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

Arbor Point Advisors

Former SEC-registered adviserLavista, NebraskaCRD 165127SEC 801-77135IAPD
Legal name Arbor Point Advisors, LLC
Latest filing Aug 26, 2024
First filing on the tape Sep 5, 2012 · 114 filings
RAUM
$6.9B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$6.7B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2,643
208 advisory (5.B.1)
Offices
147
beyond the principal office
Private funds
0
reported on Schedule D
History
114 filings and snapshots on the tape
RAUM$6.9B as of Mar 28, 2024
Dec 21, 2012$0 then
HNW client RAUM$3.4B as of Mar 28, 2024
Mar 29, 2018$671M then
State-registered IARs (5.B.3)453 as of Mar 28, 2024
Dec 21, 20120 then
Employees (5.A)2,643 as of Mar 28, 2024
Dec 21, 20121 then
Private funds: no history
RAUM +7.8% over the last fiscal year-1.8% a year over threeIARs 714 to 453offices 138 to 147
Practice profile
derived from the filing of Aug 26, 2024; every figure names its basis
RAUM per advisor
$15.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
38derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.2MderivedHNW RAUM over HNW clients
Average account
$247,396derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
5.8derivedItem 5.A over advisors
Advisors per office
3.1derived148 offices incl. principal (1.F.5)
RAUM growth, one year
+7.8%derivedbetween the last two annual amendments
Advisor growth, one year
-37%derivedItem 5.B.3 between annual amendments
Client growth, one year
-9.5%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 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
participatesreportedItem 5.I
Custody
$6.7B, 16,422 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)
  • marketing includes testimonials (5.L.1.c)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$3.4B49%
  • Individuals$3.3B48%
  • Corporations and businesses$148M2.1%
  • Pension and profit-sharing plans$51.4M0.7%
  • Charitable organizations$3.3M0.0%
Individual clients
15,511reported
HNW clients
1,564reported
Pension plan clients
114reported
Charitable clients
6reported
Accounts
28,010reported
Financial planning clients
51-100reported
Wrap fee programs
$0 sponsored, $6.7B managedreported
Custody of client assets
$6.7B for 16,422 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
  • Allen Gregory Cornick · Directorcontrol
    since 08/2021 · owns less than 5%
  • June Erinn Ford · Director, Interim Chairmancontrol
    since 08/2021 · owns less than 5%
  • Adam Matthew Schlueter · Executive Vice Presidentcontrol
    since 02/2020 · owns less than 5%
  • Christy Edward Swenson · President, Coocontrol
    since 01/2024 · owns less than 5%
  • Ralph Milton Berlinski · Investment Membercontrol
    since 08/2014 · owns F of Mrb Icb LLC
  • Ralph Milton Berlinski · Membercontrol
    since 08/2014 · owns 25% to 50% of Rcp Genpar Holdco, LLC
  • Ralph Milton Berlinski · General Partnercontrol
    since 08/2014 · owns F of Rcp Genpar LP
  • Ralph Milton Berlinski · Trusteecontrol
    since 06/2006 · owns F of The Berlinski Family 2006 Trust
  • Yakovlevna Iryna Northrip · Svp, Chief Compliance Officer
    since 05/2022 · owns less than 5%
  • Martin David Schmidt · Treasurer
    since 03/2021 · owns less than 5%
Entity owners
  • Securities America Financial Corporation · Member
    direct · owns 75% or more
  • Ag Artemis Holdings Gp LLC · General Partner
    indirect · owns F of Ag Artemis Holdings, L.P.
  • Ag Artemis Holdings, L.P. · Shareholder
    indirect · owns 75% or more of Ag Intermediate Corporation
  • Ag Intermediate Corporation · Shareholder
    indirect · owns 75% or more of Osaic Financial Services, Inc.
  • Ag Parent Corp. · Shareholder
    indirect · owns 75% or more of Osaic Holdings, Inc.
  • Mrb Icb LLC · Member
    indirect · owns 25% to 50% of Rcp Genpar Holdco, LLC
  • Osaic Financial Services, Inc. · Shareholder
    indirect · owns 75% or more of Ag Parent Corp.
