Tlg Advisors, Inc.
SEC-registered
Wealth Manager · Mid-sized ($1B–$10B)
CRD 111052
· SEC file 801-60458
· Summit, NJ
· www.linkedin.com
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ADV data as of Mar 31, 2026
- Regulatory AUM
- $2.3B
- Discretionary
- $1.8B
- Clients
- 5,161
- Avg AUM / client
- $445K
- Accounts
- 6,727
- Employees
- 290
AUM over time
$158M
$2.3B
Dec 2011
Dec 2025
Annual snapshots from Form ADV filings · as of Mar 31, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 4,717 | $1.6B | 69.9% |
| High net worth individuals | 301 | $555M | 24.2% |
| Banking or thrift institutions | Fewer than 5 clients | $0 | — |
| Pension and profit sharing plans | 28 | $47.5M | 2.07% |
| Charitable organizations | 8 | $1.9M | 0.08% |
| State or municipal government entities | Fewer than 5 clients | $0 | — |
| Other investment advisers | Fewer than 5 clients | $0 | — |
| Insurance companies | Fewer than 5 clients | $0 | — |
| Sovereign wealth funds and foreign official institutions | Fewer than 5 clients | $0 | — |
| Corporations and other businesses | 107 | $88.2M | 3.84% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Central Valley Meat Co. 401(k) Plan Central Valley Meat Co. | 2024 | |
| Houlihan Lokey Retirement Savings Plan Houlihan Lokey | 2024 |
People (313)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Zorah Jane Riley | Chief Compliance Officer | Jun 2001 (25y) | Less than 5% | |
| Sean David Wickersham | President | Sep 2009 (17y) | Less than 5% | |
| Warren Brennan Mann | Principal Operations Officer | Jun 2018 (8y) | Less than 5% | |
| Donaldson, Bruce, George | Board Member | Aug 2023 (3y) | Less than 5% | |
| Erin Bartlett Mc Cann | Board Member | Aug 2023 (3y) | Less than 5% | |
| Leidner, Mitchell, Marc | Board Member | Aug 2023 (3y) | Less than 5% | |
| Donald Peter Monti | Registered representative | Jun 2002 (24y) | ||
| Daniel James Thompson | Registered representative | Feb 2006 (20y) | ||
| James Milton Raabe | Registered representative | Mar 2006 (20y) | ||
| Barwick Odessa Barfield | Registered representative | Chartered Financial Consultant | Mar 2007 (19y) | |
| Joseph Weeks Guess | Registered representative | Mar 2007 (19y) | ||
| Paul Bonnell Stevenson | Registered representative | Jun 2008 (18y) | ||
| Edwin George Colvin | Registered representative | Sep 2009 (17y) | ||
| Farid Mokhtarian | Registered representative | Nov 2009 (17y) | ||
| Timothy Patrick Gelinas | Registered representative | Mar 2011 (15y) | ||
| Alexander Andreyevich Nikolenko | Registered representative | Chartered Financial Consultant | Apr 2012 (14y) | |
| Mary Elizabeth Schaaf | Registered representative | Nov 2012 (14y) | ||
| Giacomo Salvatore Palazzolo | Registered representative | Feb 2013 (14y) | ||
| Charles Lloyd Arnold | Registered representative | Mar 2013 (13y) | ||
| Phillip John Bucaro | Registered representative | May 2013 (13y) | ||
| Benjamin Ryan Tiller | Registered representative | Jun 2013 (13y) | ||
| Van B Lam | Registered representative | Jun 2013 (13y) | ||
| Brian Paul Hanson | Registered representative | Jan 2014 (13y) | ||
| Eugene Clair Wolfe | Registered representative | Chartered Financial Consultant | Jan 2014 (13y) | |
| James Allan Roberts | Registered representative | Jan 2014 (13y) | ||
| Michael Aaron Gubin | Registered representative | CFP | Jan 2014 (13y) | |
| Mark David Rosen | Registered representative | Nov 2015 (11y) | ||
| Igor A Zey | Registered representative | CFP Chartered Financial Consultant | Jan 2016 (11y) | |
