Onedigital Investment Advisors Llc
SEC-registered
Insurance-Affiliated · Mega ($100B+)
CRD 106766
· SEC file 801-40622
· Overland Park, KS
· WWW.FACEBOOK.COM
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ADV data as of Apr 01, 2026
- Regulatory AUM
- $155B
- Discretionary
- $59.1B
- Clients
- 18,203
- Avg AUM / client
- $8.5M
- Accounts
- 40,469
- Employees
- 648
AUM over time
$1.1B
$155B
Dec 2011
Dec 2025
Annual snapshots from Form ADV filings · as of Apr 01, 2026
Asset allocation (SMA assets by investment type)
as of Apr 01, 2026
Registered investment companies (funds/ETFs)
$104B
67%
Exchange-traded equities
$20.2B
13%
Cash & equivalents
$10.9B
7%
US government & agency bonds
$7.8B
5%
Other
$4.7B
3%
State & local bonds
$3.1B
2%
Investment-grade corporate bonds
$3.1B
2%
Pooled investment vehicles
$1.6B
1%
Share of SMA assets by investment vehicle type, as filed in Form ADV Item 5.K. Dollar figures are percentages applied to total regulatory AUM.
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 9,087 | $2.9B | 1.84% |
| High net worth individuals | 3,846 | $12.5B | 8.03% |
| Pension and profit sharing plans | 5,160 | $139B | 89.6% |
| Charitable organizations | 22 | $150M | 0.1% |
| Corporations and other businesses | 88 | $651M | 0.42% |
Private funds (1)
Reported in Form ADV Section 7.B.(1), filing of Jul 2024 · $49.4M combined gross assets
| Fund | Type | Domicile | Gross assets | Owners |
|---|---|---|---|---|
| Palm Tree Partners, Lp | Hedge Fund | Missouri | $49.4M | 25 |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C. Showing first 100 of 875.
People (383)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Vincent Lee Morris | President | Oct 2010 (16y) | Less than 5% | |
| Chattopadhyay, Saumen | Chief Investment Officer | Oct 2021 (5y) | Less than 5% | |
| Ito, David, Akira | Chief Compliance Officer | Jul 2024 (2y) | Less than 5% | |
| Robert Erick Bjorseth | Registered representative | Oct 2010 (16y) | ||
| Tristan Wayne Talley | Registered representative | Oct 2010 (16y) | ||
| William Patrick Schafer | Registered representative | Jan 2012 (15y) | ||
| Travis Roy Power | Registered representative | Aug 2012 (14y) | ||
| Brandon Tate Kempin | Registered representative | Sep 2013 (13y) | ||
| Richard Aaron Webdell | Registered representative | CFP | Dec 2014 (12y) | |
| Scott Brandon Dooley | Registered representative | Jan 2015 (12y) | ||
| Jason Kyle Chepenik | Registered representative | CFP | Jan 2015 (12y) | |
| Sara Elizabeth Lamberto | Registered representative | Jan 2015 (12y) | ||
| Christine Ann Vitale | Registered representative | Jan 2015 (12y) | ||
| Katherine Marie Kirchner | Registered representative | Jan 2015 (12y) | ||
| Keith Anthony Guertin | Registered representative | May 2015 (11y) | ||
| David Allen Anderson | Registered representative | Jun 2015 (11y) | ||
| Elaine Johnson Featherstone | Registered representative | Jun 2015 (11y) | ||
| Mark Le Strange Beaton | Registered representative | Aug 2015 (11y) | ||
| Carey Bret Morrison | Registered representative | Aug 2015 (11y) | ||
| Nathan David White | Registered representative | Dec 2015 (11y) | ||
| John Martin Moderson | Registered representative | Nov 2016 (10y) | ||
| Robert James Carr | Registered representative | CFP | Dec 2016 (10y) | |
| Delphine Cormiae Hunt | Registered representative | Apr 2017 (9y) | ||
| James Louis Cattaneo | Registered representative | CFP | Apr 2017 (9y) | |
| John Bertram Hull | Registered representative | Aug 2017 (9y) | ||
| Brayden Dexter Dall | Registered representative | Oct 2017 (9y) | ||
| Michael Nephi Esselman | Registered representative | CFA | Oct 2017 (9y) | |
| Milo Jasper Goss | Registered representative | Oct 2017 (9y) | ||
| Brett Michael Dankowski | Registered representative | Apr 2018 (8y) | ||
| David Michael Kover | Registered representative | CFP | Apr 2018 (8y) | |
| Laura Tierney Scobee | Registered representative | CFP | Apr 2018 (8y) | |
| Bradford Eugene Harris | Registered representative | Chartered Financial Consultant | Apr 2018 (8y) | |
| Thomas Heath Parker | Registered representative | Apr 2018 (8y) | ||
| Brandon Jamar Cutler | Registered representative | May 2018 (8y) | ||
| Allie Corinne Lucas Rivera | Registered representative | CFP CFA | Sep 2018 (8y) | |
| David Scott Hinderstein | Registered representative | Sep 2018 (8y) | ||
| Katrina Cannon Boucher | Registered representative | Sep 2018 (8y) | ||
| Heidi L Sidley | Registered representative | Oct 2018 (8y) | ||
| Spencer Aaron Goldstein | Registered representative | Oct 2018 (8y) | ||
| Darren Joseph Burke | Registered representative | CFP | Dec 2018 (8y) | |
| David Tyler Morehead | Registered representative | Dec 2018 (8y) | ||
| Michael Alan Rosenthal | Registered representative | Dec 2018 (8y) | ||
| Michael Joseph Castner | Registered representative | Dec 2018 (8y) | ||
| David Bruce Utter | Registered representative | Dec 2018 (8y) | ||
| Sean Mitchell Ciemiewicz | Registered representative | Dec 2018 (8y) | ||
| Michael Edward Neaton | Registered representative | CFP | Feb 2019 (7y) | |
| Elmer Richard Ferguson | Registered representative | Feb 2019 (7y) | ||
| Bradley Lloyd Davis | Registered representative | Mar 2019 (7y) | ||
| Katie Patricia Calpin | Registered representative | Apr 2019 (7y) | ||