  • Osaic Holdings, Inc. · Shareholder
    indirect · owns 75% or more of Securities America Financial Corporation
  • Rcp Artemis Co-Invest Gp LLC · General Partner
    indirect · owns 50% to 75% of Ag Artemis Holdings, L.P.
  • Rcp Artemis Co-Invest, L.P. · Limited Partner
    indirect · owns 50% to 75% of Ag Artemis Holdings, L.P.
  • Rcp Genpar Holdco, LLC · Limited Partner
    indirect · owns 75% or more of Rcp Genpar LP
  • Rcp Genpar LP · Shareholder
    indirect · owns 75% or more of Rcp Opp Fund II Gp, LP
  • Rcp Opp Fund II Gp, LP · Limited Partner
    indirect · owns 75% or more of Rcp Artemis Co-Invest Gp LLC
  • The Berlinski Family 2006 Trust · Member
    indirect · owns 75% or more of Mrb Icb LLC
Related persons
Schedule D 7.A
Advisers that list Arbor Point Advisors as a related person
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Benbrook, Tx000
Billings, Mt000
Boise, Id000
Canon City, Co000
Idaho Falls, Id000
Kennewick, Wa000
Lees Summit, Mo000
Longwood, Fl000
Maple Grove, Mn000
Overland Park, Ks000
Pocatello, Id000
Portland, Or000
San Ramon, Ca000
Seattle, Wa000
South Jordan, Ut000
Spokane, Wa000
Vancouver, Wa000
Roseville, Ca000
Post Falls, Id000
Offices
Schedule D 1.F, the 25 largest
  • Mayfield Hts, OH9 employees
  • Lewiston, ID6 employees
  • Pocatello, ID6 employees
  • Omaha, NE5 employees
  • The Woodlands, TX5 employees
  • Omaha, NE4 employees
  • Auburn, AL4 employees
  • Boise, ID4 employees
  • Vancouver, WA4 employees
  • Windsor, CT4 employees
  • St. Petersburg, FL3 employees
  • Wichita, KS3 employees
  • Oak Brook, IL3 employees
  • Eugene, OR3 employees
  • Roseville, CA3 employees
  • Houston, TX3 employees
  • Westlake Village, CA3 employees
  • Torrance, CA3 employees
  • Longwood, FL2 employees
  • Mayfield Heights, OH2 employees
  • St Louis Park, MN2 employees
  • Southlake, TX2 employees
  • San Diego, CA2 employees
  • Omaha, NE2 employees
  • Duncan, OK2 employees
What changed
consecutive filings, newest first
  • Charity clients · 0 to 6
    Feb 8, 2024 to Mar 28, 2024
  • Accounts · 30,789 to 28,010
    Feb 8, 2024 to Mar 28, 2024
  • Advisory employees · 215 to 208
    Feb 8, 2024 to Mar 28, 2024
  • BD registered reps · 667 to 839
    Feb 8, 2024 to Mar 28, 2024
  • Corporate clients · 182 to 147
    Feb 8, 2024 to Mar 28, 2024
  • HNW clients · 1,320 to 1,564
    Feb 8, 2024 to Mar 28, 2024
  • Individual clients · 17,547 to 15,511
    Feb 8, 2024 to Mar 28, 2024
  • Pension plan clients · 133 to 114
    Feb 8, 2024 to Mar 28, 2024
  • Assets in custody · $6.2B to $6.7B
    Feb 8, 2024 to Mar 28, 2024
  • Employees · 1,844 to 2,643
    Feb 8, 2024 to Mar 28, 2024
  • Insurance-licensed employees · 73 to 72
    Feb 8, 2024 to Mar 28, 2024
  • State-registered IARs · 714 to 453
    Feb 8, 2024 to Mar 28, 2024
  • Other offices · 138 to 147
    Feb 8, 2024 to Mar 28, 2024
  • Discretionary RAUM · $6.2B to $6.9B
    Feb 8, 2024 to Mar 28, 2024
  • HNW RAUM · $2.7B to $3.4B
    Feb 8, 2024 to Mar 28, 2024
  • Individual RAUM · $3.5B to $3.3B