| Andrea Lynn Dykes | Registered representative | CFP | Apr 2016 (10y) | |
| Shawn William Nelson | Registered representative | May 2016 (10y) | ||
| Alyse N Blumberg | Registered representative | Jul 2016 (10y) | ||
| Steven Charles Caldara | Registered representative | Chartered Financial Consultant | Sep 2016 (10y) | |
| Legrand Snowden Redfield | Registered representative | CFP | Oct 2016 (10y) | |
| Douglas Arthur Clermont | Registered representative | CFP | Jan 2017 (10y) | |
| James Alexander Eddy | Registered representative | Jan 2017 (10y) | ||
| Jerry Irving Rubin | Registered representative | Jan 2017 (10y) | ||
| Timothy Linaugh | Registered representative | Jan 2017 (10y) | ||
| Jeffrey T Gelinas | Registered representative | Feb 2017 (9y) | ||
| Shawn Michael Bragdon | Registered representative | Chartered Financial Consultant | Feb 2017 (9y) | |
| Michael Andrew Wayda | Registered representative | Mar 2017 (9y) | ||
| Shawn Marcel Lefebvre | Registered representative | Apr 2017 (9y) | ||
| Richard Scott Maholchic | Registered representative | Chartered Financial Consultant | Jun 2017 (9y) | |
| Weldon Williamson Doe | Registered representative | Jun 2017 (9y) | ||
| Troy Edward Woods | Registered representative | Sep 2017 (9y) | ||
| David Grant Patton | Registered representative | Nov 2017 (9y) | ||
| Christopher Ian Diodato | Registered representative | CFP CFA | Jan 2018 (9y) | |
| Paul Mitchell Shepherd | Registered representative | CFP Chartered Financial Consultant | Jan 2018 (9y) | |
| Donald Edward Garlikov | Registered representative | Mar 2018 (8y) | ||
| Emma Rae Wheeler | Registered representative | CFP | Mar 2018 (8y) | |
| Clifford Scott Goodwin | Registered representative | Mar 2018 (8y) | ||
| Jerry Wayne Rainey | Registered representative | Mar 2018 (8y) | ||
| Sara Anne Stevens | Registered representative | CFP | Mar 2018 (8y) | |
| Anthony Steven Ivener | Registered representative | Apr 2018 (8y) | ||
| Kerry Wayne Pulliam | Registered representative | CFP | May 2018 (8y) | |
| Rhoneil Acierto Santo Tomas | Registered representative | May 2018 (8y) | ||
| Frank Warner | Registered representative | Jul 2018 (8y) | ||
| Eduardo Valdes | Registered representative | Oct 2018 (8y) | ||
| Brandon Scott Smith | Registered representative | Chartered Financial Consultant | Oct 2018 (8y) | |
| William John Hahn | Registered representative | Dec 2018 (8y) | ||
| Richard Dale Mack | Registered representative | Jan 2019 (8y) | ||
| Harry Norman Levitt | Registered representative | Jan 2019 (8y) | ||
| Edward Sylvester Watko | Registered representative | Feb 2019 (7y) | ||
| Jacob A Chandler | Registered representative | Apr 2019 (7y) | ||
| Brian Keith Parker | Registered representative | May 2019 (7y) | ||
| Craig Willard Jewett | Registered representative | CFP | Jun 2019 (7y) | |
| James Allen Jacobs | Registered representative | Chartered Financial Consultant | Jul 2019 (7y) | |
| Joshua Heinrich Pierce | Registered representative | Aug 2019 (7y) | ||
| Michael David Westerfield | Registered representative | Sep 2019 (7y) | ||
| William Everette Oliver | Registered representative | Chartered Financial Consultant | Oct 2019 (7y) | |
| Julia H Lin | Registered representative | Nov 2019 (7y) | ||
| David Russell Rodgers | Registered representative | CFP | Dec 2019 (7y) | |
| Luis Celso Pasquale Rosa | Registered representative | CFP Chartered Financial Consultant | Jan 2020 (7y) | |
