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.

Former SEC-registered adviser

Ssn Advisory, Inc.

Former SEC-registered adviserKnoxville, TennesseeCRD 126090SEC 801-61989IAPD
Latest filing Aug 14, 2020
First filing on the tape Jan 3, 2012 · 71 filings
RAUM
$2.4B
reported, Item 5.F
Discretionary
84%
of RAUM
Private clients
99%
$2.4B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
241
222 advisory (5.B.1)
Offices
6
beyond the principal office
Private funds
0
reported on Schedule D
History
71 filings and snapshots on the tape
RAUM$2.4B as of Mar 30, 2020
Mar 22, 2012$580M then
HNW client RAUM$867M as of Mar 30, 2020
Mar 20, 2018$482M then
State-registered IARs (5.B.3)228 as of Mar 30, 2020
Mar 7, 2013185 then
Employees (5.A)241 as of Mar 30, 2020
Mar 7, 2013222 then
Private funds: no history
RAUM -16% over the last fiscal year+8.3% a year over threeIARs 220 to 228offices 151 to 6
Practice profile
derived from the filing of Aug 14, 2020; every figure names its basis
RAUM per advisor
$10.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
57derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$365,264derivedHNW RAUM over HNW clients
Average account
$174,218derivedRAUM over accounts (5.F.2.f)
Discretionary
84%derivedof RAUM
Institutional
0.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.1derivedItem 5.A over advisors
Advisors per office
32.6derived7 offices incl. principal (1.F.5)
RAUM growth, one year
-16%derivedbetween the last two annual amendments
Advisor growth, one year
+3.6%derivedItem 5.B.3 between annual amendments
Client growth, one year
+9.0%derived
Compensation
percentage of assets, hourly, fixed fees, subscriptionreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Financial planning clients
1,000reportedItem 5.H
Wrap fee program
$67.4MreportedItem 5.I
Custody
$900M, 3,032 clientsreportedItem 9.A
Ownership
a PE fund or sponsor is a 25 percent or greater owner on Schedule Aderived
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$1.6B64%
  • High-net-worth individuals$867M36%
  • Pension and profit-sharing plans$14.4M0.6%
  • Charitable organizations$2.8M0.1%
  • Corporations and businesses$1.6M0.1%
Individual clients
10,600reported
HNW clients
2,373reported
Pension plan clients
99reported
Charitable clients
20reported
Accounts
13,989reported
Financial planning clients
1,000reported
Wrap fee programs
$67.4M sponsored, $0 managedreported
Custody of client assets
$900M for 3,032 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Salvatore Philip Blancato · Directorcontrol
    since 01/2015 · owns less than 5%
  • N/A Joseph Giovanniello · Directorcontrol
    since 01/2015 · owns less than 5%
  • Thomas Ronald Klimas · Executive Vice Presidentcontrol
    since 03/2003 · owns less than 5%
  • Elmer Jonathan Maas · Vice President, Tradingcontrol
    since 01/2006 · owns less than 5%
  • Nina Mckenna · Secretarycontrol
    since 05/2020 · owns less than 5%
  • Mohanbhai Jayaprakash Patel · Senior Vice President Of Accountingcontrol
    since 03/2003 · owns less than 5%
  • Dale James Price · Chairmancontrol
    since 05/2020 · owns less than 5%
  • Adam Matthew Schlueter · Directorcontrol
    since 05/2020 · owns less than 5%
  • Shannon Wade Wilkinson · President And Ceocontrol
    since 03/2003 · owns less than 5%
  • James Heath Smargiasso · Vice President And Chief Compliance Officer Of Ssnai
    since 05/2018 · owns less than 5%
Entity owners
  • Advisor Group Holdings, Inc. · Owner
    indirect · owns 75% or more of Ag Parent Corp.
  • Ag Artemis Holdings, L.P. · Shareholder
    indirect · owns 75% or more of Ag Parent Corp.
  • Ag Intermediate Corp. · Shareholder
    indirect · owns 75% or more of Ag Parent Corp.
  • Ag Parent Corp. · Shareholder
    indirect · owns 75% or more of Advisor Group Holdings, Inc.
  • Ladenburg Thalmann Financial Services, Inc. · Shareholder
    indirect · owns 75% or more of Advisor Group Holdings, Inc.
  • Rcp Artemis Co-Invest, L.P. · Limited Partner
    indirect · owns 75% or more of Ag Parent Corp.
Related persons
Schedule D 7.A
Advisers that list Ssn Advisory, Inc. as a related person
Offices
Schedule D 1.F, the 25 largest
  • Brookfield, WI9 employees