    Feb 8, 2024 to Mar 28, 2024
  • Non-discretionary RAUM · $274M to $0
    Feb 8, 2024 to Mar 28, 2024
  • Pension RAUM · $62.6M to $51.4M
    Feb 8, 2024 to Mar 28, 2024
  • RAUM · $6.4B to $6.9B
    Feb 8, 2024 to Mar 28, 2024
  • Wrap assets (manager) · $0 to $6.7B
    Feb 8, 2024 to Mar 28, 2024
  • Accounts · 39,792 to 30,789
    Mar 27, 2023 to Mar 31, 2023
  • Advisory employees · 243 to 215
    Mar 27, 2023 to Mar 31, 2023
  • BD registered reps · 595 to 667
    Mar 27, 2023 to Mar 31, 2023
  • Charity clients · 38 to 0
    Mar 27, 2023 to Mar 31, 2023
  • Corporate clients · 219 to 182
    Mar 27, 2023 to Mar 31, 2023
  • HNW clients · 888 to 1,320
    Mar 27, 2023 to Mar 31, 2023
  • Individual clients · 23,065 to 17,547
    Mar 27, 2023 to Mar 31, 2023
  • Pension plan clients · 386 to 133
    Mar 27, 2023 to Mar 31, 2023
  • Assets in custody · $8.8B to $6.2B
    Mar 27, 2023 to Mar 31, 2023
  • Employees · 2,168 to 1,844
    Mar 27, 2023 to Mar 31, 2023
  • Insurance-licensed employees · 76 to 73
    Mar 27, 2023 to Mar 31, 2023
  • Financial planning clients · 251-500 to 51-100
    Mar 27, 2023 to Mar 31, 2023
  • State-registered IARs · 569 to 714
    Mar 27, 2023 to Mar 31, 2023
  • Other offices · 150 to 138
    Mar 27, 2023 to Mar 31, 2023
  • Discretionary RAUM · $7.4B to $6.2B
    Mar 27, 2023 to Mar 31, 2023
  • HNW RAUM · $3.1B to $2.7B
    Mar 27, 2023 to Mar 31, 2023
  • Individual RAUM · $5.7B to $3.5B
    Mar 27, 2023 to Mar 31, 2023
  • Non-discretionary RAUM · $1.8B to $274M
    Mar 27, 2023 to Mar 31, 2023
  • Pension RAUM · $99.4M to $62.6M
    Mar 27, 2023 to Mar 31, 2023
  • RAUM · $9.1B to $6.4B
    Mar 27, 2023 to Mar 31, 2023
Signals
60 dated events
  • Elizabeth Rose Langley left Arbor Point Advisors for Echelon Group (registered 2024-11-12)
    Nov 8, 2024 · Advisor changed firm · fact
  • Marco Frank Bronzini left Arbor Point Advisors for Foothill Securities, Inc. (registered 2016-12-09)
    Nov 8, 2024 · Advisor changed firm · fact
  • Gregory Scott Aynesworth left Arbor Point Advisors for Foothill Securities, Inc. (registered 2016-12-09)
    Nov 8, 2024 · Advisor changed firm · fact
  • Riley W Mckenzie left Arbor Point Advisors for Echelon Group (registered 2024-11-07)
    Nov 8, 2024 · Advisor changed firm · fact
  • Donald Lee Reiman left Arbor Point Advisors for Echelon Group (registered 2024-11-07)
    Nov 8, 2024 · Advisor changed firm · fact
  • 3 advisors left Arbor Point Advisors (Boise, ID) for Echelon Group on the same day
    Nov 8, 2024 · Team lift-out · derived
  • 2 advisors left Arbor Point Advisors (San Ramon, CA) for Foothill Securities, Inc. on the same day
    Nov 8, 2024 · Team lift-out · derived
  • Jeffrey Brooks left Arbor Point Advisors for Allworth Financial, L.P. (registered 2024-11-06)
    Nov 7, 2024 · Advisor changed firm · fact
  • Kelly Jandreau left Arbor Point Advisors for Allworth Financial, L.P. (registered 2024-11-06)
    Nov 7, 2024 · Advisor changed firm · fact
  • G Scott Lowe left Arbor Point Advisors for Allworth Financial, L.P. (registered 2024-11-06)
