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
Lanark Financial, Inc.
Latest filing Jul 17, 2026
First filing on the tape Mar 27, 2012 · 25 filings
SEC status approved since Jan 3, 2001
RAUM
$1.8B
reported, Item 5.F
Discretionary
45%
of RAUM
Private clients
88%
$1.6B individuals and HNW
Advisors
69
registered through the firm on IAPD
RAUM per advisor
$25.9M
derived; firm RAUM over IAPD count
Employees
68
63 advisory (5.B.1)
Offices
28
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$1.8B as of Jul 17, 2026
Mar 27, 2012$479M then
HNW client RAUM$696M as of Jul 17, 2026
Jan 30, 2018$300M then
State-registered IARs (5.B.3)68 as of Jul 17, 2026
Apr 1, 201330 then
Employees (5.A)68 as of Jul 17, 2026
Apr 1, 201350 then
Private funds: no history
RAUM +4.0% over the last fiscal year+8.9% a year over threeIARs 39 to 68
Practice profile
derived from the filing of Jul 17, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- RAUM per advisor
- $25.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 51derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $359,407derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 45%derivedof RAUM
- Institutional
- 6.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.4derived29 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +74%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -12%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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$882M49%
- High-net-worth individuals$696M39%
- Corporations and businesses$96.5M5.4%
- Charitable organizations$89.1M5.0%
- Pension and profit-sharing plans$21.2M1.2%
- Individual clients
- 3,228reported
- HNW clients
- 280reported
- Pension plan clients
- 12reported
- Charitable clients
- 21reported
- Accounts
- 4,966reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.88 fund_share=0.0 institutional_share=0.06 related_bd=true related_bank=false bd_reps=67.0derived
Advisors registered through the firm
69 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Frank Benner Falkenburg | Birmingham, Al | Nov 2, 1995 | 32 y | 0 |
| Dale Barton Elliott | Fairhope, Al | Apr 23, 1997 | 32 y | 0 |
| Stephen Burnett Agricola | Birmingham, Al | Jun 16, 1997 | 41 y | 0 |
| Michael Glen Lea | Tallahassee, Fl | May 16, 2001 | 40 y | 0 |
| Bruce Alan HaganCertified Financial Planner | Tallahassee, Fl | May 16, 2001 | 42 y | 0 |
| Howard Paul Eisenman | Tallahassee, Fl | May 16, 2001 | 47 y | 0 |
| Lynn Michelle Hanfman | Tallahassee, Fl | Jul 25, 2001 | 31 y | 0 |
| Gregory Scott Musso | Huntsville, Al | May 22, 2002 | 25 y | 0 |
| Todd Randall Kurzhal | Priceville, Al | May 23, 2002 | 35 y | 0 |
| Kerry Grindle Maldonado | Birmingham, Al | Jan 10, 2006 | 25 y | 0 |
| Anthony Brian Wolfe | Birmingham, Al | Apr 23, 2008 | 26 y | 0 |
| Adam Payne Newton | Birmingham, Al | May 9, 2008 | 19 y | 0 |
| David Edwin Hope | Birmingham, Al | Jan 5, 2011 | 40 y | 1 |
| Sapna Garg Goel | Huntsville, Al | Feb 11, 2011 | 19 y | 0 |
| Pierre Gaston Marc Allard | Winter Park, Fl | Apr 27, 2011 | 16 y | 0 |
| William Lincoln Braude | Summit, Nj | Jul 6, 2012 | 41 y | 3 |
| Steven Greg Abrams | Birmingham, Al | Feb 1, 2013 | 29 y | 3 |
| David Bevier Taylor | Hunt Valley, Md | Feb 5, 2013 | 38 y | 2 |
