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
Concourse Financial Group Advisors
Legal name Concourse Financial Group Securities, Inc.
Latest filing Oct 28, 2024
First filing on the tape Mar 30, 2012 · 94 filings
SEC status approved since Nov 20, 1998
RAUM
$4.4B
reported, Item 5.F
Discretionary
69%
of RAUM
Private clients
99%
$4.3B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
885
566 advisory (5.B.1)
Offices
245
beyond the principal office
Private funds
0
reported on Schedule D
History
94 filings and snapshots on the tape
RAUM$4.4B as of Mar 26, 2024
Mar 30, 2012$1.9B then
HNW client RAUM$1.2B as of Mar 26, 2024
Mar 29, 2018$868M then
State-registered IARs (5.B.3)361 as of Mar 26, 2024
Mar 28, 2013650 then
Employees (5.A)885 as of Mar 26, 2024
Mar 28, 2013850 then
Private funds: no history
RAUM +8.8% over the last fiscal year-0.2% a year over threeIARs 404 to 361
Practice profile
derived from the filing of Oct 28, 2024; every figure names its basis
- RAUM per advisor
- $12.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 35derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.0MderivedHNW RAUM over HNW clients
- Average account
- $208,666derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 69%derivedof RAUM
- Institutional
- 0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 1.5derived246 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- -11%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.0%derived
- Compensation
- percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
- Wrap fee program
- $2.7BreportedItem 5.I
- Custody
- $568M, 1,968 clientsreportedItem 9.A
- 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
- is a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$3.2B72%
- High-net-worth individuals$1.2B27%
- Corporations and businesses$15.0M0.3%
- Charitable organizations$10.8M0.2%
- Pension and profit-sharing plans$7.0M0.2%
- Investment companies$2.4M0.1%
- Individual clients
- 11,586reported
- HNW clients
- 1,160reported
- Pension plan clients
- 19reported
- Charitable clients
- 5reported
- Accounts
- 20,957reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $2.6B sponsored, $0 managedreported
- Custody of client assets
- $568M for 1,968 clientsreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- 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
- Harold Blaine Miller to M Holdings Securities, Inc.Mar 13, 2025 · Affiliated broker-dealer or bank to another
- Michael Drew Davenport to Raymond James Financial Services Advisors, IncMar 3, 2025 · Affiliated broker-dealer or bank to another
- Timothy Brian Walls to Stonex Advisors Inc.Feb 21, 2025 · Affiliated broker-dealer or bank to another
- Beth Lynette Anderson to SpcFeb 21, 2025 · Affiliated broker-dealer or bank to another
- Eric Perich to Stonex Advisors Inc.Feb 21, 2025 · Affiliated broker-dealer or bank to another
- Eric Scott Groff to Everence Trust CompanyFeb 20, 2025 · Other
- Russell Michael Burton to Everence Trust CompanyFeb 20, 2025 · Other
- Kenteth James Blossom to Everence Trust CompanyFeb 20, 2025 · Other
- Steven Eric Schroll to Everence Trust CompanyFeb 20, 2025 · Other
- Shane Michael Landis to Everence Trust CompanyFeb 20, 2025 · Other
- Jennifer Story Quirk to Chitwood-Lindberg Wealth ManagementFeb 20, 2025 · Other