| Heather Schumacher Kindoll | Registered representative | Jan 2020 (7y) | ||
| Keith Richard Brown | Registered representative | Feb 2020 (6y) | ||
| James Brennan Spiers | Registered representative | Feb 2020 (6y) | ||
| Ronald Glen Neuenschwander | Registered representative | CFP | Feb 2020 (6y) | |
| Jerime Dane Wyant | Registered representative | Feb 2020 (6y) | ||
| Roy Maurice Cranman | Registered representative | Chartered Financial Consultant | Mar 2020 (6y) | |
| Gregory James Hier | Registered representative | Chartered Financial Consultant | Mar 2020 (6y) | |
| Mary Grace Justice | Registered representative | Jul 2020 (6y) | ||
| Gary Lynn Gray | Registered representative | Chartered Financial Consultant | Jul 2020 (6y) | |
| James Scott Polmonari | Registered representative | Jul 2020 (6y) | ||
| Dean Knieps | Registered representative | Jul 2020 (6y) | ||
| Maria K Bannon | Registered representative | Jul 2020 (6y) | ||
| James Rouse Lingle | Registered representative | Jul 2020 (6y) | ||
| Robert Edgar Ausband | Registered representative | CFP | Aug 2020 (6y) | |
| Daniel Edward Moroney | Registered representative | Sep 2020 (6y) | ||
| William Robert Staples | Registered representative | Sep 2020 (6y) | ||
| Li Yang Lee | Registered representative | Oct 2020 (6y) | ||
| Nathaniel Scott Siegel | Registered representative | Oct 2020 (6y) | ||
| Jerry Charles Adam | Registered representative | Oct 2020 (6y) | ||
| John Jay Baxter | Registered representative | Chartered Financial Consultant | Oct 2020 (6y) | |
| J Eric Mackenbach | Registered representative | Nov 2020 (6y) | ||
| John Troy Gilmore | Registered representative | CFP | Nov 2020 (6y) | |
| John Bryan Setzler | Registered representative | Nov 2020 (6y) | ||
| Kevyn Bowling | Registered representative | CFP | Dec 2020 (6y) | |
| Matthew R Sweat | Registered representative | Jan 2021 (6y) | ||
| Jonathan Gerrard | Registered representative | Jan 2021 (6y) | ||
| Daniel Hilario Barajas | Registered representative | Jan 2021 (6y) | ||
| Jonathan P Johnen | Registered representative | CFP | Feb 2021 (5y) | |
| Douglas Franklin Karr | Registered representative | CFP | Mar 2021 (5y) | |
| Jonathan Lee Yates | Registered representative | Mar 2021 (5y) | ||
| Jeffrey Charles Reynolds | Registered representative | Mar 2021 (5y) | ||
| Adam J Fletcher | Registered representative | Apr 2021 (5y) | ||
| Steven David Schaumberger | Registered representative | Apr 2021 (5y) | ||
| Donald Anthony Cafero | Registered representative | Chartered Financial Consultant | Apr 2021 (5y) | |
| Christopher Dean Scheimer | Registered representative | May 2021 (5y) | ||
| Daoqi Yang | Registered representative | May 2021 (5y) | ||
| William Thomas Wright | Registered representative | CFP | Jun 2021 (5y) | |
| Christopher Branch Paulson | Registered representative | Jun 2021 (5y) | ||
| Wade C Root | Registered representative | Jun 2021 (5y) | ||
| Joshua Lee Curtis | Registered representative | Jul 2021 (5y) | ||
| Erik Oros | Registered representative | Jul 2021 (5y) | ||
| Robert D Amoruso | Registered representative | Jul 2021 (5y) | ||
| Jason Anthony Lenagh | Registered representative | Jul 2021 (5y) | ||
| Joseph Loy Mack | Registered representative | Jul 2021 (5y) | ||
| Christopher John Peplinski | Registered representative | Aug 2021 (5y) | ||
| Donald William Baran | Registered representative | Aug 2021 (5y) | ||
| Mitchell Keith Smith | Registered representative | Sep 2021 (5y) | ||
