DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

SEC-registered adviser

Sequoia Financial Group, L.L.C.

Independent wealth managerAkron, OhioCRD 117756SEC 801-61089website IAPD

Legal name Sequoia Financial Advisors, L.L.C.

Latest filing Aug 24, 2026

First filing on the tape Mar 30, 2012 · 74 filings

SEC status approved since Apr 19, 2002

RAUM

$32B

reported, Item 5.F

Discretionary

95%

of RAUM

Private clients

93%

$30B individuals and HNW

Advisors

259

registered through the firm on IAPD

RAUM per advisor

$124M

derived; firm RAUM over IAPD count

Employees

424

195 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

74 filings and snapshots on the tape

RAUM$32B as of Aug 24, 2026

Apr 27, 2012$590M then

HNW client RAUM$25B as of Aug 24, 2026

Apr 30, 2018$2.1B then

State-registered IARs (5.B.3)233 as of Aug 24, 2026

Mar 21, 201325 then

Employees (5.A)424 as of Aug 24, 2026

Mar 21, 201333 then

Private funds17 as of Aug 24, 2026

Feb 28, 20231 then

RAUM +40% over the last fiscal year+48% a year over threeIARs 155 to 233offices 29 to 38

Practice profile

derived from the filing of Aug 24, 2026; every figure names its basis

Archetypes, each a printed rule

Consolidator · three or more firms absorbed (half or more of their registered advisors moved to this adviser within 14 days) in 24 months
HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
Multi-office growth platform · an independent wealth manager (not a wirehouse, national broker-dealer RIA or broker-dealer affiliated firm) with at least five offices, at least 50 advisors, and RAUM up at least 20 percent over the last annual amendment
Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
RIA with heavy alternatives · a wealth manager whose private fund gross assets are at least 25 percent of RAUM, or five or more private funds
RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)

RAUM per advisor: $124MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 43derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $5.4MderivedHNW RAUM over HNW clients
Average account: $813,492derivedRAUM over accounts (5.F.2.f)
Discretionary: 95%derivedof RAUM
Institutional: 0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.6derivedItem 5.A over advisors
Advisors per office: 6.6derived39 offices incl. principal (1.F.5)
RAUM growth, one year: +40%derivedbetween the last two annual amendments
Advisor growth, one year: +50%derivedItem 5.B.3 between annual amendments
Client growth, one year: +28%derived
Compensation: percentage of assets, hourly, fixed fees, subscription, performance-basedreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, selection of other advisers, publications, educational seminarsreportedItem 5.G
Financial planning clients: 7,747reportedItem 5.H
Custody: $16B, 14,270 clientsreportedItem 9.A
Ownership: no PE, bank or public-company owner found on Schedule Aderived
Firms absorbed, 24 months: 4derivedhalf or more of a firm's advisors moved here within 14 days
Advisor book size: not public; not estimatedreported

Also answered yes on Form ADV

buys or sells securities as principal to or from clients (8.A.2)
has discretionary authority over which securities are bought or sold (8.C.1)
receives research or other products from a broker-dealer, soft dollars (8.E)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)
a related person has custody of client cash (9.B.1.a)
a related person has custody of client securities (9.B.1.b)
an independent public accountant performs a surprise examination (9.C.1)
marketing includes testimonials (5.L.1.c)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$25B77%
Individuals$5.1B16%
Pooled investment vehicles$1.6B5.1%
Corporations and businesses$654M2.0%
Charitable organizations$83.0M0.3%
Pension and profit-sharing plans$18.1M0.1%
State and municipal entities$212,0590.0%

Individual clients: 6,508reported
HNW clients: 4,556reported
Pension plan clients: 6reported
Charitable clients: 25reported
Accounts: 39,636reported
Financial planning clients: 7,747reported
Wrap fee programs: noreported
Custody of client assets: $16B for 14,270 clientsreported
Compensation: % of AUM, fixed, hourly, performancereported
Class basis: private_client_share=0.93 fund_share=0.05 institutional_share=0.0 related_bd=true related_bank=false bd_reps=4.0derived