| Bruce Paul Betz | Birmingham, Al | Feb 5, 2013 | 43 y | 2 |
| Monte Paul Marshall | Birmingham, Al | Mar 31, 2014 | 20 y | 0 |
| John Fontaine Keith | Birmingham, Al | May 1, 2014 | 31 y | 1 |
| Lawrence Clay Miller | Birmingham, Al | Jun 20, 2014 | 46 y | 3 |
| Carolyn Lee Bennett | Dubuque, Ia | Jul 23, 2015 | 43 y | 2 |
| Lee Scott Steorts | Bountiful, Ut | Jul 23, 2015 | 34 y | 4 |
| Anthony Jerome Keppler | Dubuque, Ia | Jul 23, 2015 | 44 y | 2 |
| John Roy Hackett | Dubuque, Ia | Jul 23, 2015 | 46 y | 2 |
| Joseph Oberschewen | Summit, Nj | Jul 31, 2015 | 34 y | 2 |
| Matthew Louis Senicola | Massapequa, Ny | Aug 3, 2015 | 27 y | 1 |
| Armand Anthony AtkinsonCertified Financial Planner, Chartered Financial Consultant | St Petersburg, Fl | Aug 3, 2015 | 19 y | 2 |
| Joseph Edward Disanza | Massapequa, Ny | Aug 3, 2015 | 37 y | 2 |
| Edward John Wells | Massapequa, Ny | Aug 3, 2015 | 29 y | 2 |
| Michael Bernard Otoole | Palm Beach Gardens, Fl | Aug 11, 2015 | 42 y | 3 |
| Robert Glenn AlvarezCertified Financial Planner | Tampa, Fl | Aug 11, 2015 | 33 y | 2 |
| Mark Donald Hennings | Minnetonka, Mn | Aug 12, 2015 | 27 y | 2 |
| Stephen Miske Miller | Summit, Nj | Aug 17, 2015 | 27 y | 1 |
| David Scott Glenn | Birmingham, Al | Nov 1, 2016 | 30 y | 0 |
| Maria Benito Atkinson | St Petersburg, Fl | Mar 29, 2017 | 11 y | 3 |
| Peyton Davis Falkenburg | Birmingham, Al | Jun 8, 2017 | 11 y | 0 |
| Gayle Anne Dilla | Hunt Valley, Md | Dec 4, 2017 | 39 y | 4 |
| Lisa Ann SumpterCertified Financial Planner | Farmington, Mo | Jun 6, 2019 | 25 y | 3 |
Advisor movement
2 left, 3 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 2.9% of current headcount9 left over 36 months
Left, latest
- Ahmed Y Stephens to LPL Financial LLCNov 18, 2025 · RIA to affiliated broker-dealer or bank
- Jeffery Scott Wilkins to Eagle Strategies LLCOct 6, 2025 · RIA to affiliated broker-dealer or bank
- Gaye Messmer Pike to Osaic Wealth, Inc.Aug 19, 2025 · RIA to affiliated broker-dealer or bank
- Thomas Hardin Sneed to Osaic Wealth, Inc.Aug 19, 2025 · RIA to affiliated broker-dealer or bank
- Montee Allan Sneed to Osaic Wealth, Inc.Aug 19, 2025 · RIA to affiliated broker-dealer or bank
- Johnathan M Horman to Correct Capital Wealth Management, LLCMar 11, 2025 · RIA to RIA
- Warren Douglas Mcpeters to UBS Financial Services Inc.Sep 16, 2024 · RIA to wirehouse
- Jason Michael Mahurin to Edward JonesApr 3, 2024 · Affiliated broker-dealer or bank to another
- Joseph Terence Keating to Southstate Advisory, Inc.Mar 18, 2024 · Other
- Gregory Joseph Harder to Caldwell Sutter Capital, Inc.Feb 24, 2023 · Affiliated broker-dealer or bank to independent RIA
- Evan Lyle Hershey to Caldwell Sutter Capital, Inc.Feb 24, 2023 · Affiliated broker-dealer or bank to independent RIA
- David John Hughes to The Ameriflex GroupJan 5, 2023 · Affiliated broker-dealer or bank to independent RIA
- Chasten Boen to Fidelity Personal And Workplace AdvisorsNov 22, 2022 · Affiliated broker-dealer or bank to another
- Richard Scott Perkins to Concourse Financial Group AdvisorsSep 14, 2022 · Affiliated broker-dealer or bank to another
- James Horace Davis to Kestra Advisory Services, LLCApr 1, 2022 · Affiliated broker-dealer or bank to another
