Hightower Advisors, Llc
SEC-registered
Wealth Manager · Mega ($100B+)
CRD 145323
· SEC file 801-69625
· Chicago, IL
· www.riagroups.com
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ADV data as of Jul 17, 2026
- Regulatory AUM
- $199B
- Discretionary
- $190B
- Clients
- 64,035
- Avg AUM / client
- $3.1M
- Accounts
- 220,222
- Employees
- 1,983
AUM over time
$8.7B
$199B
Dec 2011
Jul 2026
Annual snapshots from Form ADV filings · as of Jul 17, 2026
Asset allocation (SMA assets by investment type)
as of Jul 17, 2026
Registered investment companies (funds/ETFs)
$81.4B
41%
Exchange-traded equities
$59.6B
30%
Cash & equivalents
$13.9B
7%
US government & agency bonds
$11.9B
6%
State & local bonds
$11.9B
6%
Investment-grade corporate bonds
$9.9B
5%
Pooled investment vehicles
$9.9B
5%
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.
Investments (13F portfolio — 3,796 positions, $94,218,797,148)
13F period Mar 31, 2026| # | Issuer | Class | Value | Shares | % of 13F | % of AUM |
|---|---|---|---|---|---|---|
| 1 | Apple Inc | COM | $2,987,751,221 | 11,772,399 | 3.17% | 1.5% |
| 2 | Johnson & Johnson | COM | $2,562,787,080 | 10,484,201 | 2.72% | 1.29% |
| 3 | Ishares Tr | CORE S&P500 ETF | $2,080,431,414 | 3,184,798 | 2.21% | 1.05% |
| 4 | Microsoft Corp | COM | $1,872,646,500 | 5,058,749 | 1.99% | 0.94% |
| 5 | State Str Spdr S&P 500 Etf T | TR UNIT | $1,822,737,569 | 2,802,707 | 1.93% | 0.92% |
| 6 | Vanguard Index Fds | S&P 500 ETF SHS | $1,584,785,734 | 2,651,883 | 1.68% | 0.8% |
| 7 | Berkshire Hathaway Inc Del | CL A | $1,440,588,840 | 2,006 | 1.53% | 0.73% |
| 8 | Nvidia Corporation | COM | $1,345,194,683 | 7,713,149 | 1.43% | 0.68% |
| 9 | Exxon Mobil Corp | COM | $1,219,700,410 | 7,188,999 | 1.29% | 0.61% |
| 10 | Amazon Com Inc | COM | $1,196,711,992 | 5,745,966 | 1.27% | 0.6% |
| 11 | Berkshire Hathaway Inc Del | CL B NEW | $1,165,878,488 | 2,432,963 | 1.24% | 0.59% |
| 12 | Alphabet Inc | CAP STK CL A | $1,081,052,345 | 3,759,185 | 1.15% | 0.54% |
| 13 | Meta Platforms Inc | CL A | $789,898,890 | 1,380,422 | 0.84% | 0.4% |
| 14 | Jpmorgan Chase & Co | COM | $783,209,237 | 2,662,407 | 0.83% | 0.39% |
| 15 | Vanguard Tax Managed Fds | VAN FTSE DEV MKT | $748,885,832 | 11,686,674 | 0.79% | 0.38% |
| 16 | Vanguard Index Fds | TOTAL STK MKT | $717,916,227 | 2,237,801 | 0.76% | 0.36% |
| 17 | Sharkninja Inc | COM SHS | $701,818,974 | 6,627,185 | 0.74% | 0.35% |
| 18 | Broadcom Inc | COM | $697,180,897 | 2,252,481 | 0.74% | 0.35% |
| 19 | Vanguard Index Fds | GROWTH ETF | $694,276,518 | 1,589,188 | 0.74% | 0.35% |
| 20 | Vanguard Index Fds | VALUE ETF | $690,846,665 | 3,521,088 | 0.73% | 0.35% |
| 21 | Invesco Qqq Tr | UNIT SER 1 | $689,093,235 | 1,193,756 | 0.73% | 0.35% |
| 22 | Chevron Corporation | COM | $666,598,728 | 3,221,753 | 0.71% | 0.34% |
| 23 | Alphabet Inc | CAP STK CL C | $614,949,083 | 2,143,650 | 0.65% | 0.31% |
| 24 | Spdr Gold Tr | GOLD SHS | $613,988,973 | 1,426,918 | 0.65% | 0.31% |
| 25 | Pepsico Inc | COM | $573,997,002 | 3,696,273 | 0.61% | 0.29% |
Top 25 of 3,796 positions from the manager's latest Form 13F · source filing (EDGAR) ↗. 13F covers long US-listed positions only. "% of AUM" is share of the firm's total regulatory AUM (Form ADV Item 5.F).
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 33,630 | $21.5B | 10.8% |
| High net worth individuals | 29,177 | $157B | 79.3% |
| Banking or thrift institutions | Fewer than 5 clients | $20.1M | 0.01% |
| Pooled investment vehicles (non-investment companies) | 1 | $181M | 0.09% |
| Pension and profit sharing plans | 221 | $796M | 0.4% |
| Charitable organizations | 357 | $2.8B | 1.4% |
| State or municipal government entities | Fewer than 5 clients | $36.0M | 0.02% |
| Other investment advisers | Fewer than 5 clients | — | — |
| Insurance companies | 9 | $42.4M | 0.02% |
| Sovereign wealth funds and foreign official institutions | Fewer than 5 clients | — | — |
| Corporations and other businesses | 640 | $15.8B | 7.95% |
Private funds (1)
Reported in Form ADV Section 7.B.(1), filing of Oct 2024 · $142M combined gross assets
| Fund | Type | Domicile | Gross assets | Owners |
|---|---|---|---|---|
| Tbg Alternative Income Solutions Lp | Other Private Fund | Delaware | $142M | 131 |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
People (1,047)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Barry Anthony Coviello | National Director Of Field Supervision | Jul 2013 (13y) | Less than 5% | |
| Besso, Douglas, Joseph | Chief Technology Officer | Jan 2015 (12y) | Less than 5% | |
| Schwartz, Jared, Nolan | Chief Risk Officer | Jan 2018 (9y) | Less than 5% | |
| Oros, Robert, David | Chief Executive Officer | Jan 2019 (8y) | Less than 5% | |
| Kees, Gregory, Scot | Chief Administrative & Legal Officer | Feb 2020 (7y) | Less than 5% | |
| Boyle, John, Thomas | Managing Director, Operations | Oct 2021 (5y) | Less than 5% | |
| Gorman, Claire, Marie | Chief Compliance Officer | Jan 2022 (5y) | Less than 5% | |
| Dibiasio, Michael, John | Chief Operating Officer | Feb 2024 (3y) | Less than 5% | |
| Ahluwalia, Gurinder, Singh | President | Apr 2024 (2y) | Less than 5% | |
| Berg, Daniel, Jeremy | Chief Financial Officer | Apr 2024 (2y) | Less than 5% | |
| Steven Richard Billimack | Registered representative | Oct 2008 (18y) | ||
| Peter Todd Lyon | Registered representative | Dec 2008 (18y) | ||
| Timothy Martin Scannell | Registered representative | Dec 2008 (18y) | ||
| David Edgar Wisehaupt | Registered representative | Jun 2009 (17y) | ||
| Stella Bray | Registered representative | Oct 2009 (17y) | ||
| Matthias Paul Kuhlmey | Registered representative | Jan 2010 (17y) | ||
| Michael Antoni Denevi | Registered representative | Sep 2010 (16y) | ||
| Thomas Joseph Mcguirk | Registered representative | Sep 2010 (16y) | ||
| Peter Eric Lang | Registered representative | Sep 2010 (16y) | ||
| Michael Eugene Deggelman | Registered representative | Oct 2010 (16y) | ||
| Chris F Parker | Registered representative | Oct 2010 (16y) | ||
| Francis E Murphy | Registered representative | Jan 2011 (16y) | ||
| Grey M Terry | Registered representative | CFP | Feb 2011 (15y) | |
| Michael Simmons | Registered representative | Feb 2011 (15y) | ||
| Mark W Masterson | Registered representative | May 2011 (15y) | ||
| David Anaclethe Emma | Registered representative | May 2011 (15y) | ||
| Mark David Lofgren | Registered representative | May 2011 (15y) | ||
| Ashley Anne Galvin | Registered representative | Jul 2011 (15y) | ||
| Jeffrey Scott Grinspoon | Registered representative | Jul 2011 (15y) | ||
| John Miller Verfurth | Registered representative | Jul 2011 (15y) | ||
| Michelle Kuzma Kempf | Registered representative | Jul 2011 (15y) | ||
| Richard William Weeks Iv | Registered representative | Jul 2011 (15y) | ||
| Suzanne Winona Berringer | Registered representative | Jul 2011 (15y) | ||
| Jeffrey Elliott Leventhal | Registered representative | Sep 2011 (15y) | ||
| Donald William Stellin | Registered representative | Nov 2011 (15y) | ||
| Kenneth Benjamin Hoffman | Registered representative | Mar 2012 (14y) | ||
| Steven Blair Feit | Registered representative | Mar 2012 (14y) | ||
| Drew Bennett Nordlicht | Registered representative | Jul 2012 (14y) | ||
| Mingdong Tan | Registered representative | Jul 2012 (14y) | ||
| Brian T Dillig | Registered representative | Aug 2012 (14y) | ||
| Edward Fitzsimmons Bowen | Registered representative | Aug 2012 (14y) | ||
| Matthew John Dillig | Registered representative | Aug 2012 (14y) | ||
| Michael Everett Pe Queen | Registered representative | Aug 2012 (14y) | ||
| Sheila Erin Delutri | Registered representative | Aug 2012 (14y) | ||