| Morgan Sven Christiansen | Registered representative | Oct 2021 (5y) | ||
| Fazel Mostashari | Registered representative | CFP Personal Financial Specialist | Oct 2021 (5y) | |
| Bailey Sigler | Registered representative | Oct 2021 (5y) | ||
| Alan Littman Kaye | Registered representative | Chartered Financial Consultant | Dec 2021 (5y) | |
| Brian Thomas | Registered representative | Dec 2021 (5y) | ||
| Carrie Stockton Westfall | Registered representative | Jan 2022 (5y) | ||
| Thomas James Archer | Registered representative | Chartered Financial Consultant | Jan 2022 (5y) | |
| Miguel Angel Castaneda | Registered representative | Chartered Financial Consultant | Jan 2022 (5y) | |
| Kyle Wilson Peace | Registered representative | Feb 2022 (4y) | ||
| Malcolm Kelly Sessoms | Registered representative | Feb 2022 (4y) | ||
| Mark Gori | Registered representative | Feb 2022 (4y) | ||
| James Thomas Murphy | Registered representative | Chartered Financial Consultant | Mar 2022 (4y) | |
| Kelley Adams King | Registered representative | Mar 2022 (4y) | ||
| James Vincent Connell | Registered representative | Mar 2022 (4y) | ||
| Corrie Daniel Feldotto | Registered representative | Mar 2022 (4y) | ||
| Edward Lewis Bennett | Registered representative | Mar 2022 (4y) | ||
| David Michael Cass | Registered representative | Apr 2022 (4y) | ||
| Jared Paul Gostanczik | Registered representative | CFP Chartered Financial Consultant | Apr 2022 (4y) | |
| Esteban Santiago Tormen | Registered representative | Jun 2022 (4y) | ||
| Willis Smith | Registered representative | Jun 2022 (4y) | ||
| Benjamin Allen Schwarz | Registered representative | Jun 2022 (4y) | ||
| Thomas Alan Zirbes | Registered representative | Jun 2022 (4y) | ||
| Barbara Louise Walker | Registered representative | Jun 2022 (4y) | ||
| Jackie N Martin | Registered representative | Jul 2022 (4y) | ||
| William Quinn Buckner | Registered representative | Aug 2022 (4y) | ||
| Maria Regina T Cruz | Registered representative | Aug 2022 (4y) | ||
| Johnathon August Smith | Registered representative | Aug 2022 (4y) | ||
| Peder Knoth | Registered representative | Oct 2022 (4y) | ||
| Jeffrey Earl Pifer | Registered representative | Oct 2022 (4y) | ||
| Charles Dillon Crist | Registered representative | Oct 2022 (4y) | ||
| William Monroe Biles | Registered representative | CFP | Nov 2022 (4y) | |
| Noah Robert Fitzgerald | Registered representative | Dec 2022 (4y) | ||
| Bernard Eugene Rosen | Registered representative | Chartered Financial Consultant | Dec 2022 (4y) | |
| Bruce Martin | Registered representative | CFP | Jan 2023 (4y) | |
| Charles Auerbach | Registered representative | CFP Chartered Financial Consultant | Jan 2023 (4y) | |
| Maura Dawn Mandell | Registered representative | Jan 2023 (4y) | ||
| James Andrew Tanksley | Registered representative | Jan 2023 (4y) | ||
| John Constantine Rousos | Registered representative | Jan 2023 (4y) | ||
| Richard Louis Cretella | Registered representative | Feb 2023 (3y) | ||
| Mark Francis Van Valkenburg | Registered representative | Feb 2023 (3y) | ||
| Andrew Joseph Mc Farland | Registered representative | Mar 2023 (3y) | ||
| Renee Rosenberger | Registered representative | Mar 2023 (3y) | ||
| Andrew Glenn Insley | Registered representative | CFP | Mar 2023 (3y) | |
| Catrina Renee Beauchamp | Registered representative | Apr 2023 (3y) | ||
| Scott Walter George | Registered representative | May 2023 (3y) | ||