Joined, latest
- Sheila Adele Steury from Stifel, Nicolaus & Company, IncorporatedJan 6, 2026 · Affiliated broker-dealer or bank to independent RIA
- Blake Alston Nephew from U.S. Bancorp Investments, Inc.Oct 28, 2025 · Affiliated broker-dealer or bank to independent RIA
- Harold Blaine Miller from M Holdings Securities, Inc.Oct 6, 2025 · Affiliated broker-dealer or bank to independent RIA
- Blanton Charles Creque from L.M. Kohn & CompanyAug 15, 2025 · RIA to RIA
- Savannah Kay Forleo from L.M. Kohn & CompanyAug 15, 2025 · RIA to RIA
- John Joseph Mcglynn from L.M. Kohn & CompanyAug 14, 2025 · RIA to RIA
- Brian Forbush from Wells Fargo AdvisorsJul 7, 2025 · Wirehouse to independent RIA
- Kimberly Armbruster Davis from Concourse Financial Group AdvisorsJun 10, 2025 · Affiliated broker-dealer or bank to independent RIA
- Daniel Howard Lusher from Bankers Life Advisory Services, Inc.Jul 17, 2024 · Affiliated broker-dealer or bank to independent RIA
- Johnathan M Horman from Wells Fargo AdvisorsFeb 6, 2024 · Wirehouse to affiliated broker-dealer or bank
- Neil Victor Bales from Wells Fargo AdvisorsJul 17, 2023 · Wirehouse to affiliated broker-dealer or bank
- Brian Christopher Haynes from Stonex Advisors Inc.Dec 12, 2022 · Affiliated broker-dealer or bank to another
- Warren Douglas Mcpeters from RBC Capital Markets, LLCJun 30, 2022 · Affiliated broker-dealer or bank to another
- Darren Marc Hinshaw from MML Investors Services, LLCJun 18, 2021 · Affiliated broker-dealer or bank to another
- John Robert Doody from Highland Associates IncApr 21, 2021 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for Osaic Wealth, Inc.Aug 19, 2025 · Columbia, Tn
- 2 left for Caldwell Sutter Capital, Inc.Feb 24, 2023 · Santa Rosa, Ca
- 6 left for LPL Financial LLCSep 30, 2020 · Vero Beach, Fl
- 2 left for LPL Financial LLCAug 16, 2019 · Bellevue, Wa
- 2 joined from L.M. Kohn & CompanyAug 14, 2025 · Cincinnati, Oh
- 6 joined from First State Financial Management, Inc.Jun 7, 2019 · Farmington, Mo · Firm absorbed
- 3 joined from Jhs Capital Advisors, LLCJul 24, 2015 · Bellevue, Wa
- 3 joined from Jhs Capital Advisors, LLCJul 23, 2015 · Massapequa, Ny
- 7 joined from Jhs Capital Advisors, LLCJul 22, 2015 · Portland, Or
- 7 joined from Jhs Capital Advisors, LLCJul 16, 2015 · Tampa, Fl
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Pamela Kohser Conway · Vice Presidentcontrolsince 08/1995 · owns less than 5%
- John Robert Jr Doody · Ceocontrolsince 04/2021 · owns less than 5%
- Doug James Elder · Svp - Sales Managercontrolsince 07/2010 · owns less than 5%
- Frank Benner Falkenburg · Managing Directorcontrolsince 06/2010 · owns less than 5%
- Peyton Davis Falkenburg · Presidentcontrolsince 05/2026 · owns less than 5%
- Harold Blaine Miller · Vp, Chief Compliance Officer Officercontrolsince 10/2025 · owns less than 5%
- Bradford Lee Phelan · President And Ceocontrolsince 08/1995 · owns less than 5%
- Jeffery Scott Wilkins · Vice President, Chief Compliance Officercontrolsince 06/2004 · owns less than 5%
- Frank Benner Falkenburg · Limited Partnercontrolsince 06/2010 · owns 25% to 50% of Nbcs Holdings, L.P.
- Bradford Lee Phelan · General/Limited Partnercontrolsince 06/2010 · owns 25% to 50% of Nbcs Holding, L.P.