- Robert Allan Wall to Everence Trust CompanyFeb 20, 2025 · Other
- Dennis Allen Lefevre to Everence Trust CompanyFeb 20, 2025 · Other
- Joseph Alexander Shenk to Everence Trust CompanyFeb 20, 2025 · Other
- Jeremiah Eli Patterson to Harvest Investment Services, LLCFeb 20, 2025 · Other
Joined, latest
- Brian Matthews from Domain Money Advisors, LLCFeb 20, 2025 · Other
- Jeffrey Scott Rowland from LPL Financial LLCJan 30, 2025 · Affiliated broker-dealer or bank to another
- Justin Thomas Horsch from Slp WealthMar 11, 2024 · Other
- Michael Spencer Loveless from Voya Retirement Advisors, LLCFeb 26, 2024 · Other
- Robert Aaron Hostetter from Securities America Advisors, Inc.Nov 16, 2023 · Affiliated broker-dealer or bank to another
- David Hallmark from Truist Advisory Services, Inc.Jun 1, 2023 · Affiliated broker-dealer or bank to another
- John M Katon from Equitable Advisors, LLCApr 17, 2023 · Affiliated broker-dealer or bank to another
- Aram Tony Urfalyan from Pruco Securities, LLCMar 16, 2023 · Affiliated broker-dealer or bank to another
- Frank Lee Arnold from Securities America Advisors, Inc.Mar 1, 2023 · Affiliated broker-dealer or bank to another
- Marcus Arnold from Securities America Advisors, Inc.Mar 1, 2023 · Affiliated broker-dealer or bank to another
- Brandon C Campbell from Principal Securities, Inc.Nov 23, 2022 · Affiliated broker-dealer or bank to another
- Roger Dean Heidlebaugh from Osaic Institutions, Inc.Oct 24, 2022 · Affiliated broker-dealer or bank to another
- Richard Scott Perkins from Lanark Financial, Inc.Sep 20, 2022 · Affiliated broker-dealer or bank to another
- Jesse Maust from Raymond James Financial Services Advisors, IncJul 25, 2022 · Affiliated broker-dealer or bank to another
- Christopher Ray Smith from Wells Fargo AdvisorsJul 1, 2022 · Wirehouse to affiliated broker-dealer or bank
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Stonex Advisors Inc.Feb 21, 2025 · Birmingham, Al
- 12 left for Everence Trust CompanyFeb 20, 2025 · Birmingham, Al
- 2 left for Capital Investment Advisory Services, LLCDec 19, 2024 · Raleigh, Nc
- 3 left for Tlg Advisors, Inc.Dec 2, 2024 · Birmingham, Al
- 2 left for Newedge AdvisorsOct 16, 2024 · Bismarck, Nd
- 2 left for Cambridge Investment Research Advisors, Inc.May 24, 2024 · Baton Rouge, La
- 2 left for Osaic Wealth, Inc.Oct 26, 2023 · Jacksonville, Fl
- 2 left for LPL Financial LLCMay 5, 2023 · Asheville, Nc
- 2 joined from Securities America Advisors, Inc.Feb 27, 2023 · Conyers, Ga
- 3 joined from Osaic Fa, Inc.Oct 8, 2018 · Camp Hill, Pa
- 2 joined from USA Financial Securities LLCJun 19, 2018 · Fort Wayne, In
- 2 joined from Osaic Fs, Inc.Dec 20, 2017 · Knoxville, Tn
- 2 joined from Osaic Fs, Inc.Sep 13, 2017 · Davidson, Nc
- 2 joined from Waddell & ReedSep 6, 2016 · Maitland, Fl
- 3 joined from Transamerica Financial Advisors, LLCApr 14, 2016 · Cincinnati, Oh
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Elizabeth Giltz Anderson · President/Ceocontrolsince 07/2020 · owns less than 5%
- Darren Cyril Guerrera · Cfocontrolsince 04/2015 · owns less than 5%
- Harold Blaine Miller · Chief Compliance Officercontrolsince 09/2021 · owns less than 5%
- Aaron Christopher Seurkamp · Directorcontrolsince 06/2018 · owns less than 5%