| Danna Lyn Jarvis | Registered representative | Oct 2012 (14y) | ||
| Barnaby Jason Levin | Registered representative | Jan 2013 (14y) | ||
| Stephen R Rosen | Registered representative | Jan 2013 (14y) | ||
| Francis Xavier Masse | Registered representative | Feb 2013 (13y) | ||
| Gregory Charles Sarian | Registered representative | Feb 2013 (13y) | ||
| Perry Arthur Neuman | Registered representative | Jun 2013 (13y) | ||
| Rhonda Sue Lamb | Registered representative | Jun 2013 (13y) | ||
| Roger Capen Shaffer | Registered representative | Jun 2013 (13y) | ||
| Henry E Crosby | Registered representative | Sep 2013 (13y) | ||
| Michael Patrick Ahearn | Registered representative | Sep 2013 (13y) | ||
| Ann Margret Graham | Registered representative | Sep 2013 (13y) | ||
| Alexandra J Miele | Registered representative | CFP | Nov 2013 (13y) | |
| Eric C Hanson | Registered representative | Nov 2013 (13y) | ||
| Matthew J Montana | Registered representative | CFP | Nov 2013 (13y) | |
| Christopher Peter Mcfadden | Registered representative | Nov 2013 (13y) | ||
| Michael Jacob Schneider | Registered representative | Feb 2014 (12y) | ||
| Deborah Zassenhaus Engle | Registered representative | Feb 2014 (12y) | ||
| Blair Alan Anderson | Registered representative | Feb 2014 (12y) | ||
| Lynette Sue Jones | Registered representative | Mar 2014 (12y) | ||
| Alec Weston Fisher | Registered representative | May 2014 (12y) | ||
| Cheryl D. Callahan | Registered representative | Jun 2014 (12y) | ||
| Daniel Todd Stober | Registered representative | Jul 2014 (12y) | ||
| Randall Williams Gurian | Registered representative | Jul 2014 (12y) | ||
| Robert D Warren | Registered representative | CFP | Jul 2014 (12y) | |
| Ethan Collins | Registered representative | Sep 2014 (12y) | ||
| Jack Edward Thomas | Registered representative | Oct 2014 (12y) | ||
| Mathew Verrengia | Registered representative | CFP | Oct 2014 (12y) | |
| Heather Leigh Clement | Registered representative | Feb 2015 (11y) | ||
| Jeremiah Riethmiller | Registered representative | Feb 2015 (11y) | ||
| Leah Jane Jones | Registered representative | CFP | May 2015 (11y) | |
| Joseph Michael West | Registered representative | Jul 2015 (11y) | ||
| Michelle Lenae Murray | Registered representative | Jul 2015 (11y) | ||
| Melissa Anderson Duffy | Registered representative | Aug 2015 (11y) | ||
| Paige Elizabeth Batchelder | Registered representative | CFP | Aug 2015 (11y) | |
| Megan Elizabeth Kowalski | Registered representative | Dec 2015 (11y) | ||
| Tamara Megan Stein | Registered representative | Dec 2015 (11y) | ||
| Roman Adam Ciosek | Registered representative | Dec 2015 (11y) | ||
| Sarah Minakary | Registered representative | Mar 2016 (10y) | ||
| Jordan John Andrew Rae | Registered representative | May 2016 (10y) | ||
| Alfredo Martinez | Registered representative | May 2016 (10y) | ||
| Kevin L Jackson | Registered representative | CFP | Jun 2016 (10y) | |
| Edmund Anthony Denapoli | Registered representative | Jun 2016 (10y) | ||
| Larue Reubel Gibson | Registered representative | Jun 2016 (10y) | ||
| James Ellis Day | Registered representative | Jun 2016 (10y) | ||
| John Mcnamara Egan | Registered representative | CFP | Aug 2016 (10y) | |
| Keith W Hier | Registered representative | Aug 2016 (10y) | ||
| Thomas Gerald Foley | Registered representative | Aug 2016 (10y) | ||
| Elena Anne Dimiceli | Registered representative | Oct 2016 (10y) | ||
| Jeffrey Lee Corliss | Registered representative | CFP Chartered Financial Consultant | Oct 2016 (10y) | |
| Thomas Owen Mayper | Registered representative | Oct 2016 (10y) | ||
| Pamela Lynn Abraham | Registered representative | Oct 2016 (10y) | ||
| Cory Bittner | Registered representative | Dec 2016 (10y) | ||
| Jake Blas Falcon | Registered representative | Dec 2016 (10y) | ||
| Samantha Rachelle Waters | Registered representative | Dec 2016 (10y) | ||
| Trevor James Lipsett | Registered representative | Jan 2017 (10y) | ||
| Joel Gary Talish | Registered representative | Jan 2017 (10y) | ||
| Brian J Wohlner | Registered representative | Feb 2017 (9y) | ||
| Brian W Buchanan | Registered representative | Mar 2017 (9y) | ||
| James Christopher Ewing | Registered representative | Mar 2017 (9y) | ||
| Michael John Cona | Registered representative | Mar 2017 (9y) | ||
| John Thomas Buffa | Registered representative | Mar 2017 (9y) | ||
| Brian Daniel Copeland | Registered representative | Mar 2017 (9y) | ||
| Omar R Qureshi | Registered representative | Mar 2017 (9y) | ||
| Neal David Furlong | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Bradley Scott Harvey | Registered representative | CFP | Apr 2017 (9y) | |
| Jack T. T York | Registered representative | Apr 2017 (9y) | ||
| James R Young | Registered representative | Apr 2017 (9y) | ||
| Kerry E Chambers | Registered representative | Apr 2017 (9y) | ||
| Lanna Lynn Schroeder | Registered representative | Apr 2017 (9y) | ||
| Eric Matthew Nahat | Registered representative | May 2017 (9y) | ||
| Mark F Burns | Registered representative | CFP | May 2017 (9y) | |
| William Anthony Mercer | Registered representative | May 2017 (9y) | ||
| Patrick M Dugan | Registered representative | Jul 2017 (9y) | ||
| Paul Dulin Spencer | Registered representative | Jul 2017 (9y) | ||
| Ryan Barge Green | Registered representative | Aug 2017 (9y) | ||
| Thomas X Parker | Registered representative | Sep 2017 (9y) | ||
| Andrew James Hill | Registered representative | CFP | Sep 2017 (9y) | |
| Thomas Xavier Parker | Registered representative | Sep 2017 (9y) | ||
| Shane Harrison Simser | Registered representative | Sep 2017 (9y) | ||
| Lindsay K Mills | Registered representative | Oct 2017 (9y) | ||
| Gregory Lee Burks | Registered representative | Oct 2017 (9y) | ||
| Zachary Ungerott | Registered representative | Nov 2017 (9y) | ||
| Christina Urbini Andrzejewski | Registered representative | Dec 2017 (9y) | ||
| Natalie Perdomo | Registered representative | Dec 2017 (9y) | ||
| Patrick Joseph Mccahill | Registered representative | CFP | Dec 2017 (9y) | |
| David Deshler Cox | Registered representative | Feb 2018 (8y) | ||
| Grove Newhard Mower | Registered representative | Feb 2018 (8y) | ||
| Ryan Jeffrey Ross | Registered representative | Feb 2018 (8y) | ||
| Brendan Eugene Cashman | Registered representative | Mar 2018 (8y) | ||
| Robert Marion Strickland | Registered representative | May 2018 (8y) | ||
| Sean Cavanaugh Byers | Registered representative | May 2018 (8y) | ||
| Bradley Howard Bofford | Registered representative | CFP Chartered Financial Consultant | May 2018 (8y) | |
| Daniel Gerald Trout | Registered representative | May 2018 (8y) | ||
| Michael Allen Flower | Registered representative | CFP | May 2018 (8y) | |
| Steven Vincent Gelber | Registered representative | May 2018 (8y) | ||
| Nico Anthony Morgia | Registered representative | Jun 2018 (8y) | ||
| Kevin Leo Wager | Registered representative | CFP | Jul 2018 (8y) | |
| Matthew James Emery | Registered representative | Jul 2018 (8y) | ||
| Deborah Lynn Feldman | Registered representative | CFP | Sep 2018 (8y) | |
| Michael Edward Leonetti | Registered representative | CFP | Sep 2018 (8y) | |
| Robin Lee Stone | Registered representative | CFP | Sep 2018 (8y) | |
| Sherwin Marvin Lesk | Registered representative | CFP | Sep 2018 (8y) | |
| Jennifer Johnston | Registered representative | Sep 2018 (8y) | ||
| Brent Connor Mcquiston | Registered representative | CFP | Nov 2018 (8y) | |
| Michael Lee Bowen | Registered representative | Nov 2018 (8y) | ||
| Paul Anthony Ahern | Registered representative | CFP Chartered Financial Consultant | Nov 2018 (8y) | |