Entity owners
- Lanark Financial Group, LLC · Shareholderdirect · owns 75% or more
- Nbcs Holdings, L.P. · Shareholderdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Birmingham, Al · principal | 22 | 1 | 2 | ||
| Farmington, Mo | 9 | 1 | 0 | ||
| Tampa, Fl | 5 | 0 | 0 | ||
| Summit, Nj | 5 | 0 | 0 | ||
| Louisville, Ky | 4 | 0 | 0 | ||
| Dubuque, Ia | 4 | 1 | 0 | ||
| Hunt Valley, Md | 4 | 0 | 0 | ||
| Tallahassee, Fl | 4 | 0 | 0 | ||
| Massapequa, Ny | 3 | 0 | 0 | ||
| Priceville, Al | 2 | 0 | 0 | ||
| Sikeston, Mo | 2 | 0 | 0 | ||
| St Petersburg, Fl | 2 | 0 | 0 | ||
| Imperial, Mo | 2 | 0 | 0 | ||
| Granville, Oh | 2 | 1 | 0 | ||
| Huntsville, Al | 2 | 0 | 0 | ||
| Lebanon, Mo | 2 | 0 | 0 | ||
| Columbia, Tn | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Tampa, FL6 employees
- Hunt Valley, MD5 employees
- Columbia, TN5 employees
- Tallahassee, FL5 employees
- Summit, NJ5 employees
- Massapequa, NY4 employees
- Dubuque, IA4 employees
- Winter Park, FL3 employees
- Brentwood, TN3 employees
- Plymouth, MN3 employees
- Farmington, MO3 employees
- Santa Rosa, CA2 employees
- Huntsville, AL2 employees
- Winter Haven, FL2 employees
- Birmingham, AL2 employees
- Granville, OH2 employees
- Lake Mary, FL2 employees
- Palm Beach Gardens, FL1 employees
- Stuart, FL1 employees
- Leawood, KS1 employees
- Sarasota, FL1 employees
- Sebring, FL1 employees
- Zephyrhills, FL1 employees
- Fairhope, AL1 employees
- Priceville, AL1 employees
ADV anomalies
11 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jul 17, 2026ELDER, DOUG JAMES (SVP - SALES MANAGER) left Schedule A between the filings of 2012-03-27 and 2026-07-17peers: affiliated wealth managers, $1B to $5B (56)
- control person changedChange between filings · filing Jul 17, 2026WILKINS, JEFFERY SCOTT (VICE PRESIDENT, CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2012-03-27 and 2026-07-17peers: affiliated wealth managers, $1B to $5B (56)
- control person changedChange between filings · filing Jul 17, 2026CONWAY, PAMELA KOHSER (VICE PRESIDENT) left Schedule A between the filings of 2012-03-27 and 2026-07-17peers: affiliated wealth managers, $1B to $5B (56)
- control person changedChange between filings · filing Jul 17, 2026DOODY, JOHN ROBERT JR (CEO) appeared on Schedule A between the filings of 2012-03-27 and 2026-07-17peers: affiliated wealth managers, $1B to $5B (56)
- control person changedChange between filings · filing Jul 17, 2026MILLER, HAROLD BLAINE (VP, CHIEF COMPLIANCE OFFICER OFFICER) appeared on Schedule A between the filings of 2012-03-27 and 2026-07-17peers: affiliated wealth managers, $1B to $5B (56)
- control person changedChange between filings · filing Jul 17, 2026FALKENBURG, PEYTON DAVIS (PRESIDENT) appeared on Schedule A between the filings of 2012-03-27 and 2026-07-17peers: affiliated wealth managers, $1B to $5B (56)
- control person changedChange between filings · filing Jul 17, 2026PHELAN, BRADFORD LEE (PRESIDENT AND CEO) left Schedule A between the filings of 2012-03-27 and 2026-07-17peers: affiliated wealth managers, $1B to $5B (56)
- new owner headcount expandsCombination · filing Mar 26, 2026LANARK FINANCIAL GROUP, LLC joined Schedule A on the filing of 2026-07-17; advisors 39.0 to 68.0 between the annual amendments of 2025-01-20 and 2026-03-26peers: affiliated wealth managers, $1B to $5B (56)
- advisors up RAUM flatCombination · filing Mar 26, 2026the advisor count grew 25 percent or more while RAUM stayed within 5 percent: hiring or an acquisition ahead of assets, or assets that did not follow. RAUM $1,715,376,867 to $1,784,817,450, advisors 39 to 68, private clients 3992 to 3508, offices 28 to 28 (2025-01-20 to 2026-03-26)peers: affiliated wealth managers, $1B to $5B (56)