- Rory Marshall Hartley · Managing Directorsince 12/2004 · owns less than 5%
- David A Perry · Directorsince 10/2022 · owns less than 5%
- Barbara Nelson Pugh · Directorsince 01/2022 · owns less than 5%
- James Carl Jr Wagner · Directorsince 08/2020 · owns less than 5%
Entity owners
- Protective Life Corporation · Parentdirect · owns 75% or more · public reporting company
- Dai-Ichi Life Holdings, Inc. · Ownerindirect · owns 75% or more of Dai-Ichi Life International Holdings, LLC
- Dai-Ichi Life International Holdings. LLC · Ownerindirect · owns 75% or more of Protective Life Corporation
Related persons
Schedule D 7.A
- Investment Distributors, Inc.broker-dealern
Advisers that list Concourse Financial Group Advisors as a related person
- 107542 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Alpharetta, Ga | 0 | 0 | 0 | ||
| Atlanta, Ga | 0 | 0 | 0 | ||
| Baton Rouge, La | 0 | 0 | 0 | ||
| Birmingham, Al · principal | 0 | 0 | 0 | ||
| Bismarck, Nd | 0 | 0 | 0 | ||
| Davidson, Nc | 0 | 0 | 0 | ||
| Dothan, Al | 0 | 0 | 0 | ||
| Edina, Mn | 0 | 0 | 0 | ||
| Evansville, In | 0 | 0 | 0 | ||
| Fort Payne, Al | 0 | 0 | 0 | ||
| Fuquay Varina, Nc | 0 | 0 | 0 | ||
| Glendale, Ca | 0 | 0 | 0 | ||
| Harrisonburg, Va | 0 | 0 | 0 | ||
| Huntingdon, Pa | 0 | 0 | 0 | ||
| Jacksonville, Fl | 0 | 0 | 0 | ||
| Lawrencevill, Ga | 0 | 0 | 0 | ||
| Manheim, Pa | 0 | 0 | 0 | ||
| Mechanicsburg, Pa | 0 | 0 | 0 | ||
| Milledgeville, Ga | 0 | 0 | 0 | ||
| Mitchell, In | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Goshen, IN16 employees
- Mount Joy, PA12 employees
- North Newton, KS10 employees
- Souderton, PA8 employees
- Lancaster, PA8 employees
- West Hartford, CT7 employees
- Waynesboro, VA7 employees
- Belle Chassee, LA7 employees
- Raleigh, NC7 employees
- Ephrata, PA6 employees
- Spartanburg, SC6 employees
- Heathrow, FL6 employees
- Houston, TX6 employees
- The Woodlands, TX6 employees
- Fort Wayne, IN5 employees
- Harrisonburg, VA5 employees
- Birmingham, MI5 employees
- Harrisonburg, VA5 employees
- Lagrange, KY5 employees
- Harrisonburg, VA4 employees
- Ephrata, PA4 employees
- Ephrate, PA4 employees
- Hartville, OH4 employees
- Goshen, IN3 employees
- Sugar Land, TX2 employees
What changed
consecutive filings, newest first
- Accounts · 21,163 to 20,957Jun 12, 2023 to Mar 26, 2024
- Advisory employees · 640 to 566Jun 12, 2023 to Mar 26, 2024
- BD registered reps · 643 to 566Jun 12, 2023 to Mar 26, 2024
- HNW clients · 1,171 to 1,160Jun 12, 2023 to Mar 26, 2024
- Individual clients · 11,701 to 11,586Jun 12, 2023 to Mar 26, 2024
- Assets in custody · $78.5M to $568MJun 12, 2023 to Mar 26, 2024
- Employees · 1,006 to 885Jun 12, 2023 to Mar 26, 2024
- Insurance-licensed employees · 41 to 35Jun 12, 2023 to Mar 26, 2024
- Financial planning clients · 26-50 to 101-250Jun 12, 2023 to Mar 26, 2024
- State-registered IARs · 404 to 361Jun 12, 2023 to Mar 26, 2024
- Discretionary RAUM · $2.7B to $3.0BJun 12, 2023 to Mar 26, 2024
- HNW RAUM · $1.1B to $1.2BJun 12, 2023 to Mar 26, 2024
- Individual RAUM · $2.9B to $3.2BJun 12, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $1.3B to $1.4BJun 12, 2023 to Mar 26, 2024
- Pension RAUM · $6.4M to $7.0MJun 12, 2023 to Mar 26, 2024
- RAUM · $4.0B to $4.4BJun 12, 2023 to Mar 26, 2024