| Brian Wayne Joiner | Registered representative | Nov 2018 (8y) | ||
| Fred Leckie Williams | Registered representative | Nov 2018 (8y) | ||
| James Ross Moffett | Registered representative | Nov 2018 (8y) | ||
| Shelby Elizabeth Soule | Registered representative | Nov 2018 (8y) | ||
| Stephen Dewalch Strake | Registered representative | Nov 2018 (8y) | ||
| Timothy Michael Conway | Registered representative | Nov 2018 (8y) | ||
| William Scott Hill | Registered representative | CFP CFA | Nov 2018 (8y) | |
| Mark Kravietz | Registered representative | CFP | Dec 2018 (8y) | |
| John Coleman Dawson | Registered representative | Dec 2018 (8y) | ||
| Raymond Lawrence Baraldi | Registered representative | CFP | Jan 2019 (8y) | |
| Ryan Austria Verfurth | Registered representative | Feb 2019 (7y) | ||
| Erick John Roshelli | Registered representative | Apr 2019 (7y) | ||
| Elizabeth Summitt Gordon | Registered representative | May 2019 (7y) | ||
| James David Duke | Registered representative | May 2019 (7y) | ||
| Mallory Kate Podesta | Registered representative | May 2019 (7y) | ||
| Woodson Cary Whitehead | Registered representative | May 2019 (7y) | ||
| Andrew Robert Connors | Registered representative | CFP | May 2019 (7y) | |
| Emily Ann Drake | Registered representative | CFP | May 2019 (7y) | |
| Christopher Raymond Isabella | Registered representative | Personal Financial Specialist | May 2019 (7y) | |
| Emily Nicole Shacklett | Registered representative | Personal Financial Specialist | May 2019 (7y) | |
| Peter Patrick Devito | Registered representative | CFP | May 2019 (7y) | |
| Scott David Smith | Registered representative | May 2019 (7y) | ||
| Thomas Arthur Seifert | Registered representative | Personal Financial Specialist | May 2019 (7y) | |
| Aaron Steven Nuti | Registered representative | May 2019 (7y) | ||
| Joyce Ann Zak | Registered representative | May 2019 (7y) | ||
| Thomas Dante Volpini | Registered representative | CFP | May 2019 (7y) | |
| Douglas Baker Littlewood | Registered representative | Jun 2019 (7y) | ||
| Dana G Hastings | Registered representative | CFP Chartered Financial Consultant | Jun 2019 (7y) | |
| John Marshall Silvis | Registered representative | Jun 2019 (7y) | ||
| Deborah Jean Frazier | Registered representative | Jun 2019 (7y) | ||
| Richard Patrick Damico | Registered representative | Jun 2019 (7y) | ||
| Alexandria Nicole Harris | Registered representative | Jul 2019 (7y) | ||
| Gary Steven Hirschfeld | Registered representative | Jul 2019 (7y) | ||
| Joshua Keith Harlan | Registered representative | Jul 2019 (7y) | ||
| Margoth Romero | Registered representative | CFP | Jul 2019 (7y) | |
| Palmer Neville Murray | Registered representative | Jul 2019 (7y) | ||
| Angela Crilly Grannan | Registered representative | Jul 2019 (7y) | ||
| David Bosak | Registered representative | CFP | Aug 2019 (7y) | |
| Alexandra Mcmaken Kantalis | Registered representative | Sep 2019 (7y) | ||
| James Michael Maida | Registered representative | Sep 2019 (7y) | ||
| Michael Camiliere | Registered representative | Sep 2019 (7y) | ||
| Scott Vincent Urbanski | Registered representative | Sep 2019 (7y) | ||
| David Vadim Sokolovsky | Registered representative | CFP CFA | Sep 2019 (7y) | |
| Matthew Thomas Van De Merlen | Registered representative | Oct 2019 (7y) | ||
| Alexander Bass | Registered representative | Oct 2019 (7y) | ||
| Aaron Mark Derderian | Registered representative | CFP | Oct 2019 (7y) | |
| Frank Anthony Censullo | Registered representative | Oct 2019 (7y) | ||
| George Edward Bouton | Registered representative | CFP | Oct 2019 (7y) | |
| James Leo Hastings | Registered representative | CFP | Oct 2019 (7y) | |
| Jason Daniel Hastings | Registered representative | CFP | Oct 2019 (7y) | |
| Kerry Henry Luria | Registered representative | Oct 2019 (7y) | ||
| Kristine Marie Porcaro | Registered representative | Oct 2019 (7y) | ||
| Michael Stephen Tucci | Registered representative | Oct 2019 (7y) | ||
| Susan Lyn Panduku | Registered representative | CFP | Oct 2019 (7y) | |
| Stephen Charles Potts | Registered representative | Oct 2019 (7y) | ||
| Mark Stephen Carley | Registered representative | Oct 2019 (7y) | ||
| Jin Liu | Registered representative | Nov 2019 (7y) | ||
| Jason Singh Badesha | Registered representative | Dec 2019 (7y) | ||
| Jeffrey Gaither Sullivan | Registered representative | Jan 2020 (7y) | ||
| Steven Michael Ayer | Registered representative | Jan 2020 (7y) | ||
| Adam Scott Thurgood | Registered representative | Jan 2020 (7y) | ||
| Jonathan Harper | Registered representative | CFP | Jan 2020 (7y) | |
| Ryan Torguson | Registered representative | CFA | Jan 2020 (7y) | |
| Didier Thierry | Registered representative | Jan 2020 (7y) | ||
| Huy Duc Lam | Registered representative | CFA | Feb 2020 (6y) | |
| Jaimee Lynn Farrington | Registered representative | Feb 2020 (6y) | ||
| Jeffrey Richard Brown | Registered representative | CFA | Feb 2020 (6y) | |
| Jennifer May Weir | Registered representative | Feb 2020 (6y) | ||
| Kenneth Alan Clift | Registered representative | Feb 2020 (6y) | ||
| Thomas Macaluso | Registered representative | CFA | Feb 2020 (6y) | |
| Kristor John Lawson | Registered representative | CFP Chartered Financial Consultant | Feb 2020 (6y) | |
| Matthew Scott Eckman | Registered representative | CFP | Feb 2020 (6y) | |
| Matthew Anthony Navickas | Registered representative | Jun 2020 (6y) | ||
| David Putnam Osborn | Registered representative | CFA | Jul 2020 (6y) | |
| Abigail Stockman | Registered representative | Jul 2020 (6y) | ||
| Russell Swift Sims | Registered representative | CFP CFA | Jul 2020 (6y) | |
| William Thomas Sena | Registered representative | CFP CFA | Jul 2020 (6y) | |
| Richard Aloysius Finch | Registered representative | Aug 2020 (6y) | ||
| Graham Christopher Shelton | Registered representative | Sep 2020 (6y) | ||
| Namrata C Shah | Registered representative | Sep 2020 (6y) | ||
| Robert Benton Arnold | Registered representative | CFP | Sep 2020 (6y) | |
| Amir Atabaki | Registered representative | Sep 2020 (6y) | ||
| Darren J Walloch | Registered representative | CFP | Sep 2020 (6y) | |
| Jeffrey David Galbraith | Registered representative | Sep 2020 (6y) | ||
| Matthew Leonard Powers | Registered representative | CFP | Sep 2020 (6y) | |
| Rhyan Khawar Young | Registered representative | Sep 2020 (6y) | ||
| Eric Justin Reid | Registered representative | CFP | Sep 2020 (6y) | |
| Justin Robert Leeson | Registered representative | Oct 2020 (6y) | ||
| Richard Giddings Sowden | Registered representative | CFA | Oct 2020 (6y) | |
| Brian Sean Hattendorf | Registered representative | Oct 2020 (6y) | ||
| Guy R Wayman | Registered representative | Oct 2020 (6y) | ||
| Ira Matthew Utay | Registered representative | CFP | Oct 2020 (6y) | |
| Michael David Hirsbrunner | Registered representative | CFA | Oct 2020 (6y) | |
| Scot Jackson | Registered representative | CFP | Oct 2020 (6y) | |
| Thomas Walsh | Registered representative | CFP | Oct 2020 (6y) | |
| Matthew James Parenti | Registered representative | CFP | Oct 2020 (6y) | |
| Stephanie Cole Nanney | Registered representative | CFP | Oct 2020 (6y) | |
| Delaney Michelle Orozco | Registered representative | CFP | Oct 2020 (6y) | |
| Randy Erven Porzel | Registered representative | CFP | Oct 2020 (6y) | |
| James Michael Weil | Registered representative | CFP | Oct 2020 (6y) | |
| Robert Alfred Westrick | Registered representative | CFP | Oct 2020 (6y) | |
| Todd Stephens | Registered representative | CFP | Oct 2020 (6y) | |