Advisors registered through the firm

245 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
Thomas Arthur HaughtCertified Financial Planner, Chartered Financial Consultant	Akron, Oh	Apr 26, 2000	35 y	1
Gerald Paul KnotekCertified Financial Planner, Personal Financial Specialist	Akron, Oh	Oct 24, 2000	26 y	1
Paula S. PeckCertified Financial Planner	Akron, Oh	Jul 31, 2002	24 y	0
William VenterCertified Financial Planner	Akron, Oh	Oct 19, 2004	34 y	1
Annelise Waterfall MccauleyCertified Financial Planner	Akron, Oh	May 18, 2005	21 y	0
Trevor Robert ChunaCertified Financial Planner	Akron, Oh	Apr 27, 2007	20 y	1
Heather Lee WelshCertified Financial Planner	Akron, Oh	Sep 7, 2007	17 y	0
Kristan Nicole PrestonCertified Financial Planner	Akron, Oh	Mar 2, 2009	17 y	0
Michael Christopher RedheadCertified Financial Planner	Tampa, Fl	Jun 30, 2009	33 y	3
Ryan Christopher BaneyCertified Financial Planner, Chartered Financial Consultant	Tampa, Fl	Dec 13, 2012	14 y	0
Laura Beth KiickCertified Financial Planner	Akron, Oh	Feb 19, 2016	24 y	3
David BerryChartered Financial Analyst	St. Clair Shores, Mi	Sep 15, 2016	17 y	1
Christine Michelle Boehnlein	Akron, Oh	Oct 3, 2016	19 y	1
Thomas Andrew Moughan	Beachwood, Oh	Oct 3, 2016	19 y	1
Kenneth Joseph PaullCertified Financial Planner	Beachwood, Oh	Oct 3, 2016	26 y	1
John L MarchandCertified Financial Planner	Akron, Oh	Sep 6, 2017	23 y	2
Amanda Katherine BlankenshipCertified Financial Planner	Akron, Oh	Oct 3, 2017	9 y	0
Christopher James Creahan	Akron, Oh	Dec 1, 2017	10 y	0
Matthew Michael Pullar	Akron, Oh	Apr 2, 2018	22 y	7
Jill A BranthooverCertified Financial Planner	Akron, Oh	Jun 1, 2018	28 y	5
Larry ShetlerCertified Financial Planner	Akron, Oh	Sep 6, 2018	14 y	0
Alexander Isaiah RupertCertified Financial Planner	Akron, Oh	Oct 11, 2018	12 y	1
William GandertCertified Financial Planner	Jacksonville, Fl	Oct 25, 2018	12 y	2
Laura Ann MarshallCertified Financial Planner	Akron, Oh	Jan 7, 2019	23 y	3
Richelle Annette Durkin	Troy, Mi	Jan 7, 2019	14 y	3
Don BentleyCertified Financial Planner	Troy, Mi	Jan 7, 2019	26 y	2
Matthew K Teetor	Troy, Mi	Jan 9, 2019	21 y	1
Anthony J RomeCertified Financial Planner	Tampa, Fl	Jan 15, 2019	11 y	3
Sara Sydney GansCertified Financial Planner, Chartered Financial Consultant	Akron, Oh	Jul 10, 2019	12 y	0
Albert Andrew YamborCertified Financial Planner	Akron, Oh	Sep 24, 2019	16 y	3
Ryan Thomas TomerCertified Financial Planner	Tampa, Fl	Nov 4, 2019	26 y	7
Kathryn Michelle SennCertified Financial Planner	Akron, Oh	Jan 16, 2020	12 y	1
Ashley D MaleCertified Financial Planner	Akron, Oh	Jan 24, 2020	26 y	1
Brian James Grossman	Akron, Oh	Jul 16, 2020	17 y	3
James Kendell Thompson	Beachwood, Oh	May 13, 2021	25 y	3
Cheryl Lynne LutmanCertified Financial Planner	Dublin, Oh	Jul 9, 2021	29 y	1
Christopher D RuleCertified Financial Planner	Akron, Oh	Jul 15, 2021	11 y	1
Jack P ZhangChartered Financial Analyst	Dublin, Oh	Jul 15, 2021	14 y	2
Angela J CosgrayCertified Financial Planner	Dublin, Oh	Jul 15, 2021	21 y	6
Heather Marie Walters	Dublin, Oh	Jul 15, 2021	13 y	0

All 245 advisors at Sequoia Financial Group, L.L.C.

