISORSRegistered adviserother investment adviser
factForm ADV
→ PARK PLACE WEALTH ADVISORS, INCRegistered adviserother investment adviser
factForm ADV
→ CAPITAL INSIGHT PARTNERS, LLCRegistered adviserother investment adviser
factForm ADV
→ GALVIN, GAUSTAD & STEIN, LLCRegistered adviserother investment adviser
factForm ADV
→ ATCAP PARTNERS, LLCRegistered adviserother investment adviser
factForm ADV
→ NOBLE WEALTH MANAGEMENT, INC.Registered adviserother investment adviser
factForm ADV
→ CUE FINANCIAL GROUP, INC.Registered adviserother investment adviser, common control
factForm ADV
→ CROSS STATE FINANCIAL GROUP LLCRegistered adviserother investment adviser
factForm ADV

Controls (2)

← CHIPMAN, STEPHEN HENRYOwnerPRESIDENT AND CEO, ownership code A, individual
Mar 30, 2012 to presentfactForm ADV
← KRESGE, RODNEYOwnerCCO, ownership code NA, individual
Jul 22, 2016 to presentfactForm ADV

Owns (4)

← WHITE, KARYN MARIEOwnerFINOP/CFO, ownership code NA, individual
Mar 30, 2016 to presentfactForm ADV
← ROSENZWEIG, DAVID AOwnerOPTIONS PRINCIPAL, ownership code NA, individual
Oct 31, 2014 to presentfactForm ADV
← BURROUGHS, JOHN CORDELLOwnerBOARD MEMBER, ownership code A, individual
Mar 30, 2012 to presentfactForm ADV
← CUE FINANCIAL GROUPOwnerSHAREHOLDER, ownership code A, domestic entity
Jun 13, 2016 to presentfactForm ADV

Moved with (5)

→ OSAIC ADVISORY SERVICES, LLCRegistered adviser2 advisors, team lift out, same day
Dec 31, 2016 to Nov 8, 2024factForm ADV
→ SECURITIES AMERICA ADVISORS, INC.Registered adviser20 advisors, firm absorbed
Dec 7, 2016 to Dec 15, 2016factForm ADV
← ARBOR POINT ADVISORSRegistered adviser2 advisors, team lift out, same day
Nov 8, 2024 to Dec 9, 2016factForm ADV
→ ARBOR POINT ADVISORSRegistered adviser9 advisors, team lift out, same day
Dec 8, 2016 to Dec 8, 2016factForm ADV
→ LPL FINANCIAL LLCRegistered adviser2 advisors, team lift out, same day
Jun 27, 2016 to Jun 28, 2016factForm ADV

Registered with (49)