| Michael Joseph Mccabe | Registered representative | CFP | Oct 2020 (6y) | |
| Steven Ira Merdinger | Registered representative | CFP Chartered Financial Consultant | Oct 2020 (6y) | |
| Adam Kirk Deem | Registered representative | CFP | Oct 2020 (6y) | |
| Stephen Jeffrey Kaye | Registered representative | CFP | Oct 2020 (6y) | |
| Bryce Neal Meares | Registered representative | Oct 2020 (6y) | ||
| David Gerald Dunn | Registered representative | CFP Chartered Financial Consultant | Oct 2020 (6y) | |
| Kalli Arlene Greenlee | Registered representative | CFP | Oct 2020 (6y) | |
| Ami Doshi | Registered representative | Oct 2020 (6y) | ||
| Bradley Ellsworth Mcconkey | Registered representative | CFP | Oct 2020 (6y) | |
| Bruce Kendrick | Registered representative | Oct 2020 (6y) | ||
| Brandon Kenneth Keesee | Registered representative | CFP | Oct 2020 (6y) | |
| Christopher Dale Ford | Registered representative | CFP | Oct 2020 (6y) | |
| David Paul Catron | Registered representative | CFA | Oct 2020 (6y) | |
| Henry C. Adams | Registered representative | Oct 2020 (6y) | ||
| James L Barnard | Registered representative | Oct 2020 (6y) | ||
| Jeffrey Michael Toner | Registered representative | Chartered Financial Consultant | Oct 2020 (6y) | |
| Jennifer Brooke Frazier | Registered representative | Oct 2020 (6y) | ||
| John D Schlesinger | Registered representative | Oct 2020 (6y) | ||
| Mary Evette Cavaleri | Registered representative | Oct 2020 (6y) | ||
| Nicole Jean Romito | Registered representative | CFP | Oct 2020 (6y) | |
| Steven James Walton | Registered representative | CFP | Oct 2020 (6y) | |
| Steven Michael Durk | Registered representative | Oct 2020 (6y) | ||
| Steven Patrick Paris | Registered representative | CFP | Oct 2020 (6y) | |
| Ashish Khanna | Registered representative | Oct 2020 (6y) | ||
| Michael Robert Merdinger | Registered representative | Oct 2020 (6y) | ||
| David Michael Duchesneau | Registered representative | CFP | Oct 2020 (6y) | |
| Colleen M. Dwyer | Registered representative | CFP | Oct 2020 (6y) | |
| Andrew Koebel Schwartz | Registered representative | Oct 2020 (6y) | ||
| Gregory Paul Williams | Registered representative | CFP | Oct 2020 (6y) | |
| Haleh Moddasser | Registered representative | Nov 2020 (6y) | ||
| John Madison Thomas | Registered representative | CFP CFA | Nov 2020 (6y) | |
| Lindsay Rebekkah Brock | Registered representative | CFP | Nov 2020 (6y) | |
| Teresa Emerson Talton | Registered representative | CFP | Nov 2020 (6y) | |
| James Glenn Joyce | Registered representative | CFP CFA | Nov 2020 (6y) | |
| Phillip Edward Williams Jr | Registered representative | Nov 2020 (6y) | ||
| Pamela Susan Stearns | Registered representative | Nov 2020 (6y) | ||
| Shira Elizabeth Katsir | Registered representative | CFP | Nov 2020 (6y) | |
| Tara Helene Maxwell | Registered representative | CFP | Nov 2020 (6y) | |
| Courtney Allen Kidwell | Registered representative | CFP | Nov 2020 (6y) | |
| Dax Dixson | Registered representative | CFA | Nov 2020 (6y) | |
| Paula Mc Millan | Registered representative | CFP | Nov 2020 (6y) | |
| Jason Croy | Registered representative | CFA | Nov 2020 (6y) | |
| Dennis Gale Stearns | Registered representative | CFP Chartered Financial Consultant | Nov 2020 (6y) | |
| Lynn Waples | Registered representative | CFP | Nov 2020 (6y) | |
| Amy Sue Travis | Registered representative | Nov 2020 (6y) | ||
| Matthew Sapir Ristuccia | Registered representative | Nov 2020 (6y) | ||
| Richard Daniel Kahn | Registered representative | Nov 2020 (6y) | ||
| Matthew Conroy | Registered representative | CFP | Dec 2020 (6y) | |
| Jeffrey Joseph Harrington | Registered representative | CFP | Dec 2020 (6y) | |
| Joseph Edward Henry | Registered representative | Jan 2021 (6y) | ||
| Jeffrey Steven Cohen | Registered representative | CFP | Jan 2021 (6y) | |
| Brian Robert Gloria | Registered representative | Jan 2021 (6y) | ||
| Randy Paul Siller | Registered representative | Jan 2021 (6y) | ||
| Solomon Cartier | Registered representative | CFP | Feb 2021 (5y) | |
| Jonathan Andrew Marcus | Registered representative | CFP | Feb 2021 (5y) | |
| Joseph Edward Cosmo | Registered representative | Feb 2021 (5y) | ||
| Lissette Almanzar | Registered representative | Feb 2021 (5y) | ||
| Phillip John Banazek | Registered representative | Feb 2021 (5y) | ||
| Peter Joseph Klein | Registered representative | CFA | Feb 2021 (5y) | |
| Gina Martinez | Registered representative | Feb 2021 (5y) | ||
| Michael Anthony Morgia | Registered representative | Feb 2021 (5y) | ||
| Seth Lee Starr | Registered representative | CFP | Feb 2021 (5y) | |
| Ajaydeep Singh | Registered representative | Feb 2021 (5y) | ||
| Adam Samuel Abelson | Registered representative | Mar 2021 (5y) | ||
| Alan Fischer | Registered representative | Mar 2021 (5y) | ||
| Andrea Baumann Lustig | Registered representative | Mar 2021 (5y) | ||
| Hirschel Bressler Abelson | Registered representative | Mar 2021 (5y) | ||
| Andrew Richard Morse | Registered representative | Mar 2021 (5y) | ||
| Arielle Koganski | Registered representative | CFP | Mar 2021 (5y) | |
| Brendan Ronald Jones | Registered representative | Mar 2021 (5y) | ||
| Benjamin James Johnston | Registered representative | CFA | Mar 2021 (5y) | |
| Bruno Palmieri | Registered representative | Mar 2021 (5y) | ||
| Candice R Kakar | Registered representative | Mar 2021 (5y) | ||
| Christopher Dicostanzi | Registered representative | Mar 2021 (5y) | ||
| Daniel Anthony Sperrazza | Registered representative | Mar 2021 (5y) | ||
| Daniel Beniak | Registered representative | CFA | Mar 2021 (5y) | |
| Daniel Bilewich | Registered representative | Mar 2021 (5y) | ||
| David John D'amico | Registered representative | Mar 2021 (5y) | ||
| David Lawrence Zoll | Registered representative | Mar 2021 (5y) | ||
| Derek Lynn Bock | Registered representative | Mar 2021 (5y) | ||
| Eric L Wilson | Registered representative | Mar 2021 (5y) | ||
| Jeffrey Scott Vogel | Registered representative | Mar 2021 (5y) | ||
| Jerome Michael Klein | Registered representative | Mar 2021 (5y) | ||
| Jordan Haskell Waxman | Registered representative | Mar 2021 (5y) | ||
| Joseph Michael Cantore | Registered representative | Mar 2021 (5y) | ||
| Justin A Winters | Registered representative | CFP CFA | Mar 2021 (5y) | |
| Justin Edward Towey | Registered representative | Mar 2021 (5y) | ||
| Laurie Carol Kamhi | Registered representative | CFP | Mar 2021 (5y) | |
| Michael G Tobin | Registered representative | Mar 2021 (5y) | ||
| Michael James Wamp | Registered representative | Mar 2021 (5y) | ||
| Molly Anne Manning | Registered representative | Mar 2021 (5y) | ||
| Nicholas Edward Rogers | Registered representative | Mar 2021 (5y) | ||
| Patrick Fruzzetti | Registered representative | Mar 2021 (5y) | ||
| Peter M Byrne | Registered representative | Mar 2021 (5y) | ||
| Peter Nicholas Mccleary | Registered representative | Mar 2021 (5y) | ||
| Richard Philip Steinberg | Registered representative | Mar 2021 (5y) | ||
| Richard Scott Saperstein | Registered representative | Mar 2021 (5y) | ||
| Robert C White | Registered representative | CFP Chartered Financial Consultant | Mar 2021 (5y) | |
| Ruth Elise Berger | Registered representative | Mar 2021 (5y) | ||
| Richard Paul Flahive | Registered representative | Mar 2021 (5y) | ||
| Robert Palmieri | Registered representative | Mar 2021 (5y) | ||
| Sadie Patrice Lanzet | Registered representative | Mar 2021 (5y) | ||
| Salvatore Martone | Registered representative | CFA | Mar 2021 (5y) | |
| Sarah A Pifer | Registered representative | CFP | Mar 2021 (5y) | |