| Stefan John Cherneski | Registered representative | CFP | May 2023 (3y) | |
| Matthew Teel | Registered representative | CFP | Jun 2023 (3y) | |
| Jessica C Malone | Registered representative | Jul 2023 (3y) | ||
| Thomas Gene Bartley | Registered representative | Jul 2023 (3y) | ||
| Peter Bradford Cooper | Registered representative | Aug 2023 (3y) | ||
| Richard J Wall | Registered representative | Aug 2023 (3y) | ||
| William Thomas Tyson | Registered representative | Sep 2023 (3y) | ||
| Larry Partida | Registered representative | Chartered Financial Consultant | Sep 2023 (3y) | |
| Christopher Michael Miller | Registered representative | Sep 2023 (3y) | ||
| Elisabeth Leydon Brady | Registered representative | Nov 2023 (3y) | ||
| Andrea Beth Navarro | Registered representative | Dec 2023 (3y) | ||
| Andrew Perez | Registered representative | Dec 2023 (3y) | ||
| Christian Nana Tanke | Registered representative | CFA | Jan 2024 (3y) | |
| Nathan Charles Self | Registered representative | Jan 2024 (3y) | ||
| Jordan Hunter Bruce | Registered representative | Jan 2024 (3y) | ||
| Lynn Jacobowski | Registered representative | Jan 2024 (3y) | ||
| Taylor Sender | Registered representative | Jan 2024 (3y) | ||
| Aubrey John Richard Elam | Registered representative | Jan 2024 (3y) | ||
| Jessica Kelly Titus | Registered representative | Jan 2024 (3y) | ||
| Francis Thomas Johnson | Registered representative | CFP | Feb 2024 (2y) | |
| Giorgio Caputo | Registered representative | Feb 2024 (2y) | ||
| Joseph Earl Rhodes | Registered representative | CFP Chartered Financial Consultant | Mar 2024 (2y) | |
| Paul Alan Neri | Registered representative | CFP Chartered Financial Consultant | Apr 2024 (2y) | |
| Michael Hamel Mc Graw | Registered representative | May 2024 (2y) | ||
| Elisa F Rojas | Registered representative | May 2024 (2y) | ||
| Chong Taek Shim | Registered representative | Jun 2024 (2y) | ||
| Hwa Jin Kim | Registered representative | Jun 2024 (2y) | ||
| Joo Kyung Lee | Registered representative | Jun 2024 (2y) | ||
| Brandon Jason Avergon | Registered representative | Jul 2024 (2y) | ||
| Mason Mc Kinnie | Registered representative | Jul 2024 (2y) | ||
| David Tyler Abel | Registered representative | CFP | Jul 2024 (2y) | |
| Lana K Bergstein | Registered representative | Aug 2024 (2y) | ||
| Sarah Miner | Registered representative | Sep 2024 (2y) | ||
| Ashlee E Vingle Howard | Registered representative | Sep 2024 (2y) | ||
| Samuel Jacobs | Registered representative | Sep 2024 (2y) | ||
| Matthew Maresch | Registered representative | Nov 2024 (2y) | ||
| Rachel Tracy Smith | Registered representative | Nov 2024 (2y) | ||
| James M Benages | Registered representative | Nov 2024 (2y) | ||
| Erik Douglas Marechal | Registered representative | Dec 2024 (2y) | ||
| Gregory Marc Roventini | Registered representative | Dec 2024 (2y) | ||
| Misty L Mc Minn | Registered representative | Dec 2024 (2y) | ||
| Patrick Heewoong Kim | Registered representative | Chartered Financial Consultant | Jan 2025 (2y) | |
| Brian Scott Schaefer | Registered representative | Jan 2025 (2y) | ||
| Joshua Morris | Registered representative | Jan 2025 (2y) | ||
| Tedd Aaron Meyer | Registered representative | Jan 2025 (2y) | ||
| David Alan Soczek | Registered representative | Chartered Financial Consultant | Feb 2025 (1y) | |
| Jeffrey Todd Tipton | Registered representative | Feb 2025 (1y) | ||
| Karen Louise Powell | Registered representative | CFP | Feb 2025 (1y) | |