    Nov 7, 2024 · Advisor changed firm · fact
  • Matthew James Pulsipher left Arbor Point Advisors for Allworth Financial, L.P. (registered 2024-11-07)
    Nov 5, 2024 · Advisor changed firm · fact
  • Jerod Patterson left Arbor Point Advisors for Allworth Financial, L.P. (registered 2024-11-07)
    Nov 5, 2024 · Advisor changed firm · fact
  • Wendi Elizabeth Ouellette left Arbor Point Advisors for Allworth Financial, L.P. (registered 2025-06-09)
    Nov 5, 2024 · Advisor changed firm · fact
  • Candace Jo Stogin left Arbor Point Advisors for Allworth Financial, L.P. (registered 2024-11-06)
    Nov 5, 2024 · Advisor changed firm · fact
  • 2 advisors left Arbor Point Advisors (Portland, OR) for Allworth Financial, L.P. within 2 days
    Nov 5, 2024 · Team lift-out · derived
  • 5 advisors left Arbor Point Advisors (Vancouver, WA) for Allworth Financial, L.P. within 2 days
    Nov 5, 2024 · Team lift-out · derived
  • Cindy Sue Gleason left Arbor Point Advisors for Lpl Financial Llc (registered 2024-08-05)
    Aug 20, 2024 · Advisor changed firm · fact
  • David Andre Doorneweerd left Arbor Point Advisors for Lpl Financial Llc (registered 2024-08-02)
    Aug 6, 2024 · Advisor changed firm · fact
  • Mark Duane Loop left Arbor Point Advisors for Lpl Financial Llc (registered 2024-08-02)
    Aug 2, 2024 · Advisor changed firm · fact
  • 2 advisors left Arbor Point Advisors (Longwood, FL) for LPL Financial LLC within 4 days
    Aug 2, 2024 · Team lift-out · derived
  • Perry Steven Long left Arbor Point Advisors for Lpl Financial Llc (registered 2024-06-04)
    Jun 6, 2024 · Advisor changed firm · fact
  • Michael Angus Macaulay left Arbor Point Advisors for Securities America Advisors, Inc. (registered 2020-11-06)
    May 22, 2024 · Advisor changed firm · fact
  • Tracy Douglas Forsythe left Arbor Point Advisors for Securities America Advisors, Inc. (registered 2020-11-06)
    May 21, 2024 · Advisor changed firm · fact
  • Colleen Macaulay left Arbor Point Advisors for Securities America Advisors, Inc. (registered 2020-11-06)
    May 21, 2024 · Advisor changed firm · fact
  • David D Stewart left Arbor Point Advisors for Securities America Advisors, Inc. (registered 2020-11-06)
    May 21, 2024 · Advisor changed firm · fact
  • 4 advisors left Arbor Point Advisors (Spokane, WA) for LPL Financial LLC a day apart
    May 21, 2024 · Team lift-out · derived
  • Travis Aaron Morrow left Arbor Point Advisors for Lpl Financial Llc (registered 2024-05-02)
    May 3, 2024 · Advisor changed firm · fact
  • Matthew Joseph Black left Arbor Point Advisors for Cooper Mcmanus (registered 2024-05-02)
    May 1, 2024 · Advisor changed firm · fact
  • Stephen Douglas Black left Arbor Point Advisors for Cooper Mcmanus (registered 2024-05-01)
    May 1, 2024 · Advisor changed firm · fact
  • 2 advisors left Arbor Point Advisors (Overland Park, KS) for Cooper Mcmanus on the same day
    May 1, 2024 · Team lift-out · 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