Advisor movement

6 left, 27 joined in 12 months

net +21 in 12 months0 left in 90 days8 joined in 90 daysdeparture rate 2.3% of current headcount25 left over 36 months

Left, latest

Gregory James Revak to Creative Planning
Apr 29, 2026 · RIA to RIA
Travis Dragan to Mission Wealth Management, LP
Mar 23, 2026 · RIA to RIA
Nicole Savage to Wild Iris Financial
Mar 10, 2026 · RIA to a state-registered adviser
Alissa M Hitchcock to Edward Jones
Mar 3, 2026 · RIA to affiliated broker-dealer or bank
Michael Levon Daniels to Mariner
Dec 26, 2025 · RIA to affiliated broker-dealer or bank
Shawn Hayward to Savvy
Sep 24, 2025 · RIA to RIA
Jessica Lily Vongsaphay to Lido
Aug 5, 2025 · RIA to RIA
Ashley Candace Costello to Mariner
Jun 27, 2025 · RIA to affiliated broker-dealer or bank
Emily Nicole Ebel to Mariner
Jun 20, 2025 · RIA to affiliated broker-dealer or bank
Michael Sean Spangler to Kohmann Bosshard Financial Services, LLC.
Jun 6, 2025 · RIA to RIA
Kevin Allen Mcpeek to Journey Wealth Management
Jun 6, 2025 · RIA to RIA
Justin M Patellaro to Money Concepts Advisory Service
Mar 10, 2025 · RIA to affiliated broker-dealer or bank
Ryan Thomas Weigel to Elysium Wealth Management, LLC
Feb 28, 2025 · RIA to RIA
Brian Voelker to The Table Financial Planning LLC
Jan 16, 2025 · RIA to a state-registered adviser
Ashley Elizabeth Crotwell to Mesirow Financial Investment Management, Inc.
Jan 16, 2025 · RIA to RIA

Joined, latest

Beth M Korth from Hightower Advisors, LLC
Sep 3, 2026 · Affiliated broker-dealer or bank to independent RIA
Jared Scott Mason from LPL Financial LLC
Sep 3, 2026 · Affiliated broker-dealer or bank to independent RIA
Colin Arnold Richards from Cetera Investment Advisers LLC
Aug 18, 2026 · Affiliated broker-dealer or bank to independent RIA
Rachel Toscano from Agw Capital Advisors
Aug 13, 2026 · RIA to RIA
Laura Shelina Besaw from UBS Financial Services Inc.
Aug 3, 2026 · Wirehouse to independent RIA
Tuan C Le from Morgan Stanley
Jul 10, 2026 · Wirehouse to independent RIA
Logan Isaiah Green from Fisher Investments
Jul 8, 2026 · RIA to RIA
Logan Hunter Johnson from Charles Schwab & Co., Inc.
Jun 19, 2026 · Affiliated broker-dealer or bank to independent RIA
Jackson James Wegner from Moneta Group Investment Advisors, LLC
Jun 18, 2026 · RIA to RIA
Brittney Drew Olinger Franklin from Koss-Olinger Consulting, LLC.
Jun 9, 2026 · RIA to RIA
Amy Jean Erkenbrack from Thrivent Investment Management Inc.
May 27, 2026 · Affiliated broker-dealer or bank to independent RIA
Nicholas Glueckler from John Hancock Investment Management LLC
Apr 13, 2026 · Other
Thomas Randolph Fox from Merrill Lynch, Pierce, Fenner & Smith Incorporated
Mar 24, 2026 · Wirehouse to independent RIA
Ronald James Moss from Global Retirement Partners LLC
Feb 24, 2026 · Other
Andrew Horst Calhoun from Willis Johnson Wealth
Feb 24, 2026 · RIA to RIA

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

2 left for Mariner
Jun 20, 2025 · Akron, Oh
7 left for Cbiz Investment Advisory Services, LLC
Dec 31, 2018 · Akron, Oh

4 joined from Sterling Financial Group, Inc.
Jun 30, 2026 · Pasadena, Ca · Firm absorbed
4 joined from The Martin Worley Group
Oct 22, 2025 · Cottonwood Heights, Ut · Firm absorbed
3 joined from Carlson Capital Management, LLC
Sep 10, 2025 · Northfield, Mn · Firm absorbed
3 joined from Family Asset Management, LLC
Mar 25, 2025 · Charleston, Sc · Firm absorbed
6 joined from Eide Bailly Advisors, LLC
Nov 8, 2024 · Sioux Falls, Sd
2 joined from M Capital Advisors
Dec 31, 2023 · Nashville, Tn
2 joined from Cirrus Wealth Management
Oct 20, 2023 · Cleveland, Oh
4 joined from Affinia Financial Group, LLC
Sep 26, 2023 · Burlington, Ma · Firm absorbed