| Jaquelyn Morbitzer | Registered representative | Feb 2025 (1y) | ||
| Yelena V Kalashnikova | Registered representative | Feb 2025 (1y) | ||
| Johnny Farris Leech | Registered representative | Feb 2025 (1y) | ||
| David Ross Brinkley | Registered representative | Chartered Financial Consultant | Feb 2025 (1y) | |
| Robert Olson | Registered representative | Feb 2025 (1y) | ||
| Thomas Edward O'brien | Registered representative | Feb 2025 (1y) | ||
| Taylor Jordan Walker | Registered representative | Mar 2025 (1y) | ||
| Demitri Patsilivas | Registered representative | Mar 2025 (1y) | ||
| Karen Marie Creel | Registered representative | Mar 2025 (1y) | ||
| Robert Esposito | Registered representative | Mar 2025 (1y) | ||
| Kevin Peter Zebrowski | Registered representative | Mar 2025 (1y) | ||
| John Garrett Rowe | Registered representative | CFP Chartered Financial Consultant | Apr 2025 (1y) | |
| Howard Joseph Englehart | Registered representative | Apr 2025 (1y) | ||
| Thomas Martin Prybylo | Registered representative | Apr 2025 (1y) | ||
| Frank Hirsch | Registered representative | Apr 2025 (1y) | ||
| James Kelly Houston | Registered representative | Chartered Financial Consultant | Apr 2025 (1y) | |
| Spencer Mitchell Porter | Registered representative | Apr 2025 (1y) | ||
| Jeremy Andre Gonzalez | Registered representative | May 2025 (1y) | ||
| Cary Cleveland Lucas | Registered representative | May 2025 (1y) | ||
| Daniel R Engel | Registered representative | May 2025 (1y) | ||
| Gary Kreps | Registered representative | Jun 2025 (1y) | ||
| Leonard Jun Yi Crutchley Cheah | Registered representative | Jun 2025 (1y) | ||
| Diane Goldman | Registered representative | Jul 2025 (1y) | ||
| Hans H Hegge | Registered representative | Jul 2025 (1y) | ||
| Tiffany Ku | Registered representative | Jul 2025 (1y) | ||
| Grant Morgan | Registered representative | Aug 2025 (1y) | ||
| Robert Edward Nienaber | Registered representative | Chartered Financial Consultant | Aug 2025 (1y) | |
| Lisa Lee | Registered representative | Aug 2025 (1y) | ||
| David Dai Ping | Registered representative | Aug 2025 (1y) | ||
| Michael Merritt Talbot | Registered representative | Sep 2025 (1y) | ||
| Elias Elefteriadis Ladon | Registered representative | Sep 2025 (1y) | ||
| Michael Douglas Arner | Registered representative | Sep 2025 (1y) | ||
| Ryan Gibbons | Registered representative | Sep 2025 (1y) | ||
| Darrell Lynn Saathoff | Registered representative | Sep 2025 (1y) | ||
| Warren James Bausert | Registered representative | CFP Chartered Financial Consultant | Sep 2025 (1y) | |
| Murlat Alexander Abdoo | Registered representative | Oct 2025 (1y) | ||
| Stephen Scott Orr | Registered representative | Oct 2025 (1y) | ||
| Ikuyo Hiraguchi | Registered representative | Oct 2025 (1y) | ||
| Thomas Carpenter | Registered representative | CFA | Oct 2025 (1y) | |
| Spencer Robinson Anmuth | Registered representative | Oct 2025 (1y) | ||
| Matthew Joseph Cawley | Registered representative | Nov 2025 (1y) | ||
| William Jeremiah Sauers | Registered representative | Nov 2025 (1y) | ||
| Stanley Irvin Roy | Registered representative | Nov 2025 (1y) | ||
| Fernando Javier Pou | Registered representative | Nov 2025 (1y) | ||
| Irfan Pathan | Registered representative | Nov 2025 (1y) | ||
| Brandon J Orr | Registered representative | Dec 2025 (1y) | ||
| Tilden Lester Sowdon | Registered representative | Dec 2025 (1y) | ||