| William Charles Doran | Registered representative | May 2019 (7y) | ||
| David Shaun Hunter | Registered representative | May 2019 (7y) | ||
| Kevin William Grenham | Registered representative | May 2019 (7y) | ||
| Collin Harris Gauntlett | Registered representative | Oct 2019 (7y) | ||
| Gregory Jerald Mortenson | Registered representative | Dec 2019 (7y) | ||
| Scott Michael Siverhus | Registered representative | Dec 2019 (7y) | ||
| Patrice Marie Macgibbon | Registered representative | Dec 2019 (7y) | ||
| Sydney Erin Haas | Registered representative | Feb 2020 (6y) | ||
| Joe Benjamin Smith | Registered representative | Jun 2020 (6y) | ||
| Ronald Arthur Letaw | Registered representative | Jul 2020 (6y) | ||
| Daniel J Yuftczak | Registered representative | Jul 2020 (6y) | ||
| John L Hutchings | Registered representative | Aug 2020 (6y) | ||
| Jeffrey Evan Nordt | Registered representative | Sep 2020 (6y) | ||
| Jennifer Lynn Kruger | Registered representative | Oct 2020 (6y) | ||
| Richard Steven Magill | Registered representative | Chartered Financial Consultant | Oct 2020 (6y) | |
| Alejandro Siqueiros | Registered representative | Jan 2021 (6y) | ||
| Christopher Andrew Furner | Registered representative | Jan 2021 (6y) | ||
| John White Donnan Lindquist | Registered representative | Jan 2021 (6y) | ||
| John Nemmers | Registered representative | CFP | Jan 2021 (6y) | |
| David Zachariah Walley | Registered representative | Jan 2021 (6y) | ||
| Edward Taylor Hill | Registered representative | Jan 2021 (6y) | ||
| Victor Andres Salazar | Registered representative | CFP | Jan 2021 (6y) | |
| Brian Christopher Clark | Registered representative | Jan 2021 (6y) | ||
| Cindy Bea Autry | Registered representative | Jan 2021 (6y) | ||
| David Todd Griffin | Registered representative | Feb 2021 (5y) | ||
| Stephanie Boyd Hunt | Registered representative | Feb 2021 (5y) | ||
| Gregory Russell Bremer | Registered representative | Feb 2021 (5y) | ||
| Blade James Zych | Registered representative | Feb 2021 (5y) | ||
| Neil Christopher Netoskie | Registered representative | Mar 2021 (5y) | ||
| Robert Michael Corcoran | Registered representative | Mar 2021 (5y) | ||
| Henry Merrill Orne Young | Registered representative | Apr 2021 (5y) | ||
| Jennifer Woods Pearson | Registered representative | Apr 2021 (5y) | ||
| Thomas Fred Zamiara | Registered representative | Apr 2021 (5y) | ||
| Katrina Syble Vanderdray | Registered representative | Apr 2021 (5y) | ||
| Bradley Mason Towson | Registered representative | Apr 2021 (5y) | ||
| Daniel Zlotnick | Registered representative | Chartered Financial Consultant | May 2021 (5y) | |
| Elizabeth Ann Burney | Registered representative | May 2021 (5y) | ||
| Victor Solis | Registered representative | CFP | May 2021 (5y) | |
| Gregory Anthony Fiore | Registered representative | May 2021 (5y) | ||
| Sean David Patton | Registered representative | May 2021 (5y) | ||
| Richard Tyler Jones | Registered representative | Jun 2021 (5y) | ||
| Laura Clark Rogers | Registered representative | Aug 2021 (5y) | ||
| Julie Hilliard Wilson | Registered representative | Sep 2021 (5y) | ||
| Joseph John Dellisanti | Registered representative | Nov 2021 (5y) | ||
| Andrew Jefferys | Registered representative | Dec 2021 (5y) | ||
| Daniel Michael Mccarthy | Registered representative | Dec 2021 (5y) | ||
| Michael Hayes Gouldin | Registered representative | Dec 2021 (5y) | ||
| Christopher T Conyers | Registered representative | Dec 2021 (5y) | ||
| Dawson Gregory Kohlman | Registered representative | Dec 2021 (5y) | ||
| Michael James Minton | Registered representative | Jan 2022 (5y) | ||
| Thomas James Mcevoy | Registered representative | Jan 2022 (5y) | ||
| Caroline C. Stegman | Registered representative | Jan 2022 (5y) | ||
| Maribeth Renee Snodgrass | Registered representative | Jan 2022 (5y) | ||
| Katrina Yvette Taylor | Registered representative | Feb 2022 (4y) | ||
| Christopher Albert Zeoli | Registered representative | Apr 2022 (4y) | ||
| Michael J Rawlings | Registered representative | CFP | Apr 2022 (4y) | |
| Vishnu Tait Lekraj | Registered representative | Apr 2022 (4y) | ||
| Ryan Jensen | Registered representative | May 2022 (4y) | ||
| James Blake Miller | Registered representative | May 2022 (4y) | ||
| Camay Kwong Pascucci | Registered representative | Jul 2022 (4y) | ||
| Douglas Tilghman Wilson | Registered representative | CFP | Jul 2022 (4y) | |
| Mark Patrick Sullivan | Registered representative | CFP | Jul 2022 (4y) | |
| Sean Patrick Gibbons | Registered representative | CFP | Jul 2022 (4y) | |
| Luz Edesa Paulino | Registered representative | Jul 2022 (4y) | ||
| Katelynn Julie Kendall | Registered representative | Jul 2022 (4y) | ||
| Daniel Jaman Furiness | Registered representative | CFP | Sep 2022 (4y) | |
| Graham C Clarke | Registered representative | Sep 2022 (4y) | ||
| James David Kaplan | Registered representative | Sep 2022 (4y) | ||
| William Henry Damora | Registered representative | CFP Chartered Financial Consultant | Sep 2022 (4y) | |
| Gary Horine Campbell | Registered representative | Oct 2022 (4y) | ||
| Kirsten Moore Fuller | Registered representative | Oct 2022 (4y) | ||
| Jeanne Kane | Registered representative | CFP | Nov 2022 (4y) | |