Teams out Teams in

Private funds

20 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
Sfg Global Equity Strategy Institutional, LP	Hedge Fund	$832M	136	Mar 21, 2024
Zca Global Equity Strategy LPno longer reported	Other Private Fund	$510M	147	Mar 30, 2015
Zca Niche Credit Opportunities Fund, LP	Other Private Fund	$329M	134	Mar 30, 2017
Zca Rock Island, LPno longer reported	Private Equity Fund	$108M	109	Mar 30, 2020
Zca Hedged Credit Strategy, LP	Hedge Fund	$107M	101	Mar 30, 2015
Zca Focus Fund LP	Hedge Fund	$64.1M	85	Mar 26, 2021
Zca Private Investments Fund II, LP	Other Private Fund	$53.1M	89	Mar 31, 2022
Sfg Aligned, LP		$40.8M	100	Aug 24, 2026
Sfg Diameter Private Credit, LP	Other Private Fund	$36.1M	107	Aug 22, 2024
Sfg Multi Strategy Fund, LP	Hedge Fund	$34.6M	21	Nov 30, 2022
Zca Private Investments Fund III, LP	Other Private Fund	$34.2M	94	Mar 15, 2023
Zca Long/Short Strategy, LP	Hedge Fund	$29.7M	46	Mar 28, 2012
Sfg Global Equity Strategy, LP	Hedge Fund	$25.7M	17	Mar 21, 2024
Zca Private Investments Fund, LP	Other Private Fund	$24.9M	60	Mar 30, 2018
Sfg Private Investments Fund IV, LP		$9.3M	98	Aug 24, 2026
Zca Apex Corporate Partners, LLC	Real Estate Fund	$6.6M	67	Mar 30, 2018
Zca Front Street Qof, LLC	Real Estate Fund	$6.0M	45	Mar 30, 2020
Zca Chesterbrook , LP	Private Equity Fund	$4.3M	61	Mar 30, 2020
Zca Devon Park Drive, LP	Real Estate Fund	$657,099	36	Mar 31, 2016
Zca, Gti, LPno longer reported	Other Private Fund	$92,464	51	Mar 30, 2018

Owners and control persons

Schedule A and B, latest filing

Robert Trevor Chuna · Chief Technology Officer Officercontrol
since 02/2019 · owns less than 5%
James Matthew Dunn · Chief Compliance Officercontrol
since 03/2023 · owns less than 5%
A Joseph Glick · Evp, Chief Operating Officercontrol
since 05/2023 · owns less than 5%
Stephanie Hanayik · Senior Vice President, Chief Compliance Officer, Chief Risk Officercontrol
since 08/2026 · owns less than 5%
Arthur Thomas Haught · Chairman, Ceocontrol
since 04/2000 · owns less than 5%
Steven Albert Kantra · Evp, Head Of Advisors & Business Developmentcontrol
since 10/2021 · owns less than 5%
Paul Gerald Knotek · Executive Vice Presidentcontrol
since 02/2018 · owns less than 5%
Jennifer Koch · Senior Vice President, Organizational Developmentcontrol
since 07/2019 · owns less than 5%
Michael Marhofer · Executive Vice President, Secretary & General Counselcontrol
since 03/2025 · owns less than 5%
Waterfall Annelise Mccauley · Evp, Chief Client Experience Officercontrol
since 08/2021 · owns less than 5%
S. Michael Mordoh · Vice President, Head Of Operationscontrol
since 08/2020 · owns less than 5%
Lyle Eric Rosenblatt · Controllercontrol
since 01/2022 · owns less than 5%
Gee Norborne Smith · Head Of Sequoia Sentinel Family Officecontrol
since 06/2024 · owns less than 5%
Daniel Justin Stets · Evp, Head Of Integrated Wealth Servicescontrol
since 04/2025 · owns less than 5%
Brian Christopher Thom · Evp, Chief Strategy & Partnership Officercontrol
since 06/2024 · owns less than 5%
Nicholas Kevin Tichnell · Evp, Chief Strategy & Acquisitions Officer, Interim Chief Financial Officer Operating Officercontrol
since 01/2021 · owns less than 5%
Nicholas Zamparelli · Senior Vice President, Chief Investment Officercontrol
since 03/2023 · owns less than 5%
Arthur Thomas Haught · Trusteecontrol
since 04/2000 · owns 75% or more of Thomas A. Haught Living Trust