- advisor count surgeChange between filings · filing Mar 26, 2026advisory representatives (Item 5.B.3) moved from 39.0 to 68.0 (+74.0%) between the annual amendments of 2025-01-20 and 2026-03-26; the peer median change was 0.0% (50 comparable advisers, 96.0th percentile of changes)peers: affiliated wealth managers, $1B to $5B (50) · 96% percentile
- HNW share shiftChange between filings · filing Mar 26, 2026HNW share of RAUM moved from 23.0% to 39.0% between the annual amendments of 2025-01-20 and 2026-03-26peers: affiliated wealth managers, $1B to $5B (56)
What changed
consecutive filings, newest first
- Business name · NBC SECURITIES, INC. to LANARK FINANCIAL, INC.Jun 30, 2026 to Jul 17, 2026
- Legal name · NBC SECURITIES, INC. to LANARK FINANCIAL, INC.Mar 26, 2026 to Jun 30, 2026
- Accounts · 4,545 to 4,966Jan 21, 2026 to Mar 26, 2026
- Advisory employees · 39 to 63Jan 21, 2026 to Mar 26, 2026
- Advisory activities · 5 to 6Jan 21, 2026 to Mar 26, 2026
- BD registered reps · 39 to 67Jan 21, 2026 to Mar 26, 2026
- Charity clients · 25 to 21Jan 21, 2026 to Mar 26, 2026
- Corporate clients · 500 to 35Jan 21, 2026 to Mar 26, 2026
- HNW clients · 200 to 280Jan 21, 2026 to Mar 26, 2026
- Individual clients · 3,792 to 3,228Jan 21, 2026 to Mar 26, 2026
- Pension plan clients · 25 to 12Jan 21, 2026 to Mar 26, 2026
- Insurance-licensed employees · 3 to 1Jan 21, 2026 to Mar 26, 2026
- State-registered IARs · 39 to 68Jan 21, 2026 to Mar 26, 2026
- Discretionary RAUM · $956M to $795MJan 21, 2026 to Mar 26, 2026
- HNW RAUM · $395M to $696MJan 21, 2026 to Mar 26, 2026
- Individual RAUM · $1.2B to $882MJan 21, 2026 to Mar 26, 2026
- Non-discretionary RAUM · $760M to $990MJan 21, 2026 to Mar 26, 2026
- Pension RAUM · $45.0M to $21.2MJan 21, 2026 to Mar 26, 2026
- RAUM · $1.7B to $1.8BJan 21, 2026 to Mar 26, 2026
- Accounts · 5,266 to 4,545Jun 12, 2024 to Jan 20, 2025
- Individual clients · 4,513 to 3,792Jun 12, 2024 to Jan 20, 2025
- Financial planning clients · 51-100 to 51-100Jun 12, 2024 to Jan 20, 2025
- Other offices · 30 to 28Jun 12, 2024 to Jan 20, 2025
- Discretionary RAUM · $871M to $956MJun 12, 2024 to Jan 20, 2025
- Individual RAUM · $1.2B to $1.2BJun 12, 2024 to Jan 20, 2025
- Non-discretionary RAUM · $825M to $760MJun 12, 2024 to Jan 20, 2025
- RAUM · $1.7B to $1.7BJun 12, 2024 to Jan 20, 2025
- Wrap assets (manager) · 492725001.0 to unsetJun 12, 2024 to Jan 20, 2025
- Wrap assets (sponsor) · 725657304.0 to unsetJun 12, 2024 to Jan 20, 2025
- Accounts · 5,228 to 5,266Mar 30, 2023 to Apr 5, 2024
- Advisory employees · 75 to 39Mar 30, 2023 to Apr 5, 2024
- BD registered reps · 88 to 39Mar 30, 2023 to Apr 5, 2024
- Individual clients · 5,228 to 4,513Mar 30, 2023 to Apr 5, 2024
- Employees · 95 to 68Mar 30, 2023 to Apr 5, 2024
- State-registered IARs · 75 to 39Mar 30, 2023 to Apr 5, 2024
- Discretionary RAUM · $792M to $871MMar 30, 2023 to Apr 5, 2024
- Individual RAUM · $915M to $1.2BMar 30, 2023 to Apr 5, 2024
- Non-discretionary RAUM · $592M to $825MMar 30, 2023 to Apr 5, 2024
- RAUM · $1.4B to $1.7BMar 30, 2023 to Apr 5, 2024
- Wrap assets (manager) · $429M to $493MMar 30, 2023 to Apr 5, 2024
Signals
26 dated events
- Lanark Financial, Inc. reported 68 state-registered advisory representatives, up from 39 (2026-01-21 to 2026-03-26)Mar 26, 2026 · Advisor headcount change · derived
- Ahmed Y Stephens left Lanark Financial, Inc. for Lpl Financial Llc (registered 2025-11-19)Nov 18, 2025 · Advisor changed firm · fact
- Jeffery Scott Wilkins left Lanark Financial, Inc. for Eagle Strategies Llc (registered 2026-04-07)Oct 6, 2025 · Advisor changed firm · fact
- Thomas Hardin Sneed left Lanark Financial, Inc. for Osaic Wealth, Inc. (registered 2025-08-18)Aug 19, 2025 · Advisor changed firm · fact