| Steven Michael Tresnan | Registered representative | Mar 2021 (5y) | ||
| Stuart J Riemer | Registered representative | Mar 2021 (5y) | ||
| Walter Daniel Saad | Registered representative | CFA | Mar 2021 (5y) | |
| Zachary Lawrence Pallis | Registered representative | Mar 2021 (5y) | ||
| Kurt Wilfred Grunsfeld | Registered representative | Mar 2021 (5y) | ||
| Contessa Maria Archuleta | Registered representative | Apr 2021 (5y) | ||
| Jeffrey Wayne Sand | Registered representative | Apr 2021 (5y) | ||
| Kyle James Burns | Registered representative | Apr 2021 (5y) | ||
| Scott Robb Milford | Registered representative | CFP | May 2021 (5y) | |
| Marie Kathryn Mc Graw | Registered representative | Jun 2021 (5y) | ||
| Andrew James Kelch | Registered representative | CFP CFA | Jun 2021 (5y) | |
| Jared Austin Walker | Registered representative | Jun 2021 (5y) | ||
| Stoddard Barnhill | Registered representative | CFP | Jul 2021 (5y) | |
| Christopher Lee Perego | Registered representative | CFP | Jul 2021 (5y) | |
| David R Work | Registered representative | Jul 2021 (5y) | ||
| Robert Ned Evans | Registered representative | Aug 2021 (5y) | ||
| Charles Joseph Neff | Registered representative | Sep 2021 (5y) | ||
| Brandi N Dickey | Registered representative | Sep 2021 (5y) | ||
| Daniel Schwartz | Registered representative | CFP | Sep 2021 (5y) | |
| Jacob Cross | Registered representative | Sep 2021 (5y) | ||
| David Jonathan Sadkin | Registered representative | Sep 2021 (5y) | ||
| Edwin Henry Huey | Registered representative | Sep 2021 (5y) | ||
| Elizabeth Ann Miller | Registered representative | Sep 2021 (5y) | ||
| Heather Wegner Wald | Registered representative | Sep 2021 (5y) | ||
| Jack Raymond Suzar | Registered representative | Sep 2021 (5y) | ||
| Joshua Alan Markman | Registered representative | Sep 2021 (5y) | ||
| Kevin William Philip | Registered representative | Sep 2021 (5y) | ||
| Richard Todd Freilich | Registered representative | Sep 2021 (5y) | ||
| Stephanie Withers | Registered representative | CFA | Sep 2021 (5y) | |
| Supriya Batra | Registered representative | Sep 2021 (5y) | ||
| Todd Michael Morgan | Registered representative | Sep 2021 (5y) | ||
| Matthew Robert Ward | Registered representative | Sep 2021 (5y) | ||
| Barbara J Krause | Registered representative | CFP | Sep 2021 (5y) | |
| Marc Evan Friedman | Registered representative | Sep 2021 (5y) | ||
| Laura Eunkyung Kim | Registered representative | Oct 2021 (5y) | ||
| Bryan W Keane | Registered representative | CFA | Oct 2021 (5y) | |
| Catherine Eleanor Mulcahy | Registered representative | CFP | Oct 2021 (5y) | |
| David Patrick Beatson | Registered representative | CFA | Oct 2021 (5y) | |
| Eileen Polese | Registered representative | CFP | Oct 2021 (5y) | |
| Ingrid Portia John | Registered representative | Personal Financial Specialist | Oct 2021 (5y) | |
| Jonathan Andrew Ferguson | Registered representative | CFA | Oct 2021 (5y) | |
| John Kyle Redican | Registered representative | CFP | Oct 2021 (5y) | |
| Louis N Liberatore | Registered representative | CFA | Oct 2021 (5y) | |
| Raphael Lewis | Registered representative | CFA | Oct 2021 (5y) | |
| Scott Stirling Walker | Registered representative | CFP CFA | Oct 2021 (5y) | |
| Asher Jonathan Lamoureux Booz | Registered representative | CFP | Oct 2021 (5y) | |
| Mohammad Abouchleih | Registered representative | Nov 2021 (5y) | ||
| Ben Rollins Wilson | Registered representative | Dec 2021 (5y) | ||
| Michael Adam Feldman | Registered representative | CFP | Dec 2021 (5y) | |
| James Elliott | Registered representative | CFP | Dec 2021 (5y) | |
| Rajen Kantilal Chokshi | Registered representative | CFP | Dec 2021 (5y) | |
| Daniel Patrick O Brien | Registered representative | Jan 2022 (5y) | ||
| Evan Serwinski | Registered representative | Jan 2022 (5y) | ||
| Jenni G Engstrom | Registered representative | Jan 2022 (5y) | ||
| Jill Ward | Registered representative | CFP | Jan 2022 (5y) | |
| Kevin Rice | Registered representative | Jan 2022 (5y) | ||
| Kimberly Ann O Brien | Registered representative | CFP | Jan 2022 (5y) | |
| Erica Lee Wiggins | Registered representative | CFP | Jan 2022 (5y) | |
| Gregory Dean Gregory | Registered representative | CFP | Jan 2022 (5y) | |
| Jonathan Hylton | Registered representative | CFP | Jan 2022 (5y) | |
| Michael Jacob Morcos | Registered representative | Jan 2022 (5y) | ||
| Nicholas A Latko | Registered representative | CFP | Jan 2022 (5y) | |
| Stewart Allen Beach | Registered representative | CFP CFA | Jan 2022 (5y) | |
| William Gregory | Registered representative | Jan 2022 (5y) | ||
| Dayle James Malone | Registered representative | CFA | Jan 2022 (5y) | |
| Kelly Marie Manchac | Registered representative | Jan 2022 (5y) | ||
| Lorraine Geraldine Hutchinson | Registered representative | CFP | Jan 2022 (5y) | |
| Andrew Richardt | Registered representative | CFP | Jan 2022 (5y) | |
| Peter Sullivan | Registered representative | CFP | Jan 2022 (5y) | |
| Drew Daniel Morwood | Registered representative | Jan 2022 (5y) | ||
| Justin John Gillette | Registered representative | CFP | Feb 2022 (4y) | |
| Bruce Price Thompson | Registered representative | Feb 2022 (4y) | ||
| Lauren Barnett | Registered representative | Feb 2022 (4y) | ||
| Damian Scot Shaw | Registered representative | CFP | Feb 2022 (4y) | |
| Morgan Elizabeth Sarraf | Registered representative | CFP | Mar 2022 (4y) | |
| Eric Vincent Young | Registered representative | Mar 2022 (4y) | ||
| Richard Allan Kula | Registered representative | CFP | Mar 2022 (4y) | |
| Andy Lin | Registered representative | Mar 2022 (4y) | ||
| Matthew D Harris | Registered representative | Apr 2022 (4y) | ||
| Aurora Margarita Barcenas | Registered representative | CFP | Apr 2022 (4y) | |
| Shaan Matthew Baren | Registered representative | Chartered Financial Consultant | May 2022 (4y) | |
| Noah Vercampt | Registered representative | May 2022 (4y) | ||
| Casey Lee Mc Clurkin | Registered representative | May 2022 (4y) | ||
| Coleman Chase Belk | Registered representative | May 2022 (4y) | ||
| Brian Michael Mcgraw | Registered representative | Jun 2022 (4y) | ||
| Howell Lewis Florence | Registered representative | Jun 2022 (4y) | ||
| Matthew Gregory | Registered representative | Jun 2022 (4y) | ||
| Ian Ruebel | Registered representative | Jun 2022 (4y) | ||
| Shaina Uday Desai | Registered representative | CFP | Jun 2022 (4y) | |
| Garnet Robert Croteau | Registered representative | Jun 2022 (4y) | ||
| Matthew Joseph Baldeck | Registered representative | Jul 2022 (4y) | ||
| Barbara Ann Harger | Registered representative | CFP | Jul 2022 (4y) | |
| Sonam Lama | Registered representative | Aug 2022 (4y) | ||
| Beth M Korth | Registered representative | CFP | Aug 2022 (4y) | |
| Gabriella M Tango | Registered representative | Aug 2022 (4y) | ||
| Mark Phelan Sudderberg | Registered representative | Aug 2022 (4y) | ||
| Robinson Mertilus | Registered representative | CFP | Aug 2022 (4y) | |
| Joshua T Marriott | Registered representative | CFP | Sep 2022 (4y) | |
| Nicholas T Strang | Registered representative | CFP | Sep 2022 (4y) | |
| Benjamin Jerome Heeren | Registered representative | Sep 2022 (4y) | ||
| Benjamin Richard Johnson | Registered representative | CFP | Sep 2022 (4y) | |
| Benjamin Wicks | Registered representative | CFP | Sep 2022 (4y) | |
| Colleen Kroeger | Registered representative | CFA | Sep 2022 (4y) | |
| Jaeseung Chang | Registered representative | CFP | Sep 2022 (4y) | |
| Jeffrey Warren Edgbert | Registered representative | Sep 2022 (4y) | ||