- Wrap assets (sponsor) · $2.4B to $2.6BJun 12, 2023 to Mar 26, 2024
- Accounts · 24,896 to 21,163Jan 10, 2023 to Mar 29, 2023
- Advisory employees · 673 to 640Jan 10, 2023 to Mar 29, 2023
- BD registered reps · 420 to 643Jan 10, 2023 to Mar 29, 2023
- Charity clients · 6 to 5Jan 10, 2023 to Mar 29, 2023
- Corporate clients · 49 to 40Jan 10, 2023 to Mar 29, 2023
- HNW clients · 1,422 to 1,171Jan 10, 2023 to Mar 29, 2023
- Individual clients · 14,207 to 11,701Jan 10, 2023 to Mar 29, 2023
- Pension plan clients · 23 to 19Jan 10, 2023 to Mar 29, 2023
- Assets in custody · $20.6M to $78.5MJan 10, 2023 to Mar 29, 2023
- Employees · 1,090 to 1,006Jan 10, 2023 to Mar 29, 2023
- Insurance-licensed employees · 39 to 41Jan 10, 2023 to Mar 29, 2023
- Financial planning clients · 251-500 to 26-50Jan 10, 2023 to Mar 29, 2023
- State-registered IARs · 434 to 404Jan 10, 2023 to Mar 29, 2023
- Other offices · 278 to 245Jan 10, 2023 to Mar 29, 2023
- Discretionary RAUM · $3.9B to $2.7BJan 10, 2023 to Mar 29, 2023
- HNW RAUM · $1.5B to $1.1BJan 10, 2023 to Mar 29, 2023
- Individual RAUM · $4.2B to $2.9BJan 10, 2023 to Mar 29, 2023
- Non-discretionary RAUM · $1.9B to $1.3BJan 10, 2023 to Mar 29, 2023
- Pension RAUM · $9.1M to $6.4MJan 10, 2023 to Mar 29, 2023
- RAUM · $5.7B to $4.0BJan 10, 2023 to Mar 29, 2023
- Wrap assets (sponsor) · $3.4B to $2.4BJan 10, 2023 to Mar 29, 2023
- Accounts · 22,138 to 24,896Dec 23, 2021 to Mar 25, 2022
- Advisory employees · 715 to 673Dec 23, 2021 to Mar 25, 2022
Signals
60 dated events
- Concourse Financial Group Advisors no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $4.4B)May 2, 2025 · Left the SEC roster · derived
- Harold Blaine Miller left Concourse Financial Group Advisors for M Holdings Securities, Inc. (registered 2025-04-08)Mar 13, 2025 · Advisor changed firm · fact
- Michael Drew Davenport left Concourse Financial Group Advisors for Raymond James Financial Services Advisors, Inc (registered 2026-04-21)Mar 3, 2025 · Advisor changed firm · fact
- Timothy Brian Walls left Concourse Financial Group Advisors for Stonex Advisors Inc. (registered 2025-09-10)Feb 21, 2025 · Advisor changed firm · fact
- Beth Lynette Anderson left Concourse Financial Group Advisors for Spc (registered 2025-04-07)Feb 21, 2025 · Advisor changed firm · fact
- Eric Perich left Concourse Financial Group Advisors for Stonex Advisors Inc. (registered 2025-06-16)Feb 21, 2025 · Advisor changed firm · fact
- 2 advisors left Concourse Financial Group Advisors (Birmingham, AL) for Stonex Advisors Inc. on the same dayFeb 21, 2025 · Team lift-out · derived
- Benjamin E Gooding left Concourse Financial Group Advisors for Everence Trust Company (registered 2018-03-01)Feb 20, 2025 · Advisor changed firm · fact
- Kevin James Nice left Concourse Financial Group Advisors for Everence Trust Company (registered 2017-02-22)Feb 20, 2025 · Advisor changed firm · fact
- Eric Scott Groff left Concourse Financial Group Advisors for Everence Trust Company (registered 2010-01-25)Feb 20, 2025 · Advisor changed firm · fact
- Russell Michael Burton left Concourse Financial Group Advisors for Everence Trust Company (registered 2014-08-11)Feb 20, 2025 · Advisor changed firm · fact