Entity owners

Sequoia Financial Group, LLC · Owner
direct · owns 75% or more
Thomas A. Haught Living Trust · Owner
indirect · owns 25% to 50% of Sequoia Financial Group, LLC
Amg Pantheon Lead Fund, LLC · Member
indirect · owns 50% to 75% of Sherman Opportunity Opportunity - A LP
Coller Partners 815 LP Incorporated · Member
indirect · owns 25% to 50% of Sherman Opportunity Opportunity - A LP
Sherman Aggregator, LP · Member
indirect · owns 25% to 50% of Sequoia Financial Group, LLC
Sherman Opportunity Opportunity - A LP · Member
indirect · owns 25% to 50% of Sherman Aggregator, LP
Valeas Capital Partners Fund I LP · Member
indirect · owns 25% to 50% of Sherman Aggregator, LP

Related persons

Schedule D 7.A

Long Road Risk Management Services, LLC
real estaten
Sequoia Financial Insurance Agency, LLC
real estaten

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left
Akron, Oh · principal	259	57	2
Northfield, Mn	27	0	0
Tampa, Fl	25	6	1
Berwyn, Pa	19	2	0
Mayfield Heights, Oh	16	3	1
Boulder, Co	13	13	0
Beachwood, Oh	12	0	0
Troy, Mi	12	0	0
Bloomington, Mn	12	3	0
Dublin, Oh	10	0	1
Minneapolis, Mn	5	5	0
Burlington, Ma	5	1	0
Cottonwood Heights, Ut	5	0	0
Fargo, Nd	5	3	0
Pasadena, Ca	4	4	0
Nashville, Tn	4	0	0
Charleston, Sc	4	0	0
San Antonio, Tx	3	0	0
Phoenix, Az	3	3	0
Houston, Tx	3	1	0

All 26 offices

Post-acquisition retention

advisors of absorbed firms still registered here after the move

Firms absorbed: 11 since 2015, 4 in 24 monthsderived
Advisors acquired: 54derived
Still registered after 90 days: 98% of 50derived
After 180 days: 98% of 50derived
After 365 days: 96% of 46derived
After 730 days: 88% of 40derived
Team lift-outs after: 3derivedteams that left this firm within two years of an absorption

Lower bound: a person who left the industry is on neither side of the tape, and a re-registration to an affiliated CRD of the same group counts as a departure.

Offices

Schedule D 1.F, the 25 largest

Berwyn, PA28 employees
Mayfield Heights, OH16 employees
Columbus, OH14 employees
Troy, MI11 employees
Beachwood, OH11 employees
Tampa, FL10 employees
Burlington, MA7 employees
Nashville, TN7 employees
Westlake, OH5 employees
San Antonio, TX4 employees
Cleveland, OH3 employees
Youngstown, OH2 employees
, 1 employees
Flint, MI1 employees
Hilton Head Island, SC1 employees
Mundelein, IL1 employees
St. Clair Shores, MI1 employees