| Travis Pollard | Registered representative | Dec 2025 (1y) | ||
| Edgar Alfred Morales | Registered representative | Jan 2026 (1y) | ||
| Michael Joseph Wise | Registered representative | Jan 2026 (1y) | ||
| Curtis William Holland | Registered representative | CFP | Jan 2026 (1y) | |
| Justin Scott Sykes | Registered representative | Jan 2026 (1y) | ||
| Roger Harlan Eth | Registered representative | Jan 2026 (1y) | ||
| Itziar Ramos | Registered representative | Jan 2026 (1y) | ||
| John Benefield Desselle | Registered representative | Jan 2026 (1y) | ||
| Carolyn Marie Robinson | Registered representative | Jan 2026 (1y) | ||
| Douglas Reid Burford | Registered representative | Jan 2026 (1y) | ||
| Grace Baecher | Registered representative | Jan 2026 (1y) | ||
| Patrick Hoffman | Registered representative | CFP | Jan 2026 (1y) | |
| Stephen Douglass Stamps | Registered representative | Jan 2026 (1y) | ||
| Tiseer Mohamed Osman | Registered representative | Jan 2026 (1y) | ||
| Salim Admon | Registered representative | CFP | Jan 2026 (1y) | |
| Salvatore Fusaro | Registered representative | Jan 2026 (1y) | ||
| Chad Quevedo Parilla | Registered representative | Jan 2026 (1y) | ||
| Chelsea Marie Jez | Registered representative | Jan 2026 (1y) | ||
| Douglas Adam Gerrard | Registered representative | Jan 2026 (1y) | ||
| Matthew Lawrence Kaas | Registered representative | Jan 2026 (1y) | ||
| Michael Thomas Petersen | Registered representative | Chartered Financial Consultant | Jan 2026 (1y) | |
| Seth W. Trickle | Registered representative | Jan 2026 (1y) | ||
| Clark W Newell | Registered representative | Jan 2026 (1y) | ||
| Wilfred Clay Haselton | Registered representative | Jan 2026 (1y) | ||
| John Christian Fink | Registered representative | Jan 2026 (1y) | ||
| Kimberly Kane Henry | Registered representative | CFP Chartered Financial Consultant | Jan 2026 (1y) | |
| Tyler Coffey | Registered representative | Feb 2026 (0y) | ||
| Christopher Robin Henderson | Registered representative | Feb 2026 (0y) | ||
| Harold Alvarado | Registered representative | Feb 2026 (0y) | ||
| Marilyn Evans Johnson | Registered representative | Feb 2026 (0y) | ||
| James Ryan White | Registered representative | Feb 2026 (0y) | ||
| Melissa Nuzzo | Registered representative | Mar 2026 (0y) | ||
| Anne Elizabeth Cherskov | Registered representative | Mar 2026 (0y) | ||
| Jeffrey Allen Edwards | Registered representative | Mar 2026 (0y) | ||
| George Alexander Plauche | Registered representative | Mar 2026 (0y) | ||
| Adriana Olivare Beltran Romeo | Registered representative | Mar 2026 (0y) | ||
| Michael Johnson Shean | Registered representative | Mar 2026 (0y) | ||
| Christopher Daniel Marino | Registered representative | Mar 2026 (0y) | ||
| Kimberly Jo Galbraith | Registered representative | Mar 2026 (0y) | ||
| Benyamin N Levy | Registered representative | Mar 2026 (0y) | ||
| Michael Steven Cortazzo | Registered representative | Mar 2026 (0y) | ||
| Thomas S Kaiser | Registered representative | Apr 2026 (0y) | ||
| Katie Clark | Registered representative | CFP | Apr 2026 (0y) | |
| Brandon M Vaughan | Registered representative | Apr 2026 (0y) | ||
| John Mitchell Moreno | Registered representative | Apr 2026 (0y) | ||
| Noel John Anderson | Registered representative | May 2026 (0y) | ||
| Brendon Michael De Rouin | Registered representative | Chartered Financial Consultant | May 2026 (0y) | |
| James Charles Farmer | Registered representative | Chartered Financial Consultant | May 2026 (0y) | |