- Gaye Messmer Pike left Lanark Financial, Inc. for Osaic Wealth, Inc. (registered 2025-08-18)Aug 19, 2025 · Advisor changed firm · fact
- Montee Allan Sneed left Lanark Financial, Inc. for Osaic Wealth, Inc. (registered 2025-08-18)Aug 19, 2025 · Advisor changed firm · fact
- 3 advisors left Lanark Financial, Inc. (Columbia, TN) for Osaic Wealth, Inc. on the same dayAug 19, 2025 · Team lift-out · derived
- 2 advisors left L.M. Kohn & Company (Cincinnati, OH) for Lanark Financial, Inc. on the same dayAug 14, 2025 · Team lift-out · derived
- Johnathan M Horman left Lanark Financial, Inc. for Correct Capital Wealth Management, Llc (registered 2025-04-07)Mar 11, 2025 · Advisor changed firm · fact
- Warren Douglas Mcpeters left Lanark Financial, Inc. for Ubs Financial Services Inc. (registered 2024-09-23)Sep 16, 2024 · Advisor changed firm · fact
- Lanark Financial, Inc. reported 39 state-registered advisory representatives, down from 75 (2023-03-30 to 2024-04-05)Apr 5, 2024 · Advisor headcount change · derived
- Jason Michael Mahurin left Lanark Financial, Inc. for Edward Jones (registered 2024-04-12)Apr 3, 2024 · Advisor changed firm · fact
- Joseph Terence Keating left Lanark Financial, Inc. for Southstate Advisory, Inc. (registered 2024-03-29)Mar 18, 2024 · Advisor changed firm · fact
- Lanark Financial, Inc. reported RAUM $1.4B, down 30% from $2.0B (2022-03-22 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- Lanark Financial, Inc. reported 30 offices beyond its principal office, down from 41 (2022-03-22 to 2023-03-30)Mar 30, 2023 · Office count change · derived
- Evan Lyle Hershey left Lanark Financial, Inc. for Caldwell Sutter Capital, Inc. (registered 2023-03-02)Feb 24, 2023 · Advisor changed firm · fact
- Gregory Joseph Harder left Lanark Financial, Inc. for Caldwell Sutter Capital, Inc. (registered 2023-03-02)Feb 24, 2023 · Advisor changed firm · fact
- 2 advisors left Lanark Financial, Inc. (Santa Rosa, CA) for Caldwell Sutter Capital, Inc. on the same dayFeb 24, 2023 · Team lift-out · derived
- David John Hughes left Lanark Financial, Inc. for The Ameriflex Group (registered 2023-01-05)Jan 5, 2023 · Advisor changed firm · fact
- Chasten Boen left Lanark Financial, Inc. for Fidelity Personal And Workplace Advisors (registered 2023-02-09)Nov 22, 2022 · Advisor changed firm · fact
- Richard Scott Perkins left Lanark Financial, Inc. for Concourse Financial Group Advisors (registered 2022-09-20)Sep 14, 2022 · Advisor changed firm · fact
- James Horace Davis left Lanark Financial, Inc. for Kestra Advisory Services, Llc (registered 2022-04-05)Apr 1, 2022 · Advisor changed firm · fact
- Susanne Davis Reseland left Lanark Financial, Inc. for Davis Reseland, Llc (registered 2007-01-08)Apr 1, 2022 · Advisor changed firm · fact
- Lanark Financial, Inc. reported RAUM $2.0B, up 31% from $1.5B (2021-01-26 to 2022-03-22)Mar 22, 2022 · RAUM change · derived
- Lanark Financial, Inc. reported 65 state-registered advisory representatives, up from 50 (2020-06-25 to 2021-01-26)Jan 26, 2021 · Advisor headcount change · derived
- Lanark Financial, Inc. reported RAUM $1.6B, up 30% from $1.3B (2019-03-28 to 2020-03-30)Mar 30, 2020 · 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.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/nbcsecuritiesreportedpublic record, Form ADV, Sep 18, 2026
- Website
- NBCSECURITIES.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 800-521-9390reportedpublic record, Form ADV, Jul 17, 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
- Broker-dealer affiliated wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $25.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026