| Matthew T Rembish | Registered representative | CFP | Nov 2022 (4y) | |
| Jerry Francis Lynch | Registered representative | CFP Chartered Financial Consultant | Nov 2022 (4y) | |
| Craig C Gabel | Registered representative | Nov 2022 (4y) | ||
| Susan Rebello Brown | Registered representative | Nov 2022 (4y) | ||
| Ashley Jean Hudson | Registered representative | Nov 2022 (4y) | ||
| Alan Cole | Registered representative | Nov 2022 (4y) | ||
| John Morris Hudson | Registered representative | CFP CFA | Dec 2022 (4y) | |
| John William Pomroy | Registered representative | CFP | Dec 2022 (4y) | |
| Jueryll Normand B Buan | Registered representative | CFP | Dec 2022 (4y) | |
| Steven Robert Carter | Registered representative | Dec 2022 (4y) | ||
| Landon Lee Strickland | Registered representative | Jan 2023 (4y) | ||
| Katherine Odell | Registered representative | Jan 2023 (4y) | ||
| Troy Dixon Tummond | Registered representative | Jan 2023 (4y) | ||
| Gregory De Gennaro | Registered representative | CFA | Mar 2023 (3y) | |
| William James Brandimarte | Registered representative | Mar 2023 (3y) | ||
| Andrew C Gibson | Registered representative | Apr 2023 (3y) | ||
| Walter Lawrence Ziffer | Registered representative | May 2023 (3y) | ||
| Justin Alton Rasmussen | Registered representative | May 2023 (3y) | ||
| John Doran | Registered representative | Jun 2023 (3y) | ||
| Kyle Murray | Registered representative | Jun 2023 (3y) | ||
| Robert Renton Worsfold | Registered representative | Jul 2023 (3y) | ||
| Vasiliky Kyriacou Dionne | Registered representative | Jul 2023 (3y) | ||
| Anthony Shazad John | Registered representative | Jul 2023 (3y) | ||
| Jerry Wayne Ericson | Registered representative | Aug 2023 (3y) | ||
| Gregory Apple | Registered representative | Aug 2023 (3y) | ||
| Kyle Jones | Registered representative | Aug 2023 (3y) | ||
| Patrick Noel Rush | Registered representative | CFP | Sep 2023 (3y) | |
| Janell Stults | Registered representative | Sep 2023 (3y) | ||
| Alexandra Treppa | Registered representative | Sep 2023 (3y) | ||
| Nathan David Smith | Registered representative | Sep 2023 (3y) | ||
| Dorothy Cameron Aydlett | Registered representative | CFP Chartered Financial Consultant | Sep 2023 (3y) | |
| Paul Wayne Litwinczuk | Registered representative | Oct 2023 (3y) | ||
| Amy Todd Draper | Registered representative | Oct 2023 (3y) | ||
| Chad Jeremy Wilson | Registered representative | CFP | Oct 2023 (3y) | |
| Jessica Aliesea Sawyer | Registered representative | Nov 2023 (3y) | ||
| Sean Jeffrey Fletcher | Registered representative | Nov 2023 (3y) | ||
| Keith L Huber | Registered representative | Nov 2023 (3y) | ||
| John William Marske | Registered representative | CFP | Dec 2023 (3y) | |
| Jonas Phillip Boyer | Registered representative | CFP | Dec 2023 (3y) | |
| Kaitlyn Rose Lingard | Registered representative | CFP | Dec 2023 (3y) | |
| Michael Cameron Behrman | Registered representative | CFP | Dec 2023 (3y) | |
| Amy Elizabeth Melander | Registered representative | CFP | Jan 2024 (3y) | |
| Christopher Adam Watson | Registered representative | Jan 2024 (3y) | ||
| Valerie Dale King | Registered representative | Jan 2024 (3y) | ||
| Amy Lynne Ahrens | Registered representative | CFP Chartered Financial Consultant | Jan 2024 (3y) | |
| Andrew Davis | Registered representative | Jan 2024 (3y) | ||
| Christopher Andre Benson | Registered representative | CFA | Jan 2024 (3y) | |
| Donald Neal Bateman | Registered representative | Jan 2024 (3y) | ||
| Jeffrey Craig Brown | Registered representative | CFP | Jan 2024 (3y) | |
| Aaron Michael Buemi | Registered representative | CFP Chartered Financial Consultant | Jan 2024 (3y) | |
| Wesley Ray Brown | Registered representative | CFP | Jan 2024 (3y) | |
| Eugene Nathan Gordon | Registered representative | Jan 2024 (3y) | ||
| Justin Allan Goodbread | Registered representative | CFP | Jan 2024 (3y) | |
| Davee Nobuyoshi Hazama | Registered representative | Jan 2024 (3y) | ||
| Peter Barry Wolk | Registered representative | Chartered Financial Consultant | Jan 2024 (3y) | |
| Lillian Elizabeth Betarie | Registered representative | CFP | Jan 2024 (3y) | |
| Amanda Jo Whitlock | Registered representative | Jan 2024 (3y) | ||
| Nicholas Willard Rostykus | Registered representative | CFP | Jan 2024 (3y) | |
| Graham Colin Marshall | Registered representative | Jan 2024 (3y) | ||
| Kevin Charles Swanson | Registered representative | Jan 2024 (3y) | ||
| Jillian Marie Kammerer | Registered representative | Jan 2024 (3y) | ||
| Bradford Hopkins Hyde | Registered representative | Jan 2024 (3y) | ||
| James Paul Huber | Registered representative | Jan 2024 (3y) | ||
| Matthew Alan Stratton | Registered representative | CFP Chartered Financial Consultant | Feb 2024 (3y) | |
| Peter Falkowski | Registered representative | Feb 2024 (2y) | ||
| Barbara Pauline Richley | Registered representative | Feb 2024 (2y) | ||
| Bryan David Cannon | Registered representative | CFA | Feb 2024 (2y) | |
| Adriana Sanchez De Tagle Elwood | Registered representative | CFP | Feb 2024 (2y) | |
| Hailey Moseman | Registered representative | CFA | Feb 2024 (2y) | |
| Jennifer Rebecca Witt | Registered representative | Feb 2024 (2y) | ||
| Christina Lynn Allen | Registered representative | Feb 2024 (2y) | ||