ADV anomalies

16 against comparable advisers; where to look, not conclusions

control person changedChange between filings · filing Aug 24, 2026
Glick, Joseph, A (EVP, CHIEF OPERATING OFFICER) left Schedule A between the filings of 2024-08-22 and 2026-08-24
peers: independent wealth managers, $20B and over (84)
control person changedChange between filings · filing Aug 24, 2026
MCCAULEY, ANNELISE, WATERFALL (EVP, CHIEF CLIENT EXPERIENCE OFFICER) left Schedule A between the filings of 2024-08-22 and 2026-08-24
peers: independent wealth managers, $20B and over (84)
control person changedChange between filings · filing Aug 24, 2026
Dunn, Matthew, James (CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2024-08-22 and 2026-08-24
peers: independent wealth managers, $20B and over (84)
control person changedChange between filings · filing Aug 24, 2026
SMITH, NORBORNE, GEE (HEAD OF SEQUOIA SENTINEL FAMILY OFFICE) appeared on Schedule A between the filings of 2024-08-22 and 2026-08-24
peers: independent wealth managers, $20B and over (84)
control person changedChange between filings · filing Aug 24, 2026
HANAYIK, STEPHANIE (SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, CHIEF RISK OFFICER) appeared on Schedule A between the filings of 2024-08-22 and 2026-08-24
peers: independent wealth managers, $20B and over (84)
control person changedChange between filings · filing Aug 24, 2026
STETS, JUSTIN, DANIEL (EVP, HEAD OF INTEGRATED WEALTH SERVICES) appeared on Schedule A between the filings of 2024-08-22 and 2026-08-24
peers: independent wealth managers, $20B and over (84)
control person changedChange between filings · filing Aug 24, 2026
ZAMPARELLI, NICHOLAS (SENIOR VICE PRESIDENT, CHIEF INVESTMENT OFFICER) appeared on Schedule A between the filings of 2024-08-22 and 2026-08-24
peers: independent wealth managers, $20B and over (84)
control person changedChange between filings · filing Aug 24, 2026
MORDOH, MICHAEL, S. (VICE PRESIDENT, HEAD OF OPERATIONS) appeared on Schedule A between the filings of 2024-08-22 and 2026-08-24
peers: independent wealth managers, $20B and over (84)
control person changedChange between filings · filing Aug 24, 2026
MARHOFER, MICHAEL (EXECUTIVE VICE PRESIDENT, SECRETARY & GENERAL COUNSEL) appeared on Schedule A between the filings of 2024-08-22 and 2026-08-24
peers: independent wealth managers, $20B and over (84)
control person changedChange between filings · filing Aug 24, 2026
Koch, Jennifer (SENIOR VICE PRESIDENT, ORGANIZATIONAL DEVELOPMENT) appeared on Schedule A between the filings of 2024-08-22 and 2026-08-24
peers: independent wealth managers, $20B and over (84)
control person changedChange between filings · filing Aug 24, 2026
KANTRA, ALBERT, STEVEN (EVP, HEAD OF ADVISORS & BUSINESS DEVELOPMENT) left Schedule A between the filings of 2024-08-22 and 2026-08-24
peers: independent wealth managers, $20B and over (84)
control person changedChange between filings · filing Aug 24, 2026
KNOTEK, GERALD, PAUL (EXECUTIVE VICE PRESIDENT) left Schedule A between the filings of 2024-08-22 and 2026-08-24
peers: independent wealth managers, $20B and over (84)
control person changedChange between filings · filing Aug 24, 2026
THOM, CHRISTOPHER, BRIAN (EVP, CHIEF STRATEGY & PARTNERSHIP OFFICER) left Schedule A between the filings of 2024-08-22 and 2026-08-24
peers: independent wealth managers, $20B and over (84)