← MARCO FRANK BRONZINIAdvisorregistration: previous registration
Dec 9, 2016 to Dec 31, 2016factForm ADV
← GREGORY SCOTT AYNESWORTHAdvisorregistration: previous registration
Dec 9, 2016 to Dec 31, 2016factForm ADV
← RODNEY KRESGEAdvisorregistration: previous registration
Jul 25, 2016 to Dec 31, 2016factForm ADV
← BRUCE DAVID WHITEAdvisorregistration: previous registration
Dec 12, 2016 to Dec 31, 2016factForm ADV
← WILLIAM STEVEN BATIEAdvisorregistration: previous registration
Apr 19, 2013 to Dec 14, 2016factForm ADV
← ANGELA WILLIAMS HOLLANDAdvisorregistration: previous registration
Sep 9, 2016 to Dec 14, 2016factForm ADV
← NANCY JEAN CHAPINAdvisorregistration: previous registration
Jul 25, 2013 to Dec 14, 2016factForm ADV
← JACOB J REIDAdvisorregistration: previous registration
Jul 8, 2011 to Dec 13, 2016factForm ADV
← DANIEL ALCALAAdvisorregistration: previous registration
Jul 3, 2015 to Dec 9, 2016factForm ADV
← PAUL ALAN PODRIDAdvisorregistration: previous registration
Aug 18, 2000 to Dec 8, 2016factForm ADV
← JOHN MARTIN FITZGERALDAdvisorregistration: previous registration
May 26, 2011 to Dec 8, 2016factForm ADV
← ANDREA MARIE TRUDEAUAdvisorregistration: previous registration
Jun 23, 2000 to Dec 8, 2016factForm ADV
← GRACE M REYESAdvisorregistration: previous registration
Aug 20, 1999 to Dec 8, 2016factForm ADV
← WILLIAM NOBLE JENKINSAdvisorregistration: previous registration
Jul 7, 2008 to Dec 8, 2016factForm ADV
← Jimmie AlexanderAdvisorregistration: previous registration
Mar 1, 1999 to Dec 8, 2016factForm ADV
← JANET GRANTZ HARTAdvisorregistration: previous registration
Dec 19, 1997 to Dec 8, 2016factForm ADV
← EDWARD MARTIN COSTELLOAdvisorregistration: previous registration
Jan 10, 2000 to Dec 8, 2016factForm ADV
← PAUL BERTRAND SIROISAdvisorregistration: previous registration
Jun 19, 2009 to Dec 8, 2016factForm ADV
← ANTHONY ROCCO GIULIANOAdvisorregistration: previous registration
Sep 16, 2003 to Dec 8, 2016factForm ADV
← KAREN NICKERSON DEJONGAdvisorregistration: previous registration
Sep 6, 2011 to Dec 8, 2016factForm ADV
← MARGARET CHANAdvisorregistration: previous registration
Apr 16, 2003 to Dec 8, 2016factForm ADV
← JAMES GARY DEBOERAdvisorregistration: previous registration
Apr 27, 2007 to Dec 8, 2016factForm ADV
← RASHIDA LILANIAdvisorregistration: previous registration
Jan 19, 2007 to Dec 8, 2016factForm ADV
← DONALD BENEDICT TONELLIAdvisorregistration: previous registration
Dec 19, 1997 to Dec 8, 2016factForm ADV
← GERMAINE C CORDESAdvisorregistration: previous registration
Jan 26, 2009 to Dec 8, 2016factForm ADV
← THOMAS QUINN ELLISAdvisorregistration: previous registration
Dec 3, 2008 to Dec 8, 2016factForm ADV
← Keo Cal ChaoAdvisorregistration: previous registration
Jun 5, 2015 to Dec 8, 2016factForm ADV
← AMANDA MATHIAS BONOMIAdvisorregistration: previous registration
Feb 5, 2016 to Dec 8, 2016factForm ADV
← KELLY A SORIAAdvisorregistration: previous registration
Dec 1, 2009 to Dec 8, 2016factForm ADV
← CHARLES HALBERT DINGMANAdvisorregistration: previous registration
Dec 19, 2014 to Dec 8, 2016factForm ADV
and 19 more

Dated events

Occurred
Nov 8, 2024
Team lift-out
2 advisors left Arbor Point Advisors (San Ramon, CA) for Foothill Securities, Inc. on the same day
Form ADVobserved 6 days ago
2 advisors

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:fc004030-d5df-fbbd-4870-a37d5fb796e0
First observed: Mar 30, 2012
Last observed: Dec 27, 2016 118 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.

FOOTHILL SECURITIES, INC.

CRD 1027

SANTA CLARA, 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:fc004030-d5df-fbbd-4870-a37d5fb796e0

Data as of Dec 27, 2016 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:20 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CHIPMAN, STEPHEN HENRY

PRESIDENT AND CEO

yes

04/2006

Mar 30, 2012

Dec 27, 2016

KRESGE, RODNEY

Cco

yes

07/2016

Jul 22, 2016

Dec 27, 2016

BURROUGHS, JOHN CORDELL

BOARD MEMBER

12/2005

Mar 30, 2012

Dec 27, 2016

CUE FINANCIAL GROUP

Shareholder

08/2009

Jun 13, 2016

Dec 27, 2016

ROSENZWEIG, DAVID A

OPTIONS PRINCIPAL

09/2014

Oct 31, 2014

Dec 27, 2016

WHITE, KARYN MARIE

FINOP/CFO

10/2015

Mar 30, 2016

Dec 27, 2016

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

MALOON, POWERS, PITRE & HIGGINS, LLC

n/a

Independent wealth

$2.3B

n/a

GALVIN, GAUSTAD & STEIN, LLC

n/a

Independent wealth

$1.4B

n/a

AMERICAN FINANCIAL ADVISORS INC

n/a

Independent wealth

$1.3B

n/a

CAPITAL INSIGHT PARTNERS, LLC

n/a

Former SEC adviser

$830M

n/a

AMERICAN RETIREMENT PLANNERS II, INC.