| Matthew Ryan Thompson | Registered representative | Feb 2024 (2y) | ||
| Sean Bayne | Registered representative | Feb 2024 (2y) | ||
| Joseph Richard Birkofer | Registered representative | CFP | Mar 2024 (2y) | |
| Amber Renee Jones | Registered representative | Mar 2024 (2y) | ||
| Nicole Marie Wolfe | Registered representative | Mar 2024 (2y) | ||
| Anna Marie Ciani | Registered representative | Mar 2024 (2y) | ||
| Daulton Lloyd Whitsel | Registered representative | Mar 2024 (2y) | ||
| Jason Collier Yepko | Registered representative | Mar 2024 (2y) | ||
| Gina Marisa Ruhlig | Registered representative | Mar 2024 (2y) | ||
| Stephanie Brooke Haralson | Registered representative | Mar 2024 (2y) | ||
| Brennan Cade Thornton | Registered representative | CFP | Apr 2024 (2y) | |
| Justin Levonyak | Registered representative | Apr 2024 (2y) | ||
| Daniel Joseph Peluse | Registered representative | Apr 2024 (2y) | ||
| Robert David Edgar | Registered representative | Apr 2024 (2y) | ||
| Stephanie Ng | Registered representative | May 2024 (2y) | ||
| Marisa Rose Ricottone | Registered representative | CFA | May 2024 (2y) | |
| Patty Battista Delmedico | Registered representative | May 2024 (2y) | ||
| Gerri Lee Steigerwald | Registered representative | May 2024 (2y) | ||
| Emily Maureen Everett | Registered representative | May 2024 (2y) | ||
| Anthony Martin Muraski | Registered representative | May 2024 (2y) | ||
| Michael David Hess | Registered representative | May 2024 (2y) | ||
| Kenna Jo Marie Graham | Registered representative | May 2024 (2y) | ||
| Robert Francis Jennings | Registered representative | Jun 2024 (2y) | ||
| Shemar Samuel Etienne | Registered representative | Jun 2024 (2y) | ||
| Charles Manwaring Madden | Registered representative | Jun 2024 (2y) | ||
| Daniel John Rohr | Registered representative | Personal Financial Specialist | Jul 2024 (2y) | |
| Gregory Kenneth Swanson | Registered representative | CFP | Jul 2024 (2y) | |
| John Thomas Bellman | Registered representative | CFP | Jul 2024 (2y) | |
| Michael Patrick Bird | Registered representative | CFP | Jul 2024 (2y) | |
| Randy Lee Miller | Registered representative | Jul 2024 (2y) | ||
| Abou Bakr Siddick Gbane | Registered representative | Jul 2024 (2y) | ||
| Julie Delynn Hanson | Registered representative | Aug 2024 (2y) | ||
| Haris Pratsinakis | Registered representative | Aug 2024 (2y) | ||
| Richard Thomas Cash | Registered representative | Aug 2024 (2y) | ||
| David Richard Williams | Registered representative | Aug 2024 (2y) | ||
| Zachary Delano | Registered representative | Aug 2024 (2y) | ||
| Jon Robert Higham | Registered representative | Aug 2024 (2y) | ||
| Bryan William Volk | Registered representative | Aug 2024 (2y) | ||
| Dale Michael Schumacher | Registered representative | Sep 2024 (2y) | ||
| Beth Ann Mc Pherson | Registered representative | Sep 2024 (2y) | ||
| Amy Nicole Flach | Registered representative | Sep 2024 (2y) | ||
| Tamara Ann Mullally | Registered representative | Sep 2024 (2y) | ||
| Adam Cameron Monson | Registered representative | Oct 2024 (2y) | ||
| Ashley Kaitlin Butz | Registered representative | Oct 2024 (2y) | ||
| Kelly Suzanne Majdan | Registered representative | Oct 2024 (2y) | ||
| Brook Carter Cox | Registered representative | Nov 2024 (2y) | ||
| Brian Philip Debels | Registered representative | Nov 2024 (2y) | ||
| Peter Jay Johannsen | Registered representative | Dec 2024 (2y) | ||
| Gabriel George Potter | Registered representative | Jan 2025 (2y) | ||
| Gary Scott Morrow | Registered representative | Jan 2025 (2y) | ||
| Mark Douglas Ray | Registered representative | Jan 2025 (2y) | ||
| Mindee Margaret Kissinger | Registered representative | Jan 2025 (2y) | ||
| Marivic Jimiera Hammond | Registered representative | Jan 2025 (2y) | ||
| Alexsa Santos Donoghue | Registered representative | Jan 2025 (2y) | ||
| Kelley Faustin Snook | Registered representative | Jan 2025 (2y) | ||
| Laura Ann Tessmer | Registered representative | Jan 2025 (2y) | ||
| Ross Edward Brayton | Registered representative | Jan 2025 (2y) | ||
| Brian James Winkels | Registered representative | Jan 2025 (2y) | ||
| Liana Margarita Arguello Ramirez | Registered representative | CFP | Jan 2025 (2y) | |
| Lorenzo Daniel Garcia | Registered representative | Jan 2025 (2y) | ||
| Samantha Trout | Registered representative | Jan 2025 (2y) | ||
| Shane Poulin | Registered representative | Jan 2025 (2y) | ||
| Eugene Michael Gurevich | Registered representative | CFP | Feb 2025 (1y) | |
| Gregory Byron Powell | Registered representative | Feb 2025 (1y) | ||
| Timothy Robb Stanford | Registered representative | Feb 2025 (1y) | ||
| Aiden Gerard Grieco | Registered representative | Feb 2025 (1y) | ||
| David Harold Valk | Registered representative | Feb 2025 (1y) | ||
| Danielle Corigliano Maxwell | Registered representative | Feb 2025 (1y) | ||
| Reid Chiles Wheeler | Registered representative | CFA | Feb 2025 (1y) | |
| Lexie Elise Kershaw | Registered representative | Mar 2025 (1y) | ||
| Kyle Bourke | Registered representative | CFP | Mar 2025 (1y) | |
| Frank Edward Zugaro | Registered representative | Mar 2025 (1y) | ||
| Tyler James Becka | Registered representative | Mar 2025 (1y) | ||
| Adam James Hager | Registered representative | Apr 2025 (1y) | ||