| James Leonard Mills | Registered representative | Jun 2026 (0y) | ||
| Matthew Thomas Leddy | Registered representative | Jun 2026 (0y) | ||
| Felix Pollmann | Registered representative | Jun 2026 (0y) | ||
| Zachary Phoenix Roman | Registered representative | Jun 2026 (0y) | ||
| Alexander Ranlett Jordan | Registered representative | Jul 2026 (0y) | ||
| Shu Kaneko | Registered representative | Jul 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Simplicity Financial Marketing Holdings Inc | Owner | Aug 2023 | A | 75% or more |
| Simplicity Financial Marketing Group Holdings Inc. | Shareholder | Feb 2018 | B | ≈ 56.25% – 100% via Simplicity Financial Marketing Holdings Inc |
| Pequod Midco Inc | Shareholder | Dec 2020 | B | ≈ 42.19% – 100% via Simplicity Financial Marketing Group Holdings Inc. |
| Pequod Topco Inc | Shareholder | Dec 2020 | B | ≈ 31.64% – 100% via Pequod Midco Inc |
| Lep Pequod Holdings, Lp | Shareholder | Dec 2020 | B | ≈ 23.73% – 100% via Pequod Topco Inc |
| Lep Simplicity Holdings, Lp | Member | Dec 2020 | B | ≈ 17.8% – 100% via Lep Pequod Holdings, Lp |
| Lep Pequod Gp, Llc | General Partner | Dec 2020 | B | GP / trustee / elected manager of Lep Pequod Holdings, Lp (indirect) |
| Lee Equity Partnersiii Gp,Llc | General Partner | Dec 2020 | B | GP / trustee / elected manager of Lep Simplicity Holdings, Lp (indirect) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Simplicity Financial Marketing Group Holdings Inc.: 75% – 100% of Simplicity Financial Marketing Holdings Inc × 75% – 100% direct ≈ 56.25% – 100% of the firm
- Pequod Midco Inc: 75% – 100% of Simplicity Financial Marketing Group Holdings Inc. × 75% – 100% of Simplicity Financial Marketing Holdings Inc × 75% – 100% direct ≈ 42.19% – 100% of the firm
- Pequod Topco Inc: 75% – 100% of Pequod Midco Inc × 75% – 100% of Simplicity Financial Marketing Group Holdings Inc. × 75% – 100% of Simplicity Financial Marketing Holdings Inc × 75% – 100% direct ≈ 31.64% – 100% of the firm
- Lep Pequod Holdings, Lp: 75% – 100% of Pequod Topco Inc × 75% – 100% of Pequod Midco Inc × 75% – 100% of Simplicity Financial Marketing Group Holdings Inc. × 75% – 100% of Simplicity Financial Marketing Holdings Inc × 75% – 100% direct ≈ 23.73% – 100% of the firm
- Lep Simplicity Holdings, Lp: 75% – 100% of Lep Pequod Holdings, Lp × 75% – 100% of Pequod Topco Inc × 75% – 100% of Pequod Midco Inc × 75% – 100% of Simplicity Financial Marketing Group Holdings Inc. × 75% – 100% of Simplicity Financial Marketing Holdings Inc × 75% – 100% direct ≈ 17.8% – 100% 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.
Retirement plans served (2)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Central Valley Meat Co. 401(k) Plan | Central Valley Meat Co. | 1,638 | $20.0M | 01/01/2024 |
| Houlihan Lokey Retirement Savings Plan | Houlihan Lokey | 1,648 | $396M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/31/2026 | 2.63 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Selection of other advisers
- • Educational seminars/workshops
- • Other services
Custody
Reported custodians
- Sei Investments Distribution Co. $257M (11% of AUM) Mar 2026
- Fidelity Brokerage Services $101M (4% of AUM) Mar 2026
- Pershing $96.4M (4% of AUM) Mar 2026
- Charles Schwab & Co. $65.6M (3% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have 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: Mar 31, 2026.
View current Form ADV (SEC/IAPD) ↗