- Dennis Allen Lefevre left Concourse Financial Group Advisors for Everence Trust Company (registered 2009-10-14)Feb 20, 2025 · Advisor changed firm · fact
- Robert Allan Wall left Concourse Financial Group Advisors for Everence Trust Company (registered 2012-01-03)Feb 20, 2025 · Advisor changed firm · fact
- Wayne Alvin Christ left Concourse Financial Group Advisors for Avantax Planning Partners, Inc. (registered 2015-01-05)Feb 20, 2025 · Advisor changed firm · fact
- David Lester Moore left Concourse Financial Group Advisors for Gien Capital Management Llc (registered 2025-03-07)Feb 20, 2025 · Advisor changed firm · fact
- Glen Emerson Kauffman left Concourse Financial Group Advisors for Everence Trust Company (registered 2007-03-07)Feb 20, 2025 · Advisor changed firm · fact
- Kenteth James Blossom left Concourse Financial Group Advisors for Everence Trust Company (registered 2007-06-14)Feb 20, 2025 · Advisor changed firm · fact
- Christopher James Kaufman left Concourse Financial Group Advisors for Everence Trust Company (registered 2012-06-04)Feb 20, 2025 · Advisor changed firm · fact
- Steven Eric Schroll left Concourse Financial Group Advisors for Everence Trust Company (registered 2009-12-04)Feb 20, 2025 · Advisor changed firm · fact
- Joseph Alexander Shenk left Concourse Financial Group Advisors for Everence Trust Company (registered 2007-03-07)Feb 20, 2025 · Advisor changed firm · fact
- Jeremiah Eli Patterson left Concourse Financial Group Advisors for Harvest Investment Services, Llc (registered 2014-08-25)Feb 20, 2025 · Advisor changed firm · fact
- Jennifer Story Quirk left Concourse Financial Group Advisors for Chitwood-Lindberg Wealth Management (registered 2015-04-01)Feb 20, 2025 · Advisor changed firm · fact
- David A Hamilton left Concourse Financial Group Advisors for Cambridge Investment Research Advisors, Inc. (registered 2025-02-18)Feb 20, 2025 · Advisor changed firm · fact
- Shane Michael Landis left Concourse Financial Group Advisors for Everence Trust Company (registered 2017-07-03)Feb 20, 2025 · Advisor changed firm · fact
- 11 advisors left Concourse Financial Group Advisors (Birmingham, AL) for Everence Trust Company on the same dayFeb 20, 2025 · Team lift-out · derived
- James Kelly Houston left Concourse Financial Group Advisors for Tlg Advisors, Inc. (registered 2025-04-11)Feb 12, 2025 · Advisor changed firm · fact
- Hugo Alberto Marrero left Concourse Financial Group Advisors for Kestra Advisory Services, Llc (registered 2025-01-27)Jan 27, 2025 · Advisor changed firm · fact
- Karen Louise Powell left Concourse Financial Group Advisors for Tlg Advisors, Inc. (registered 2025-02-10)Jan 24, 2025 · Advisor changed firm · fact
- Joshua Morris left Concourse Financial Group Advisors for Tlg Advisors, Inc. (registered 2025-01-06)Jan 2, 2025 · Advisor changed firm · fact
- Bryan Lynn Harding left Concourse Financial Group Advisors for Ameritas Advisory Services, Llc (registered 2025-10-01)Dec 31, 2024 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
- Investment Advisors · Private Equityshared crd · intermediary
- ProEquities, Inc. · Venture Capitalshared crd · org
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
Across the graphs
Concourse Financial Group Advisors 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.
Checking your plan…