| Franklin Shearwood Brizendine, Iii | Registered representative | Apr 2025 (1y) | ||
| James Lester Hager | Registered representative | CFP | Apr 2025 (1y) | |
| Cameron David Waters | Registered representative | CFP | Apr 2025 (1y) | |
| John Donald Waters | Registered representative | Chartered Financial Consultant | Apr 2025 (1y) | |
| Mark Conrad Dowd | Registered representative | CFP | Apr 2025 (1y) | |
| David John Gagnon | Registered representative | Apr 2025 (1y) | ||
| Ryan Mc Lean Wilson | Registered representative | Apr 2025 (1y) | ||
| Sam Maxwell Blechman | Registered representative | May 2025 (1y) | ||
| Maggie Webster Piccirillo | Registered representative | CFP | May 2025 (1y) | |
| Jessica Ann Henricksen | Registered representative | May 2025 (1y) | ||
| Milan Joseph Capela | Registered representative | May 2025 (1y) | ||
| Krasimira Georgieva Conway | Registered representative | Jun 2025 (1y) | ||
| Gregory Caldwell Hanhauser | Registered representative | Jun 2025 (1y) | ||
| Jaime Tara Fobar | Registered representative | Jun 2025 (1y) | ||
| Elaine Madison Hager | Registered representative | CFP CFA | Jul 2025 (1y) | |
| Michael Brian Powers | Registered representative | Jul 2025 (1y) | ||
| Eleftherios A. Fotos | Registered representative | Jul 2025 (1y) | ||
| Rosalyn Nadine Winston | Registered representative | Aug 2025 (1y) | ||
| Chucky Lee Furr | Registered representative | CFP | Aug 2025 (1y) | |
| Brennan Thomas Rouse | Registered representative | Aug 2025 (1y) | ||
| Matthew James Rozzi | Registered representative | Aug 2025 (1y) | ||
| David Salazar Robinson | Registered representative | CFP | Aug 2025 (1y) | |
| William Stephen Fazekas | Registered representative | CFP | Aug 2025 (1y) | |
| Justin James Adams | Registered representative | Sep 2025 (1y) | ||
| Christopher Gerald Hoffman | Registered representative | CFP | Sep 2025 (1y) | |
| Abigail Madison Lewis | Registered representative | Sep 2025 (1y) | ||
| Shane Lewis Kammerer | Registered representative | Oct 2025 (1y) | ||
| Angela Nicole Jones | Registered representative | CFP | Oct 2025 (1y) | |
| Garrett Brinton | Registered representative | Oct 2025 (1y) | ||
| Kassia Rose Lisac | Registered representative | Oct 2025 (1y) | ||
| Curt Richard Mangold | Registered representative | CFP | Oct 2025 (1y) | |
| Ann Barclay Fuss | Registered representative | Oct 2025 (1y) | ||
| James Orren Sims | Registered representative | CFP | Oct 2025 (1y) | |
| Russell Anderson Harris | Registered representative | CFP | Oct 2025 (1y) | |
| Mallory Ann Singh | Registered representative | Oct 2025 (1y) | ||
| Brian Lyn Ransom | Registered representative | CFA | Oct 2025 (1y) | |
| Scott Richard Bishop | Registered representative | CFP | Oct 2025 (1y) | |
| Carmen Christine Roy | Registered representative | Oct 2025 (1y) | ||
| Frank Dryden Anzalone | Registered representative | Nov 2025 (1y) | ||
| Jason Lee Smith | Registered representative | Nov 2025 (1y) | ||
| Karlee Adair Lakin | Registered representative | Nov 2025 (1y) | ||
| Jarrod Greg Church | Registered representative | CFP | Nov 2025 (1y) | |
| Steven Bert Wright | Registered representative | Nov 2025 (1y) | ||
| Joshua Michael Ryan | Registered representative | Nov 2025 (1y) | ||
| Jack Hudson Lutfy | Registered representative | Dec 2025 (1y) | ||
| Andrew Burnham Cannon | Registered representative | Dec 2025 (1y) | ||
| Robert Blumberg | Registered representative | Dec 2025 (1y) | ||
| Amy Catherine Speas | Registered representative | Dec 2025 (1y) | ||
| Cameron Peyton Clear | Registered representative | Dec 2025 (1y) | ||
| Joseph Michael Syron | Registered representative | Dec 2025 (1y) | ||
| Robert Emmett Lyons | Registered representative | Dec 2025 (1y) | ||
| Kevin M Lyons | Registered representative | Dec 2025 (1y) | ||
| Austin James Miller | Registered representative | Jan 2026 (1y) | ||
| Gerard Patrick Pernot | Registered representative | Jan 2026 (1y) | ||
| Kevin Francis Kalal | Registered representative | Jan 2026 (1y) | ||
| Tracy Owen Caldwell | Registered representative | Jan 2026 (1y) | ||
| Timothy Allen Alessi | Registered representative | Jan 2026 (1y) | ||
| Brian Francis Rudloff | Registered representative | CFA | Jan 2026 (1y) | |
| Thomas Patrick O'connor | Registered representative | Jan 2026 (1y) | ||
| Fred Johnson | Registered representative | Jan 2026 (1y) | ||
| Matthew George Shahady | Registered representative | Jan 2026 (1y) | ||
| Kyle Palmer Bingham | Registered representative | Jan 2026 (1y) | ||
| Scott Anthony Keswick | Registered representative | Feb 2026 (0y) | ||
| Timothy Allen Cole | Registered representative | CFP | Feb 2026 (0y) | |
| Ryan Boyle | Registered representative | Feb 2026 (0y) | ||
| William Lewis Overstreet | Registered representative | CFP | Feb 2026 (0y) | |
| Alexander Louis Bush | Registered representative | CFP | Feb 2026 (0y) | |
| Eric Jon Munkeby | Registered representative | Feb 2026 (0y) | ||
| Kenneth John Kramer | Registered representative | Feb 2026 (0y) | ||
| Todd Michael Miron | Registered representative | CFA | Feb 2026 (0y) | |
| Cade Mower | Registered representative | Feb 2026 (0y) | ||
| Emily Claire Bebee | Registered representative | Feb 2026 (0y) | ||
| Samuel Hand Robert | Registered representative | Feb 2026 (0y) | ||