control person changedChange between filings · filing Aug 24, 2026
ROSENBLATT, ERIC, LYLE (CONTROLLER) left Schedule A between the filings of 2024-08-22 and 2026-08-24
peers: independent wealth managers, $20B and over (84)
growth on all axesCombination · filing Mar 18, 2026
RAUM, offices and advisors all grew 25 percent or more in one year: a platform in expansion or an acquisition. RAUM $23,033,619,111 to $32,243,580,060, advisors 155 to 233, private clients 8664 to 11064, offices 29 to 38 (2025-04-17 to 2026-03-18)
peers: independent wealth managers, $20B and over (84)
advisor count surgeChange between filings · filing Mar 18, 2026
advisory representatives (Item 5.B.3) moved from 155.0 to 233.0 (+50.0%) between the annual amendments of 2025-04-17 and 2026-03-18; the peer median change was +5.0% (64 comparable advisers, 92.0th percentile of changes)
peers: independent wealth managers, $20B and over (64) · 92% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 28,338 to 39,636
Oct 20, 2025 to Mar 18, 2026
Advisory employees · 168 to 195
Oct 20, 2025 to Mar 18, 2026
BD registered reps · 6 to 4
Oct 20, 2025 to Mar 18, 2026
Charity clients · 22 to 25
Oct 20, 2025 to Mar 18, 2026
Corporate clients · 62 to 106
Oct 20, 2025 to Mar 18, 2026
HNW clients · 3,372 to 4,556
Oct 20, 2025 to Mar 18, 2026
Individual clients · 5,292 to 6,508
Oct 20, 2025 to Mar 18, 2026
Assets in custody · $12B to $16B
Oct 20, 2025 to Mar 18, 2026
Employees · 296 to 424
Oct 20, 2025 to Mar 18, 2026
State-registered IARs · 155 to 233
Oct 20, 2025 to Mar 18, 2026
Other offices · 36 to 38
Oct 20, 2025 to Mar 18, 2026
Private funds · 16 to 17
Oct 20, 2025 to Mar 18, 2026
Discretionary RAUM · $21B to $31B
Oct 20, 2025 to Mar 18, 2026
HNW RAUM · $17B to $25B
Oct 20, 2025 to Mar 18, 2026
Individual RAUM · $3.6B to $5.1B
Oct 20, 2025 to Mar 18, 2026
Non-discretionary RAUM · $1.5B to $1.6B
Oct 20, 2025 to Mar 18, 2026
Pension RAUM · $13.6M to $18.1M
Oct 20, 2025 to Mar 18, 2026
Pooled vehicle RAUM · $1.5B to $1.6B
Oct 20, 2025 to Mar 18, 2026
RAUM · $23B to $32B
Oct 20, 2025 to Mar 18, 2026
Other offices · 33 to 36
Aug 19, 2025 to Oct 20, 2025
Other offices · 29 to 33
Jun 23, 2025 to Aug 19, 2025
Private funds · 17 to 16
Jun 23, 2025 to Aug 19, 2025
Financial planning clients · More than 500 to More than 500
May 30, 2025 to Jun 23, 2025
Assets in custody · $9.9B to $12B
Feb 28, 2025 to Apr 17, 2025
Private funds · 18 to 17
Feb 28, 2025 to Apr 17, 2025
Accounts · 24,703 to 28,338
Aug 22, 2024 to Feb 28, 2025
Advisory employees · 144 to 168
Aug 22, 2024 to Feb 28, 2025
Charity clients · 12 to 22
Aug 22, 2024 to Feb 28, 2025
Corporate clients · 39 to 62
Aug 22, 2024 to Feb 28, 2025
HNW clients · 2,759 to 3,372
Aug 22, 2024 to Feb 28, 2025
Individual clients · 4,826 to 5,292
Aug 22, 2024 to Feb 28, 2025
Assets in custody · $8.5B to $9.9B
Aug 22, 2024 to Feb 28, 2025
Employees · 276 to 296
Aug 22, 2024 to Feb 28, 2025
Insurance-licensed employees · 0 to 1
Aug 22, 2024 to Feb 28, 2025
State-registered IARs · 41 to 155
Aug 22, 2024 to Feb 28, 2025
Private funds · 17 to 18
Aug 22, 2024 to Feb 28, 2025
Discretionary RAUM · $18B to $21B
Aug 22, 2024 to Feb 28, 2025
HNW RAUM · $15B to $17B
Aug 22, 2024 to Feb 28, 2025
Individual RAUM · $3.2B to $3.6B
Aug 22, 2024 to Feb 28, 2025
Non-discretionary RAUM · $1.8B to $1.5B
Aug 22, 2024 to Feb 28, 2025