n/a

Independent wealth

$761M

n/a

RNP ADVISORY SERVICES, INC.

n/a

Former SEC adviser

$451M

n/a

NOBLE WEALTH MANAGEMENT, INC.

n/a

Independent wealth

$223M

n/a

ATCAP PARTNERS, LLC

n/a

Independent wealth

$196M

n/a

CROSS STATE FINANCIAL GROUP LLC

n/a

Independent wealth

$188M

n/a

SEQUOIA FINANCIAL ADVISORS, INC.

n/a

Former SEC adviser

$168M

n/a

APPLE & ASSOCIATES

n/a

Independent wealth

$138M

n/a

JAMES D. HORN DBA QUALITY FINANCIAL CONCEPTS

n/a

Independent wealth

$129M

n/a

PARK PLACE WEALTH ADVISORS, INC

n/a

State registered

$87.1M

n/a

HAWLEY, DANIEL VINCENT

n/a

State registered

$74.2M

n/a

RCM ROBINSON CAPITAL MANAGEMENT LLC

n/a

Institutional manager

$61.8M

n/a

JIMENEZ, JAMES ANTHONY

n/a

State registered

$4.8M

n/a

AROS ASSET MANAGEMENT, INC.

n/a

BURROUGHS, JOHN CORDELL

n/a

CALLANEN, GLENDA G.

n/a

COUGHLIN II, GEORGE HARPER

n/a

CUE FINANCIAL GROUP, INC.

n/a

Former SEC adviser

n/a

yes

n/a

CURRAN, THOMAS JOSEPH

n/a

DERBY AND DERBY, INC.

n/a

GIBSON CAPITAL MANAGEMENT

n/a

HUB INTERNATIONAL INVESTMENT SERVICES INC.

n/a

HUBBELL, GREGORY HAROLD

n/a

JOHN M. PARSONS

n/a

KARL LEAL

n/a

LILANI, RASHIDA

n/a

MARGARET CHAN

n/a

MONARCH WEALTH MANAGEMENT LLC

n/a

MONEYPENNY, GERALD ALAN

n/a

PARSONS FINANCIAL ADVISORS, INC.

n/a

PHILLIPS, AARON KURT

n/a

SCOTT HANISH

n/a

TPGR FINANCIAL SERVICES, LLC

n/a

City

State

Country

Employees

Also broker-dealer

HALF MOON BAY

United States

n/a

LOS GATOS

United States

n/a

Roseville

United States

n/a

Sacramento

United States

n/a

SAN JOSE

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2015

Mar 30, 2016

$1.2B

$837M

268

104

n/a

2014

Mar 31, 2015

$912M

$587M

261

200

n/a

2013

Mar 31, 2014

$742M

$442M

251

106

n/a

2012

Apr 1, 2013

$509M

$338M

270

112

n/a

2011

Mar 30, 2012

$666M

$524M

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

$1.2B

$912M

27.0%

$509M

31.5%

268

261

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

OSAIC ADVISORY SERVICES, LLC

Dec 31, 2016

Nov 8, 2024

SAN RAMON, CA

Team lift out

Other

50.0%

CAPITAL INSIGHT PARTNERS, LLC

Dec 8, 2016

Jan 2, 2014

SANTA CLARA, CA

Team lift out

Other

5.7%

ARBOR POINT ADVISORS

Dec 8, 2016

SANTA CLARA, CA

Team lift out

Other

25.7%

SECURITIES AMERICA ADVISORS, INC.

Dec 7, 2016

Dec 15, 2016

SANTA CLARA, CA

Firm absorbed

Other

55.6%

LPL FINANCIAL LLC

Jun 27, 2016

Jun 28, 2016

SANTA CLARA, CA

Team lift out

Other

5.0%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

ARBOR POINT ADVISORS

Nov 8, 2024

Dec 9, 2016

SAN RAMON, CA

Team lift out

Other

1.2%