| Anna Dominica Aloi | Registered representative | Mar 2026 (0y) | ||
| Arturo Arzola | Registered representative | Mar 2026 (0y) | ||
| Anthony Steven Flack | Registered representative | Mar 2026 (0y) | ||
| Jaggar Daniel Deeds | Registered representative | CFP | Mar 2026 (0y) | |
| Travis John Stephens | Registered representative | Mar 2026 (0y) | ||
| Xinang Chen | Registered representative | CFA | Mar 2026 (0y) | |
| Arish Samir Nurani | Registered representative | CFP | Mar 2026 (0y) | |
| Ethan John Alessi | Registered representative | Apr 2026 (0y) | ||
| Edward James Hendricks | Registered representative | Apr 2026 (0y) | ||
| Gregory W. Jacobs | Registered representative | Apr 2026 (0y) | ||
| Kenneth Charles Krichbaum | Registered representative | CFP | Apr 2026 (0y) | |
| Clayton Matthew Janson | Registered representative | CFP | Apr 2026 (0y) | |
| Kasi Richardson Boyles | Registered representative | Apr 2026 (0y) | ||
| Lanaya Jean Ewald | Registered representative | Apr 2026 (0y) | ||
| Beau Diehl Sheedy | Registered representative | Apr 2026 (0y) | ||
| Jennifer Rachel Rusk | Registered representative | Apr 2026 (0y) | ||
| Tyler Joseph Clark | Registered representative | Apr 2026 (0y) | ||
| Tyler Scott Grantham | Registered representative | CFP | Apr 2026 (0y) | |
| Morgan Daniel Keil | Registered representative | Apr 2026 (0y) | ||
| Alexander Freeman Mccollum | Registered representative | May 2026 (0y) | ||
| Colleen Ann Porcaro | Registered representative | May 2026 (0y) | ||
| Christopher Ryan Ardizzone | Registered representative | May 2026 (0y) | ||
| Lisa Marie Vachalek | Registered representative | May 2026 (0y) | ||
| Alec Peter Hoover | Registered representative | CFP | Jun 2026 (0y) | |
| John Conor Schwartz | Registered representative | Jun 2026 (0y) | ||
| Sebastian Bonone Triscari | Registered representative | CFP | Jun 2026 (0y) | |
| Daniel Lawrence Overholt | Registered representative | Jun 2026 (0y) | ||
| Arielle Vanessa Carreau | Registered representative | Jun 2026 (0y) | ||
| Joseph William Christianson | Registered representative | CFA | Jun 2026 (0y) | |
| Sara Jean Brettingen | Registered representative | Jun 2026 (0y) | ||
| Robert Anthony Schafer | Registered representative | CFP | Jun 2026 (0y) | |
| Reid Scott Wilson | Registered representative | Chartered Financial Consultant | Jun 2026 (0y) | |
| Joseph Alan Walter | Registered representative | Jun 2026 (0y) | ||
| Casey Miller Rosenthal | Registered representative | CFP | Jul 2026 (0y) | |
| Deana Crawford Arnett | Registered representative | CFP Chartered Financial Consultant | Jul 2026 (0y) | |
| Dexter A Burlew | Registered representative | Jul 2026 (0y) | ||
| Reese Thomas Varley | Registered representative | Jul 2026 (0y) | ||
| Scott William Slacum | Registered representative | Jul 2026 (0y) | ||
| Shane Austin Martin | Registered representative | Jul 2026 (0y) | ||
| Sonja Rene Harris | Registered representative | Jul 2026 (0y) | ||
| Stuart Laurence Rosenthal | Registered representative | CFP | Jul 2026 (0y) | |
| Gabriella Carmela Toth | Registered representative | Jul 2026 (0y) | ||
| Hunter Arthur De George | Registered representative | Jul 2026 (0y) | ||
| Todd Sterling Wright | Registered representative | Jul 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Digital Insurance Llc | Owner | Jan 2020 | A | 75% or more |
| Onedigital Topco Llc | Member | Nov 2020 | B | ≈ 13.35% – 100% via Onedigital Holdings Llc |
| Onedigital Management Holdings Llc | Member Class A Interests | Nov 2020 | B | ≈ 2.5% – 50% via Onedigital Management Llc |
| Digital Insurance Holdings Llc | Member | Jun 2011 | B | ≈ 56.25% – 100% via Digital Insurance Llc |
| Onedigital Intermediate I Llc | Member | Apr 2017 | B | ≈ 42.19% – 100% via Digital Insurance Holdings Llc |
| Onedigital Intermediate 2 Llc | Member | Apr 2017 | B | ≈ 31.64% – 100% via Onedigital Intermediate I Llc |
| Onedigital Borrower Llc | Member | Apr 2017 | B | ≈ 23.73% – 100% via Onedigital Intermediate 2 Llc |
| Onedigital Holdings Llc | Member | Oct 2020 | B | ≈ 17.8% – 100% via Onedigital Borrower Llc |
| Onex Od Limited Partnership | Shareholder | Nov 2020 | B | ≈ 0.47% – 25% via Onex Od Holdings Inc. |
| Onedigital Management Llc | Member Class A Interests | Nov 2020 | B | ≈ 3.34% – 50% via Onedigital Topco Llc |
| Onex Od Holdings Inc. | Member Class A Interests | Nov 2020 | B | ≈ 0.63% – 25% via Onedigital Management Holdings Llc |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Onedigital Topco Llc: 75% – 100% of Onedigital Holdings Llc × 75% – 100% of Onedigital Borrower Llc × 75% – 100% of Onedigital Intermediate 2 Llc × 75% – 100% of Onedigital Intermediate I Llc × 75% – 100% of Digital Insurance Holdings Llc × 75% – 100% of Digital Insurance Llc × 75% – 100% direct ≈ 13.35% – 100% of the firm
- Onedigital Management Holdings Llc: 75% – 100% of Onedigital Management Llc × 25% – 50% of Onedigital Topco Llc × 75% – 100% of Onedigital Holdings Llc × 75% – 100% of Onedigital Borrower Llc × 75% – 100% of Onedigital Intermediate 2 Llc × 75% – 100% of Onedigital Intermediate I Llc × 75% – 100% of Digital Insurance Holdings Llc × 75% – 100% of Digital Insurance Llc × 75% – 100% direct ≈ 2.5% – 50% of the firm