| John Chris Christianson | Registered representative | CFA | Sep 2022 (4y) | |
| Kaylee Marie Turin | Registered representative | Sep 2022 (4y) | ||
| Michael Greene | Registered representative | CFP | Sep 2022 (4y) | |
| Michael Lee Milojevich | Registered representative | Sep 2022 (4y) | ||
| Ryan Balow | Registered representative | Oct 2022 (4y) | ||
| Conner Hanlon | Registered representative | CFA | Oct 2022 (4y) | |
| Alicia Sher | Registered representative | CFP | Oct 2022 (4y) | |
| Christopher Stephen Dooley | Registered representative | CFP | Oct 2022 (4y) | |
| Amanda Joy Maier | Registered representative | Oct 2022 (4y) | ||
| Ammie Dianne Weidner | Registered representative | Oct 2022 (4y) | ||
| Andrew John Mies | Registered representative | CFA | Oct 2022 (4y) | |
| Amber Helms | Registered representative | Oct 2022 (4y) | ||
| Bryan Scott Green | Registered representative | Oct 2022 (4y) | ||
| Calvin G Pearson | Registered representative | Oct 2022 (4y) | ||
| David Graham Pike | Registered representative | Oct 2022 (4y) | ||
| Denice Renea Robinson | Registered representative | Oct 2022 (4y) | ||
| Jason Mayers | Registered representative | CFA | Oct 2022 (4y) | |
| Jordan M Swisher | Registered representative | CFP | Oct 2022 (4y) | |
| Joshua Aaron Buffolino | Registered representative | Oct 2022 (4y) | ||
| Margaret Ann Dechant | Registered representative | CFP | Oct 2022 (4y) | |
| Markus Hunter Phox | Registered representative | Oct 2022 (4y) | ||
| Rachel Bruce | Registered representative | Oct 2022 (4y) | ||
| Sarah Jean Hampton | Registered representative | CFP | Oct 2022 (4y) | |
| Stephanie Christina Murphy | Registered representative | Oct 2022 (4y) | ||
| Thomas Henry Kirk | Registered representative | Oct 2022 (4y) | ||
| Trevor Lawerence Phillippi | Registered representative | CFA | Oct 2022 (4y) | |
| Timothy John Lynch | Registered representative | Oct 2022 (4y) | ||
| Yu Oen | Registered representative | Oct 2022 (4y) | ||
| William Harris Britt | Registered representative | Nov 2022 (4y) | ||
| Laurie Ann Marks | Registered representative | Nov 2022 (4y) | ||
| Kwabena Ntim Andoh Baidoo | Registered representative | Nov 2022 (4y) | ||
| Miles Jay Johnson | Registered representative | CFP | Nov 2022 (4y) | |
| Douglas Christopher Harkins | Registered representative | Dec 2022 (4y) | ||
| Scott Allen Sheffield | Registered representative | CFP | Dec 2022 (4y) | |
| Sharon Lailey | Registered representative | Chartered Financial Consultant | Dec 2022 (4y) | |
| Tara Johnson | Registered representative | CFP | Dec 2022 (4y) | |
| Kenneth Floyd Fox | Registered representative | Dec 2022 (4y) | ||
| Jackson Cain Lowe | Registered representative | CFP | Dec 2022 (4y) | |
| Yvette Aileen Fernandez | Registered representative | Jan 2023 (4y) | ||
| James Chandler Wall | Registered representative | CFP | Jan 2023 (4y) | |
| Bridget Quigley Casher | Registered representative | Jan 2023 (4y) | ||
| Nicholas Andrew Stumpo | Registered representative | CFP | Jan 2023 (4y) | |
| Sergio Gerardo Garcia | Registered representative | CFP | Feb 2023 (3y) | |
| Zachary Cole | Registered representative | Feb 2023 (3y) | ||
| Alex Ray Hoveln | Registered representative | CFP | Feb 2023 (3y) | |
| Thomas Patrick Olexa | Registered representative | CFP Chartered Financial Consultant | Feb 2023 (3y) | |
| Ryan Weisenberg | Registered representative | Feb 2023 (3y) | ||
| Carlos Ferreira | Registered representative | Feb 2023 (3y) | ||
| Dylan Wardenburg | Registered representative | Feb 2023 (3y) | ||
| Christopher William Muirhead | Registered representative | Mar 2023 (3y) | ||
| Madeline Diana Crawford | Registered representative | Mar 2023 (3y) | ||
| Michael Joseph Shea | Registered representative | Mar 2023 (3y) | ||
| Tyler Adam Schmitt | Registered representative | Apr 2023 (3y) | ||
| Andrew Harrison Betts | Registered representative | CFP | Apr 2023 (3y) | |
| Patrick Hanlon | Registered representative | CFP | Apr 2023 (3y) | |
| Robin Jeanne Urciouli | Registered representative | CFP | Apr 2023 (3y) | |
| Spencer Norman Betts | Registered representative | CFP | Apr 2023 (3y) | |
| John Blaine Whaley | Registered representative | Apr 2023 (3y) | ||
| Dorothy Inez Bickling | Registered representative | CFP | Apr 2023 (3y) | |
| Adam Nalewajek | Registered representative | Apr 2023 (3y) | ||
| Anthony Croce | Registered representative | CFP | Apr 2023 (3y) | |
| Anthony Destefano | Registered representative | Apr 2023 (3y) | ||
| Brennian Antell | Registered representative | Apr 2023 (3y) | ||
| Charles Paksi | Registered representative | Apr 2023 (3y) | ||
| Conor Ryan | Registered representative | CFP | Apr 2023 (3y) | |
| Courtney Ingraham | Registered representative | CFA | Apr 2023 (3y) | |
| David Siegel | Registered representative | Apr 2023 (3y) | ||
| Dylan Curran | Registered representative | Apr 2023 (3y) | ||
| Gregory Slater | Registered representative | CFP CFA | Apr 2023 (3y) | |
| James John Dowling | Registered representative | CFP Chartered Financial Consultant | Apr 2023 (3y) | |
| James Giangrande | Registered representative | CFP | Apr 2023 (3y) | |
| Jeffrey Bart Perlmutter | Registered representative | Chartered Financial Consultant | Apr 2023 (3y) | |
| Jeffrey Wu | Registered representative | Apr 2023 (3y) | ||
| Michael Buonassisi | Registered representative | Apr 2023 (3y) | ||
| Mitchell Scott Brill | Registered representative | CFP | Apr 2023 (3y) | |
| Paul Vincent Bucci | Registered representative | Apr 2023 (3y) | ||
| Ryan Darmofal | Registered representative | CFA | Apr 2023 (3y) | |
| Scott Tasch | Registered representative | Apr 2023 (3y) | ||
| Tyler Bisack | Registered representative | CFP | Apr 2023 (3y) | |
| Todd Stewart Levy | Registered representative | CFP | Apr 2023 (3y) | |
| Brandon Paolillo | Registered representative | Apr 2023 (3y) | ||
| Bruce Neil Goodman | Registered representative | Apr 2023 (3y) | ||
| Andrew Bybee | Registered representative | Apr 2023 (3y) | ||
| Tyler Dean Geiman | Registered representative | Apr 2023 (3y) | ||
| Iran Guerrero Harvell | Registered representative | May 2023 (3y) | ||
| Robert Eastridge Graham | Registered representative | May 2023 (3y) | ||
| Kevin Paul Vidrine | Registered representative | May 2023 (3y) | ||
| Lauren Coale | Registered representative | May 2023 (3y) | ||
| Vayahn Katherine Nicole Onuselogu | Registered representative | CFP | Jun 2023 (3y) | |
| Ryan Mathew Dobroka | Registered representative | CFP Chartered Financial Consultant | Jun 2023 (3y) | |
| Braxton Bartlett | Registered representative | CFP | Jun 2023 (3y) | |
| Cy Garrett Cattan | Registered representative | Jun 2023 (3y) | ||
| La Tika Tillis | Registered representative | Jun 2023 (3y) | ||
| Michael Churchill | Registered representative | CFP | Jun 2023 (3y) | |
| Patrick John Fleming | Registered representative | Jun 2023 (3y) | ||
| Sarahbeth Pipkin | Registered representative | CFP | Jun 2023 (3y) | |
| Robert Harris | Registered representative | CFP | Jun 2023 (3y) | |
| Scott A Bishop | Registered representative | CFP Personal Financial Specialist | Jun 2023 (3y) | |
| Derrick Schemmel | Registered representative | Jun 2023 (3y) | ||
| Benjamin Klundt | Registered representative | CFP | Jun 2023 (3y) | |
| David Gordon | Registered representative | CFP | Jun 2023 (3y) | |
| Jacob Christian Timm | Registered representative | Jun 2023 (3y) | ||
| Jon Walter Heideman | Registered representative | CFP | Jun 2023 (3y) | |
| Ryan Fisher | Registered representative | Jun 2023 (3y) | ||
| Timothy Mark Mitrovich | Registered representative | Jun 2023 (3y) | ||