Signals

59 dated events

Sterling Financial Group, Inc.'s advisors moved to Sequoia Financial Group, L.L.C. (Pasadena, CA): 4 of 4 registered, on the same day
Jun 30, 2026 · Firm absorbed (people side) · derived
Gregory James Revak left Sequoia Financial Group, L.L.C. for Creative Planning (registered 2026-05-03)
Apr 29, 2026 · Advisor changed firm · fact
Travis Dragan left Sequoia Financial Group, L.L.C. for Mission Wealth Management, Lp (registered 2026-03-09)
Mar 23, 2026 · Advisor changed firm · fact
Sequoia Financial Group, L.L.C. reported RAUM $32.2B, up 40% from $23.0B (2025-10-20 to 2026-03-18)
Mar 18, 2026 · RAUM change · derived
Sequoia Financial Group, L.L.C. reported 233 state-registered advisory representatives, up from 155 (2025-10-20 to 2026-03-18)
Mar 18, 2026 · Advisor headcount change · derived
Nicole Savage left Sequoia Financial Group, L.L.C. for Wild Iris Financial (registered 2026-05-10)
Mar 10, 2026 · Advisor changed firm · fact
Alissa M Hitchcock left Sequoia Financial Group, L.L.C. for Edward Jones (registered 2026-02-19)
Mar 3, 2026 · Advisor changed firm · fact
Michael Levon Daniels left Sequoia Financial Group, L.L.C. for Mariner (registered 2025-12-10)
Dec 26, 2025 · Advisor changed firm · fact
The Martin Worley Group's advisors moved to Sequoia Financial Group, L.L.C. (Cottonwood Heights, UT): 4 of 5 registered, on the same day
Oct 22, 2025 · Firm absorbed (people side) · derived
Shawn Hayward left Sequoia Financial Group, L.L.C. for Savvy (registered 2025-12-22)
Sep 24, 2025 · Advisor changed firm · fact
Carlson Capital Management, LLC's advisors moved to Sequoia Financial Group, L.L.C. (Northfield, MN): 3 of 4 registered, on the same day
Sep 10, 2025 · Firm absorbed (people side) · derived
Jessica Lily Vongsaphay left Sequoia Financial Group, L.L.C. for Lido (registered 2026-03-03)
Aug 5, 2025 · Advisor changed firm · fact
Ashley Candace Costello left Sequoia Financial Group, L.L.C. for Mariner (registered 2025-06-03)
Jun 27, 2025 · Advisor changed firm · fact
Emily Nicole Ebel left Sequoia Financial Group, L.L.C. for Mariner (registered 2025-06-13)
Jun 20, 2025 · Advisor changed firm · fact
2 advisors left Sequoia Financial Group, L.L.C. (Akron, OH) for Mariner within 7 days
Jun 20, 2025 · Team lift-out · derived
Kevin Allen Mcpeek left Sequoia Financial Group, L.L.C. for Journey Wealth Management (registered 2025-07-02)
Jun 6, 2025 · Advisor changed firm · fact
Michael Sean Spangler left Sequoia Financial Group, L.L.C. for Kohmann Bosshard Financial Services, Llc. (registered 2025-05-13)
Jun 6, 2025 · Advisor changed firm · fact
Family Asset Management, LLC's advisors moved to Sequoia Financial Group, L.L.C. (Charleston, SC): 3 of 3 registered, on the same day
Mar 25, 2025 · Firm absorbed (people side) · derived
Justin M Patellaro left Sequoia Financial Group, L.L.C. for Money Concepts Advisory Service (registered 2025-02-18)
Mar 10, 2025 · Advisor changed firm · fact
Ryan Thomas Weigel left Sequoia Financial Group, L.L.C. for Elysium Wealth Management, Llc (registered 2025-02-04)
Feb 28, 2025 · Advisor changed firm · fact
Sequoia Financial Group, L.L.C. reported 155 state-registered advisory representatives, up from 41 (2024-08-22 to 2025-02-28)
Feb 28, 2025 · Advisor headcount change · derived
Brian Voelker left Sequoia Financial Group, L.L.C. for The Table Financial Planning Llc (registered 2026-02-26)
Jan 16, 2025 · Advisor changed firm · fact
Ashley Elizabeth Crotwell left Sequoia Financial Group, L.L.C. for Mesirow Financial Investment Management, Inc. (registered 2025-01-24)
Jan 16, 2025 · Advisor changed firm · fact
Zachary Miller Rosenthal left Sequoia Financial Group, L.L.C. for Mma Securities Llc (registered 2025-04-16)
Jan 10, 2025 · Advisor changed firm · fact
Jill J Klose left Sequoia Financial Group, L.L.C. for Mariner (registered 2024-11-12)
Dec 5, 2024 · Advisor changed firm · fact
Daren Lee Pladson left Sequoia Financial Group, L.L.C. for Mariner (registered 2024-11-19)
Dec 5, 2024 · Advisor changed firm · fact
Samantha Rae Gilgosch left Sequoia Financial Group, L.L.C. for Sagespring Wealth Partners (registered 2025-02-19)
Nov 8, 2024 · Advisor changed firm · fact
5 advisors left Eide Bailly Advisors, LLC (Sioux Falls, SD) for Sequoia Financial Group, L.L.C. within 7 days
Nov 8, 2024 · Team lift-out · derived
Elizabeth Pierce Scheiderer left Sequoia Financial Group, L.L.C. for Signal Tree Financial Partners Llc (registered 2024-08-30)
Aug 23, 2024 · Advisor changed firm · fact
Brian Christopher Thom (Evp, Chief Strategy & Partnership Officer) appeared on Schedule A of Sequoia Financial Group, L.L.C.
Aug 22, 2024 · Control person joined · fact

Across DFX

shared identifiers only, never a name match

Sequoia Financial Group, L.L.C. · Independent Sponsors
shared crd · capital_provider
Sequoia Financial Advisors, L.L.C. · Private Equity
shared crd · organization

How to reach

public business contact points only, each with its source

Business email: info@sequoia-financial.comreportedpublished by the firm, firm site, Sep 15, 2026
Business phone: 330-375-9480reportedpublished by the firm, firm site, Sep 15, 2026
Firm profile: linkedin.com/company/special-needs-planningreportedpublic record, Form ADV, Sep 17, 2026
Firm profile: linkedin.com/company/sequoia-financial-groupreportedpublic record, Form ADV, Sep 17, 2026
Website: sequoia-financial.comreportedpublic record, Form ADV, Sep 17, 2026
Principal office phone: 330-375-9480reportedpublic record, Form ADV, Aug 24, 2026

Provenance

Form ADV: SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors: IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class: Independent wealth managerderiveda rule over Items 5.D and 7.A
RAUM per advisor: $124Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026

Across the graphs

Sequoia Financial Group, L.L.C. is the same institution as 1 record in Real Estate Funds.

Real Estate Funds1

Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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