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
Concord Equity Group Advisors, LLC
Latest filing Jul 20, 2012
First filing on the tape Dec 14, 2011 · 5 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 20, 2012
Dec 14, 20110 then
Employees (5.A): no history
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 20, 2012; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- selection of other advisers, otherreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- n/areported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
- Patrick Charles Homan to LPL Financial LLCAug 2, 2012 · Other
- Kirk Edward Loury to Mcm WealthAug 2, 2012 · Other
- Daniel Michael Kelly to Fintegra, LLCAug 31, 2009 · Other
- Dirk Claas Jacobs to Independent Financial Group, LLCSep 19, 2008 · Other
- William Ignatius Russo to American Portfolios Advisors, IncSep 19, 2008 · Other
- David Gregory Stitt to Paulson Investment Company, LLCJul 3, 2008 · Other
- Daniel Thomas Rayl to American Portfolios Advisors, IncJul 3, 2008 · Other
Joined, latest
- Patrick Charles Homan from Independent Advisers Group CorpAug 8, 2011 · Other
- Dirk Claas Jacobs from The Concord Equity Group, LLCJun 21, 2007 · Other
- William Ignatius Russo from The Concord Equity Group, LLCMay 9, 2007 · Other
- David Gregory Stitt from The Concord Equity Group, LLCMay 8, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Danny Lee Argush · Svpcontrolsince 03/2006 · owns 10% to 25%
- Leigh Stephanie Brown · Secretarycontrolsince 06/2011 · owns less than 5%
- Felix Alan Gavornik · Svpcontrolsince 03/2006 · owns 10% to 25%
- Andrew John Kalbaugh · Directorcontrolsince 05/2012 · owns less than 5%
- Nicholas Mariniello · Svpcontrolsince 03/2006 · owns 10% to 25%
- Paul Middlemiss · Chief Compliance Officercontrolsince 06/2011 · owns less than 5%
- Robert Moore · Directorcontrolsince 05/2012 · owns less than 5%
- Andrew Putterman · Directorcontrolsince 05/2012 · owns less than 5%
Entity owners
- Concord Capital Partners, Inc. · Managing Memberdirect · owns 75% or more
- LPL Financial Holdings Inc. · Parent Companyindirect · owns 75% or more of LPL Holdings, Inc. · public reporting company
- LPL Holdings, Inc. · Parent Companyindirect · owns 75% or more of Concord Capital Partners, Inc.
Related persons
Schedule D 7.A
- Fortigent Strategies Company, LLCpooled vehicle sponsorn
- Fortigent, LLCinvestment advisernRAUM $3.5B
- Independent Advisers Group Corpinvestment advisernRAUM $149M
- LPL Financial LLCbroker-dealerinvestment adviserbanktrust companynRAUM $819B
- LPL Insurance Associates, Inc.real estaten
- Nestwise LLCinvestment advisernRAUM $129,753
- The Private Trust Company, N.A.n
Advisers that list Concord Equity Group Advisors, LLC as a related person
- 145797 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Related bank · false to trueMar 30, 2012 to Jun 26, 2012
- Insurance-licensed employees · unset to 4.0Dec 23, 2011 to Mar 30, 2012
Signals
No event on the tape.
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