| Alexander Pantalone | Registered representative | CFP | Jun 2023 (3y) | |
| Amelia Mc Carthy | Registered representative | Jun 2023 (3y) | ||
| Ann Marie Mohammad | Registered representative | Jun 2023 (3y) | ||
| Christina Melton Bryant | Registered representative | CFP | Jun 2023 (3y) | |
| Christopher Helm Lyford | Registered representative | CFA | Jun 2023 (3y) | |
| Christopher Penfield | Registered representative | CFP | Jun 2023 (3y) | |
| Colin Patrick Kelley | Registered representative | Jun 2023 (3y) | ||
| Daniel Mulkern | Registered representative | Jun 2023 (3y) | ||
| Hannah Lindsey Santy | Registered representative | CFA | Jun 2023 (3y) | |
| Hope Martin | Registered representative | CFP | Jun 2023 (3y) | |
| Izabela Hallett | Registered representative | CFP | Jun 2023 (3y) | |
| James Hadley O Connor | Registered representative | CFP | Jun 2023 (3y) | |
| James Holler | Registered representative | CFA | Jun 2023 (3y) | |
| Jean Trim | Registered representative | Jun 2023 (3y) | ||
| Jeffrey Folsom Carlisle | Registered representative | Jun 2023 (3y) | ||
| Lawrence A Blaisdell | Registered representative | CFP | Jun 2023 (3y) | |
| Samuel Witherspoon | Registered representative | CFA | Jun 2023 (3y) | |
| Scott David Sorensen | Registered representative | Chartered Financial Consultant CFA | Jun 2023 (3y) | |
| William F Clifford | Registered representative | CFP | Jun 2023 (3y) | |
| Nicholas Low | Registered representative | Jul 2023 (3y) | ||
| Robert Craig Bishopp | Registered representative | Jul 2023 (3y) | ||
| Sarah Anne Melzer | Registered representative | Jul 2023 (3y) | ||
| Taylor Thomas | Registered representative | Jul 2023 (3y) | ||
| Eileen Splaine Currie | Registered representative | Aug 2023 (3y) | ||
| Joseph J Trainor | Registered representative | CFA | Aug 2023 (3y) | |
| Michael Edwards | Registered representative | CFA | Aug 2023 (3y) | |
| Scott Brown | Registered representative | CFP CFA | Aug 2023 (3y) | |
| Stephen F Curran | Registered representative | CFP | Aug 2023 (3y) | |
| Bin Chen | Registered representative | CFA | Aug 2023 (3y) | |
| Joseph William Hayes | Registered representative | CFP | Aug 2023 (3y) | |
| Marybeth R Breed | Registered representative | CFP | Aug 2023 (3y) | |
| Christopher Paleologus | Registered representative | CFP CFA | Aug 2023 (3y) | |
| Marc Ryan Meyer | Registered representative | Aug 2023 (3y) | ||
| Thomas P Meyer | Registered representative | Aug 2023 (3y) | ||
| Ai L Welch | Registered representative | Aug 2023 (3y) | ||
| Ronald F Siggens | Registered representative | Aug 2023 (3y) | ||
| Michael Joseph Howley | Registered representative | CFP | Aug 2023 (3y) | |
| Marianne Rullo | Registered representative | Aug 2023 (3y) | ||
| Thomas Clarence Meyer | Registered representative | Aug 2023 (3y) | ||
| Danielle Kaye Margulis | Registered representative | CFP | Sep 2023 (3y) | |
| Kenneth William Bradshaw | Registered representative | CFP | Sep 2023 (3y) | |
| Kylie Stevens | Registered representative | Sep 2023 (3y) | ||
| Michael Vinci | Registered representative | Sep 2023 (3y) | ||
| Kelly Anne Ellebracht | Registered representative | Sep 2023 (3y) | ||
| Vernon Ka Leung Yu | Registered representative | Sep 2023 (3y) | ||
| Amanda Eilers | Registered representative | CFP | Oct 2023 (3y) | |
| Trevor Steven Seamons | Registered representative | CFP | Oct 2023 (3y) | |
| Alexandra Edith Emma | Registered representative | CFP | Oct 2023 (3y) | |
| Nathan R Straw | Registered representative | Oct 2023 (3y) | ||
| Andrew Jay Barnett | Registered representative | Chartered Financial Consultant | Oct 2023 (3y) | |
| Eric Feder | Registered representative | Oct 2023 (3y) | ||
| Amy Jo Van Lierop | Registered representative | Oct 2023 (3y) | ||
| Brennan Ifkovits | Registered representative | Oct 2023 (3y) | ||
| Diego F Wanderley | Registered representative | Nov 2023 (3y) | ||
| Allison Frame Patella | Registered representative | CFP | Nov 2023 (3y) | |
| Shaby Katz | Registered representative | CFA | Nov 2023 (3y) | |
| Joel Matthew Davis | Registered representative | CFP | Dec 2023 (3y) | |
| John Ham | Registered representative | CFA | Dec 2023 (3y) | |
| Anders Scapoli | Registered representative | Dec 2023 (3y) | ||
| Arthur Ira Belkin | Registered representative | Jan 2024 (3y) | ||
| Alexis Lauren Sheehan | Registered representative | Jan 2024 (3y) | ||
| Christine J Hyla | Registered representative | CFP Chartered Financial Consultant | Jan 2024 (3y) | |
| Christina Laura Muska | Registered representative | Jan 2024 (3y) | ||
| Clara A Humphrey | Registered representative | Jan 2024 (3y) | ||
| Jennifer Lynn Schnalzer | Registered representative | Jan 2024 (3y) | ||
| Kevin Small | Registered representative | CFP | Jan 2024 (3y) | |
| Steven Francis Arietta | Registered representative | Jan 2024 (3y) | ||
| Thomas Michael Mingone | Registered representative | Chartered Financial Consultant | Jan 2024 (3y) | |
| Donna Louise Gallo | Registered representative | CFP | Jan 2024 (3y) | |
| John Francis Galvin | Registered representative | CFP | Jan 2024 (3y) | |
| Joseph Edmondson | Registered representative | Jan 2024 (3y) | ||
| Richard Ralph Browne | Registered representative | Jan 2024 (3y) | ||
| Scott Gregory Moulton | Registered representative | Jan 2024 (3y) | ||
| William Edward Galvin | Registered representative | CFP | Jan 2024 (3y) | |
| Brian Edward Mcguinness | Registered representative | Jan 2024 (3y) | ||
| Tessa Damiano | Registered representative | Jan 2024 (3y) | ||
| Amy Lynn Lasris Davis | Registered representative | CFP | Jan 2024 (3y) | |
| Ernest Phillips | Registered representative | CFP | Jan 2024 (3y) | |
| Gregg Alexander Biro | Registered representative | Jan 2024 (3y) | ||
| Jacob Warren Land | Registered representative | CFP | Jan 2024 (3y) | |
| Joellene Rae Aylor | Registered representative | CFP | Jan 2024 (3y) | |
| Kimberly Ann Sterling | Registered representative | CFP | Jan 2024 (3y) | |
| Linda Palonen | Registered representative | CFP | Jan 2024 (3y) | |
| Michael Temerson Masur | Registered representative | CFP | Jan 2024 (3y) | |
| Natalie Eve Campese | Registered representative | CFP | Jan 2024 (3y) | |
| Nhan Thanh Tran | Registered representative | CFP | Jan 2024 (3y) | |
| Nicole Anne Rutledge Regilio | Registered representative | CFP | Jan 2024 (3y) | |
| Michael Howard Davis | Registered representative | CFP | Jan 2024 (3y) | |
| Nicholas James Cipollone | Registered representative | Jan 2024 (3y) | ||
| Helen Shih Chu Suwarnasarn | Registered representative | Feb 2024 (2y) | ||
| Laura Mannz Slawski | Registered representative | CFP | Feb 2024 (2y) | |
| Urszula Madra | Registered representative | Feb 2024 (2y) | ||
| Ashley Marie Hoy | Registered representative | Mar 2024 (2y) | ||
| Michael Walsh | Registered representative | Apr 2024 (2y) | ||
| Mathew Sonderup Kraines | Registered representative | CFP | May 2024 (2y) | |
| Owen Giannangeli | Registered representative | May 2024 (2y) | ||
| Thomas Yao | Registered representative | May 2024 (2y) | ||
| Hans Hoehn | Registered representative | May 2024 (2y) | ||
| Susan Kathleen Monaghan | Registered representative | May 2024 (2y) | ||
| Kristin Jan Donnelley | Registered representative | CFP | Jun 2024 (2y) | |
| Kevin Liam Collins | Registered representative | Jun 2024 (2y) | ||
| Daryl Tyler Geffken | Registered representative | Jun 2024 (2y) | ||
| Paul Kenneth Di Nicolantonio | Registered representative | CFP | Jun 2024 (2y) | |
| Dawn Marie Zerillo | Registered representative | Jul 2024 (2y) | ||
| Alexandra H Benas | Registered representative | Jul 2024 (2y) | ||