- Digital Insurance Holdings Llc: 75% – 100% of Digital Insurance Llc × 75% – 100% direct ≈ 56.25% – 100% of the firm
- Onedigital Intermediate I Llc: 75% – 100% of Digital Insurance Holdings Llc × 75% – 100% of Digital Insurance Llc × 75% – 100% direct ≈ 42.19% – 100% of the firm
- Onedigital Intermediate 2 Llc: 75% – 100% of Onedigital Intermediate I Llc × 75% – 100% of Digital Insurance Holdings Llc × 75% – 100% of Digital Insurance Llc × 75% – 100% direct ≈ 31.64% – 100% of the firm
- Onedigital Borrower Llc: 75% – 100% of Onedigital Intermediate 2 Llc × 75% – 100% of Onedigital Intermediate I Llc × 75% – 100% of Digital Insurance Holdings Llc × 75% – 100% of Digital Insurance Llc × 75% – 100% direct ≈ 23.73% – 100% of the firm
- Onedigital Holdings Llc: 75% – 100% of Onedigital Borrower Llc × 75% – 100% of Onedigital Intermediate 2 Llc × 75% – 100% of Onedigital Intermediate I Llc × 75% – 100% of Digital Insurance Holdings Llc × 75% – 100% of Digital Insurance Llc × 75% – 100% direct ≈ 17.8% – 100% of the firm
- Onex Od Limited Partnership: 75% – 100% of Onex Od Holdings Inc. × 25% – 50% of Onedigital Management Holdings Llc × 75% – 100% of Onedigital Management Llc × 25% – 50% of Onedigital Topco Llc × 75% – 100% of Onedigital Holdings Llc × 75% – 100% of Onedigital Borrower Llc × 75% – 100% of Onedigital Intermediate 2 Llc × 75% – 100% of Onedigital Intermediate I Llc × 75% – 100% of Digital Insurance Holdings Llc × 75% – 100% of Digital Insurance Llc × 75% – 100% direct ≈ 0.47% – 25% of the firm
- Onedigital Management Llc: 25% – 50% of Onedigital Topco Llc × 75% – 100% of Onedigital Holdings Llc × 75% – 100% of Onedigital Borrower Llc × 75% – 100% of Onedigital Intermediate 2 Llc × 75% – 100% of Onedigital Intermediate I Llc × 75% – 100% of Digital Insurance Holdings Llc × 75% – 100% of Digital Insurance Llc × 75% – 100% direct ≈ 3.34% – 50% of the firm
- Onex Od Holdings Inc.: 25% – 50% of Onedigital Management Holdings Llc × 75% – 100% of Onedigital Management Llc × 25% – 50% of Onedigital Topco Llc × 75% – 100% of Onedigital Holdings Llc × 75% – 100% of Onedigital Borrower Llc × 75% – 100% of Onedigital Intermediate 2 Llc × 75% – 100% of Onedigital Intermediate I Llc × 75% – 100% of Digital Insurance Holdings Llc × 75% – 100% of Digital Insurance Llc × 75% – 100% direct ≈ 0.63% – 25% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Private funds (1, $49.4M gross assets)
| Fund | Type | Gross assets | Min. investment | Owners |
|---|---|---|---|---|
| Palm Tree Partners, Lp | Hedge Fund | $49.4M | $250K | 25 |
From Form ADV Section 7.B private fund reporting.
Retirement plans served (100)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Marine Repair Services Of New York, Llc 401(k) Plan | Marine Repair Services Of New York, Llc | 0 | $0 | 01/01/2025 |
| Lingo Management, Llc 401(k) Plan | Lingo Management, Llc | 0 | $0 | 01/01/2025 |
| Kr Management 401(k) Plan | Kr Management Llc | 0 | $0 | 01/01/2025 |
| Walker Automotive Supply, Inc. Employee Savings & | Walker Automotive Supply, Inc. | 0 | $0 | 01/01/2025 |
| Defenders Of Wildlife Pension Plan | Defenders Of Wildlife | 120 | $13.7M | 10/01/2024 |
| Valco Instruments Restated Profit Sharing Plan Trust | Valco Instruments Company, Inc. | 333 | $47.5M | 10/01/2024 |
| Cubic Corporation 401(k) Retirement Plan | Cubic Corporation | 1,987 | $649M | 10/01/2024 |
| Peckham, Inc. Defined Contribution Retirement Plan | Peckham, Inc. | 1,601 | $60.8M | 10/01/2024 |
| Ojai Valley School, Inc. Profit Sharing Plan | Ojai Valley School, Inc. | 125 | $10.4M | 09/01/2024 |
| Cooper Steel Employee Savings And Retirement Plan | Cooper Steel Fabricators, Inc. | 506 | $34.9M | 09/01/2024 |
| Clackamas County Childrens Commission 403(b) Plan | Clackamas County Childrens | 223 | $7.7M | 09/01/2024 |
| The Benjamin School Defined Contribution Plan | The Benjamin School | 373 | $47.2M | 09/01/2024 |
| Bethel University 401(k) Plan | Bethel University | 209 | $8.2M | 08/01/2024 |
| Russellville Engineered Castings, Inc. 401(k) Plan | Russellville Engineered Castings, Inc. | 104 | $7.3M | 07/01/2024 |
| Woodberry Forest School Defined Contribution Retirement Plan | Woodberry Forest School | 262 | $77.3M | 07/01/2024 |
| The Steward School Defined Contribution Retirement Plan | The Steward School Corporation | 137 | $21.4M | 07/01/2024 |
| The Children's Home Society Of Florida 403(b) Plan | The Children's Home Society Of Florida | 1,046 | $40.8M | 07/01/2024 |
| San Diego Humane Society And S.P.C.A. Retirement Plan | San Diego Humane Society S.P.C.A. | 696 | $28.6M | 07/01/2024 |
| Community Partners In Action Defined Contribution Plan | Community Partners In Action, Inc. | 209 | $11.2M | 07/01/2024 |
| Foxcroft School 403(b) Retirement Plan | Foxcroft School | 0 | $0 | 07/01/2024 |
| City Wide 401(k) Plan | Jbo Management Llc | 379 | $11.0M | 07/01/2024 |
| Basys Processing 401(k) Plan | Basys Processing, Inc. | 174 | $10.6M | 07/01/2024 |
| Nat'l Foundation For The Centers For Disease Control/Prevention Inc Defined Contribution Retirement Plan | National Foundation For The Cdc, Inc. | 1,027 | $68.1M | 07/01/2024 |
| Miami Country Day School Retirement And Tda Plan | Miami Country Day School, Inc. | 387 | $58.3M | 07/01/2024 |
| Integrity, Inc. Profit Sharing Plan | Integrity, Inc. | 161 | $7.5M | 07/01/2024 |
Top 25 of 100 plans by assets.