  • Birmingham, AL6 employees
  • West Hartford, CT5 employees
  • Gaithersburg, MD5 employees
  • Chesterfield, MO3 employees
  • Westerville, OH1 employees
What changed
consecutive filings, newest first
  • Accounts · 12,794 to 13,989
    Mar 13, 2020 to Mar 30, 2020
  • Advisory employees · 215 to 222
    Mar 13, 2020 to Mar 30, 2020
  • BD registered reps · 234 to 237
    Mar 13, 2020 to Mar 30, 2020
  • HNW clients · 1,960 to 2,373
    Mar 13, 2020 to Mar 30, 2020
  • Individual clients · 9,947 to 10,600
    Mar 13, 2020 to Mar 30, 2020
  • Pension plan clients · 39 to 99
    Mar 13, 2020 to Mar 30, 2020
  • Commission compensation · true to false
    Mar 13, 2020 to Mar 30, 2020
  • Employees · 246 to 241
    Mar 13, 2020 to Mar 30, 2020
  • State-registered IARs · 220 to 228
    Mar 13, 2020 to Mar 30, 2020
  • Discretionary RAUM · $2.4B to $2.0B
    Mar 13, 2020 to Mar 30, 2020
  • HNW RAUM · $659M to $867M
    Mar 13, 2020 to Mar 30, 2020
  • Individual RAUM · $2.2B to $1.6B
    Mar 13, 2020 to Mar 30, 2020
  • Non-discretionary RAUM · $536M to $391M
    Mar 13, 2020 to Mar 30, 2020
  • Pension RAUM · $3.3M to $14.4M
    Mar 13, 2020 to Mar 30, 2020
  • RAUM · $2.9B to $2.4B
    Mar 13, 2020 to Mar 30, 2020
  • Wrap assets (sponsor) · $44.3M to $67.4M
    Mar 13, 2020 to Mar 30, 2020
  • Other offices · 5 to 6
    Mar 5, 2020 to Mar 13, 2020
  • Other offices · 151 to 5
    Jul 11, 2019 to Mar 5, 2020
  • Accounts · 12,550 to 12,794
    Jan 4, 2019 to Mar 29, 2019
  • Advisory employees · 214 to 215
    Jan 4, 2019 to Mar 29, 2019
  • BD registered reps · 239 to 234
    Jan 4, 2019 to Mar 29, 2019
  • Charity clients · unset to 20.0
    Jan 4, 2019 to Mar 29, 2019
  • Corporate clients · unset to 19.0
    Jan 4, 2019 to Mar 29, 2019
  • HNW clients · 2,197 to 1,960
    Jan 4, 2019 to Mar 29, 2019
  • Individual clients · 10,355 to 9,947
    Jan 4, 2019 to Mar 29, 2019
  • Pension plan clients · unset to 39.0
    Jan 4, 2019 to Mar 29, 2019
  • Employees · 239 to 246
    Jan 4, 2019 to Mar 29, 2019
  • Insurance-licensed employees · 5 to 4
    Jan 4, 2019 to Mar 29, 2019
  • Discretionary RAUM · $2.2B to $2.4B
    Jan 4, 2019 to Mar 29, 2019
  • HNW RAUM · $482M to $659M
    Jan 4, 2019 to Mar 29, 2019
  • Individual RAUM · $2.2B to $2.2B
    Jan 4, 2019 to Mar 29, 2019
  • Non-discretionary RAUM · $479M to $536M
    Jan 4, 2019 to Mar 29, 2019
  • Pension RAUM · $0 to $3.3M
    Jan 4, 2019 to Mar 29, 2019
  • RAUM · $2.7B to $2.9B
    Jan 4, 2019 to Mar 29, 2019
  • Assets in custody · unset to 900450000.0
    May 8, 2018 to Jul 2, 2018
  • Custody of client assets · false to true
    May 8, 2018 to Jul 2, 2018
  • HNW clients · 2,361 to 2,197
    Feb 9, 2018 to Mar 20, 2018
  • Individual clients · 10,456 to 10,355
    Feb 9, 2018 to Mar 20, 2018
  • HNW RAUM · $481M to $482M
    Feb 9, 2018 to Mar 20, 2018
  • Individual RAUM · $2.6B to $2.2B
    Feb 9, 2018 to Mar 20, 2018
Signals
8 dated events
  • Heath Brett Kaufman (Director) no longer on Schedule A of Ssn Advisory, Inc. (listed 2020-06-15, absent 2020-06-26)
    Jun 26, 2020 · Control person left · inference
  • Adam Matthew Schlueter (Director) appeared on Schedule A of Ssn Advisory, Inc.
    Jun 26, 2020 · Control person joined · fact
  • Dale James Price (Chairman) appeared on Schedule A of Ssn Advisory, Inc.
    Jun 26, 2020 · Control person joined · fact
  • Nina Mckenna (Secretary) appeared on Schedule A of Ssn Advisory, Inc.
    Jun 26, 2020 · Control person joined · fact
  • Scott Adam Malamed (Director) no longer on Schedule A of Ssn Advisory, Inc. (listed 2020-03-05, absent 2020-03-13)
    Mar 13, 2020 · Control person left · inference
  • Ssn Advisory, Inc. reported 5 offices beyond its principal office, down from 151 (2019-07-11 to 2020-03-05)
    Mar 5, 2020 · Office count change · derived
  • William Gregory Kalosieh (Vice President Of Sales And Marketing) no longer on Schedule A of Ssn Advisory, Inc. (listed 2018-12-21, absent 2019-01-04)
    Jan 4, 2019 · Control person left · inference
  • Ssn Advisory, Inc. reported RAUM $2.7B, up 40% from $1.9B (2017-09-28 to 2018-02-01)
    Feb 1, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026