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 04/01/2026 | 2.56 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Regulatory · Item 11.E(2), 11.E(4)
as of Jul 19, 2024
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, DENNEY CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT OVER THE COURSE OF NINE MONTHS, HE DISCLOSED NONPUBLIC INFORMATION (NPI) ABOUT APPROXIMATELY TWO DOZEN CUSTOMERS TO A PERSON WHO WAS STATUTORILY DISQUALIFIED FROM THE BROKERAGE INDUSTRY AND ASSISTED THAT PERSON'S EFFORTS TO ACT AS AN UNREGISTERED BROKER. THE FINDINGS STATED THAT THE INVESTMENT ADVISOR FIRM THAT DENNEY WAS DUALLY REGISTERED WITH PURCHASED THE STATUTORILY DISQUALIFIED PERSON'S BUSINESS AND ASSIGNED DENNEY TO A GROUP OF HER FORMER CUSTOMERS. DENNEY'S MEMBER FIRM PROHIBITED THE STATUTORILY DISQUALIFIED INDIVIDUAL FROM DISCUSSING SECURITIES, FROM HANDLING PAPERWORK FOR SECURITIES TRANSACTIONS, AND FROM INTRODUCING HER FORMER CUSTOMERS TO THE FIRM'S ASSOCIATED PERSONS. THE FIRM'S WRITTEN PROCEDURES ALSO PROHIBITED DENNEY FROM SHARING NPI WITH THE DISQUALIFIED PERSON ABOUT HER FORMER CUSTOMERS, SUCH AS INFORMATION ABOUT THEIR ACCOUNT BALANCES, SECURITIES TRANSACTIONS, AND INVESTMENT STRATEGIES. IN ADDITION TO THOSE RESTRICTIONS, THE FIRM GENERALLY PROHIBITED ITS REGISTERED PERSONS FROM COMMUNICATING ABOUT THEIR SECURITIES BUSINESS USING TEXT MESSAGES WITHOUT PRIOR WRITTEN APPROVAL. DENNEY WAS AWARE OF THOSE POLICIES. THE FINDINGS ALSO STATED THAT DENNEY SHARED NPI WITH THE STATUTORILY DISQUALIFIED PERSON ABOUT HER FORMER CUSTOMERS, INCLUDING INFORMATION ABOUT THEIR ACCOUNT BALANCES, SECURITIES TRANSACTIONS, AND INVESTMENT STRATEGIES. ON APPROXIMATELY TWENTY OCCASIONS, DENNEY ASSISTED THE DISQUALIFIED PERSON'S EFFORTS TO ACT AS AN UNREGISTERED BROKER BY ACCEPTING HER INTRODUCTIONS TO CUSTOMERS, FOLLOWING HER SUGGESTIONS ABOUT HER FORMER CUSTOMERS' INVESTMENTS, OR OBTAINING PAPERWORK FROM HER RELATING TO SECURITIES TRANSACTIONS. ON ONE OCCASION, THE DISQUALIFIED PERSON GAVE CHECKS TO DENNEY FROM ONE OF HER FORMER CUSTOMERS THAT SHE PARTLY FILLED OUT. THE FINDINGS ALSO INCLUDED THAT DENNEY SENT HUNDREDS OF TEXT MESSAGES ABOUT SECURITIES TO THE STATUTORILY DISQUALIFIED PERSON WITHOUT SEEKING OR RECEIVING HIS FIRM'S PRIOR WRITTEN APPROVAL, PREVENTING THE FIRM FROM SUPERVISING THOSE COMMUNICATIONS. Status: Final Sanction Detail: SANCTION TYPE: SUSPENSION REGISTRATION CAPACITIES AFFECTED (E.G., GENERAL SECURITIES PRINCIPAL, FINANCIAL OPERATIONS PRINCIPAL, ALL CAPACITIES, ETC.): ALL CAPACITIES DURATION (LENGTH OF TIME): 12 MONTHS START DATE: 05/21/2018 END DATE: 05/20/2019 Summary: FINRA HAS FILED A DISCLOSURE REGARDING THIS MATTER.
Regulatory · Item 11.D(5)
as of Jul 19, 2024
Allegations: HEIGHTENED SUPERVISION WAS REQUIRED FOR MISSOURI SECURITIES DIVISION TO APPROVE ADVISER'S REGISTRATION WITH THE FIRM DUE TO A PENDING FINRA INVESTIGATION REGARDING ADVISER BASED UPON THE DISCLOSURE OF NONPUBLIC CUSTOMER INFORMATION AND ASSOCIATION WITH AN INDIVIDUAL WHO IS BARRED FROM THE INDUSTRY. Status: Final Sanction Detail: ADVISER SUBJECT TO A FIRM SUPERVISION PLAN FOR A PERIOD OF TWO YEARS, BEGINNING JANUARY 8, 2018, WHICH PROVIDES ADVISER FROM HAVING DISCRETIONARY AUTHORITY OF CLIENT ACCOUNTS. ADVISER ORDERED TO PAY $15,000 TO THE MISSOURI SECRETARY OF STATE'S INVESTOR EDUCATION AND PROTECTION FUND, WITH $5,000 DUE WITHIN 180 DAYS AND THE REMAINDER SUSPENDED FOR TWO YEARS. Summary: THE ACTION WAS PREDICATED ON THE FIRM'S REQUEST THAT ADVISER BE REGISTERED AS ITS INVESTMENT ADVISER REPRESENTATIVE, AND IT HAS AGREED TO PROVIDE HEIGHTENED SUPERVISION OF THE ADVISER FOR A PERIOD OF 2 YEARS IN EXCHANGE FOR THAT REGISTRATION.
Regulatory · Item 11.D(2), 11.D(4)
as of Jul 19, 2024
Allegations: FAILURE TO REPORT TO THE SUPERINTENDENT WITHIN 30 DAYS OF THE FINAL DISPOSITION OF THE ADMINISTRATIVE ACTION TAKEN BY THE FLORIDA OFFICE OF FINANCIAL REGULATION ON OR ABOUT JANUARY 17, 2012 AND THE FLORIDA DEPARTMENT OF FINANCIAL SERVICES ON OUR ABOUT DECEMBER 27, 2012. Status: Final Sanction Detail: FINE WAS PAID IN FULL. Summary: FINE WAS PAID IN FULL.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
- • Performance-based fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Selection of other advisers
- • Educational seminars/workshops
Custody
Reported custodians
- Fidelity Brokerage Services $45.2B (29% of AUM) Apr 2026
- Empower Trust Co $31.7B (20% of AUM) Apr 2026
- Great West Trust Company, Llc $18.3B (20% of AUM) Feb 2024
- Charles Schwab & Co. $12.1B (8% of AUM) Apr 2026
- Principal Life Insurance Company $5.3B (12% of AUM) Jun 2020
- Prudential Retirement And Annuity Company $4.5B (10% of AUM) Jun 2020
- Tiaa Cref Trust Company, Fsb $3.8B (9% of AUM) Jun 2020
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Apr 01, 2026.
View current Form ADV (SEC/IAPD) ↗