| Yongkwan Allen Kim | Registered representative | CFA | Jul 2024 (2y) | |
| Sergio Anthony Lovato | Registered representative | Jul 2024 (2y) | ||
| John Stuart Bradley | Registered representative | Jul 2024 (2y) | ||
| Alec Monico | Registered representative | CFP | Jul 2024 (2y) | |
| Anthony Dominic Criscuolo | Registered representative | CFP | Jul 2024 (2y) | |
| Peter Kibbe | Registered representative | Aug 2024 (2y) | ||
| Shamus Coyne | Registered representative | Aug 2024 (2y) | ||
| Simon B Greenhalgh | Registered representative | Aug 2024 (2y) | ||
| Jennifer Brucato | Registered representative | Aug 2024 (2y) | ||
| Rodney William Van Vlerken | Registered representative | CFA | Aug 2024 (2y) | |
| Alan Varnishung | Registered representative | Aug 2024 (2y) | ||
| Veronica Tereza Giess | Registered representative | Aug 2024 (2y) | ||
| Alexander M Cargal | Registered representative | Aug 2024 (2y) | ||
| Madison Jean Evans | Registered representative | Aug 2024 (2y) | ||
| Lane Edward Hedgecoke | Registered representative | Aug 2024 (2y) | ||
| Nicholas Dally | Registered representative | CFP | Aug 2024 (2y) | |
| Reid Michael Budrovich | Registered representative | Aug 2024 (2y) | ||
| Elizabeth Irene Loutsis | Registered representative | CFP | Aug 2024 (2y) | |
| David Anthony Piccirilli | Registered representative | CFP | Aug 2024 (2y) | |
| Michael L Gallagher | Registered representative | CFA | Aug 2024 (2y) | |
| Michael Bernier | Registered representative | CFA | Aug 2024 (2y) | |
| Benjamin Duchano | Registered representative | Aug 2024 (2y) | ||
| Andrew Koutroukas | Registered representative | Sep 2024 (2y) | ||
| Jack Freedman | Registered representative | CFP | Sep 2024 (2y) | |
| Patrick Edward Mc Cormick | Registered representative | CFA | Sep 2024 (2y) | |
| Sean William Rooney | Registered representative | CFA | Sep 2024 (2y) | |
| Craig William Hughes | Registered representative | Sep 2024 (2y) | ||
| Mary Katherine Napleton | Registered representative | CFP | Sep 2024 (2y) | |
| David Day | Registered representative | Sep 2024 (2y) | ||
| Chelsea Brice Carter | Registered representative | Sep 2024 (2y) | ||
| Brian Michael Geary | Registered representative | CFP | Sep 2024 (2y) | |
| Katherine Grace O'connor | Registered representative | Oct 2024 (2y) | ||
| Roger Sen Boon Lam | Registered representative | Oct 2024 (2y) | ||
| Christopher Giampietro | Registered representative | Oct 2024 (2y) | ||
| Kimberly R Clouse | Registered representative | Oct 2024 (2y) | ||
| Pamela Tang | Registered representative | CFP | Oct 2024 (2y) | |
| Carol Giusti Parrish | Registered representative | Oct 2024 (2y) | ||
| Eric Stewart Laidlow | Registered representative | CFA | Oct 2024 (2y) | |
| Lindsey Taylor Slattery | Registered representative | Oct 2024 (2y) | ||
| Luke Sullivan | Registered representative | Nov 2024 (2y) | ||
| Michael Benjamin Nilson | Registered representative | Nov 2024 (2y) | ||
| Joseph Michael Haar | Registered representative | Nov 2024 (2y) | ||
| James Lawrence Nicholson | Registered representative | Nov 2024 (2y) | ||
| Shane Scott Huey | Registered representative | Nov 2024 (2y) | ||
| Justin Andrew Stein | Registered representative | CFP CFA | Nov 2024 (2y) | |
| Erin Murphy | Registered representative | Nov 2024 (2y) | ||
| Yasmina Rivera | Registered representative | Dec 2024 (2y) | ||
| Benjamin Bantug Almeda | Registered representative | CFP | Dec 2024 (2y) | |
| Philip Onorato | Registered representative | Dec 2024 (2y) | ||
| Derek William Hare | Registered representative | Dec 2024 (2y) | ||
| Eileen King Bohn | Registered representative | CFP | Dec 2024 (2y) | |
| Meghan Theresa Beatty | Registered representative | Dec 2024 (2y) | ||
| Angel Augusto Quito | Registered representative | Dec 2024 (2y) | ||
| Joshua Magette | Registered representative | Dec 2024 (2y) | ||
| Salvatore Puglisi | Registered representative | Dec 2024 (2y) | ||
| Amber Ann Camargo | Registered representative | Jan 2025 (2y) | ||
| Blaine Robbi Carver | Registered representative | CFP | Jan 2025 (2y) | |
| Cole Brandon | Registered representative | Jan 2025 (2y) | ||
| Debra Ann Cooper | Registered representative | Jan 2025 (2y) | ||
| Drew Ellis Dill | Registered representative | Jan 2025 (2y) | ||
| Evan William Hunter | Registered representative | CFP CFA | Jan 2025 (2y) | |
| Gregory Jerome Jankowski | Registered representative | CFP | Jan 2025 (2y) | |
| Henry Gitman | Registered representative | Jan 2025 (2y) | ||
| Jacqueline Lonnerdal | Registered representative | Jan 2025 (2y) | ||
| Joel Shawn Rand | Registered representative | Jan 2025 (2y) | ||
| Joseph Lee Rosol | Registered representative | CFP | Jan 2025 (2y) | |
| Keith Fraser Mckenzie | Registered representative | Jan 2025 (2y) | ||
| Kyle David Felske | Registered representative | Jan 2025 (2y) | ||
| Michael Wayne Dibala | Registered representative | CFP | Jan 2025 (2y) | |
| Michael William Landsberg | Registered representative | CFP | Jan 2025 (2y) | |
| Mary Meneely Wilson | Registered representative | Jan 2025 (2y) | ||
| Mitchell R Powers | Registered representative | Jan 2025 (2y) | ||
| Paul Allan Mcfeeley | Registered representative | Jan 2025 (2y) | ||
| Richard Cameron Acres | Registered representative | CFP | Jan 2025 (2y) | |
| Susan Williams Cantus | Registered representative | Jan 2025 (2y) | ||
| Trevor R Swartz | Registered representative | CFP | Jan 2025 (2y) | |
| Trevor Tilden Cummings | Registered representative | CFP | Jan 2025 (2y) | |
| Victoria Lynn Harrell | Registered representative | Jan 2025 (2y) | ||
| Adrienne Moore | Registered representative | CFP | Jan 2025 (2y) | |
| B. Blaine Lourd | Registered representative | Jan 2025 (2y) | ||
| Brock Becker | Registered representative | CFP | Jan 2025 (2y) | |
| Carl Walter Ludwigson | Registered representative | CFA | Jan 2025 (2y) | |
| Carl E Ekstrom | Registered representative | CFP | Jan 2025 (2y) | |
| Daniel James Budinger | Registered representative | CFP | Jan 2025 (2y) | |
| Flor Estela Matteen | Registered representative | CFP | Jan 2025 (2y) | |
| Jacqueline Ann Lawrence | Registered representative | CFP | Jan 2025 (2y) | |
| John Edward Francis | Registered representative | Jan 2025 (2y) | ||
| Lewis Cass Bennett | Registered representative | CFP | Jan 2025 (2y) | |
| Matthew James Otto | Registered representative | CFP | Jan 2025 (2y) | |
| Rachel Dorothy Brown | Registered representative | CFP | Jan 2025 (2y) | |
| Allison Buchholtz | Registered representative | CFP | Jan 2025 (2y) | |
| Ryan Brent Wempe | Registered representative | CFP | Jan 2025 (2y) | |
| Brendon Winkler | Registered representative | Jan 2025 (2y) | ||
| Shelby Rae Sutter | Registered representative | Jan 2025 (2y) | ||
| Stephanie Schaaf | Registered representative | CFA | Jan 2025 (2y) | |
| Stephen Edward Mackall | Registered representative | Jan 2025 (2y) | ||
| Charles Blake Booth | Registered representative | Jan 2025 (2y) | ||
| Brett Allen Bonecutter | Registered representative | Jan 2025 (2y) | ||
| Jason B. Ezzell | Registered representative | Jan 2025 (2y) | ||
| Jordan Michael Sandfer | Registered representative | CFP | Jan 2025 (2y) | |
| Matthew David Wisehaupt | Registered representative | Jan 2025 (2y) | ||
| William Andrew Bowling | Registered representative | CFP | Jan 2025 (2y) | |
| Paul Stephen Rand | Registered representative | Jan 2025 (2y) | ||
| David Bryan Molnar | Registered representative | Jan 2025 (2y) | ||
| Matthew Richardson | Registered representative | Jan 2025 (2y) | ||
| Alexander Dinklage | Registered representative | Jan 2025 (2y) | ||
| Brendan Xavier Porter | Registered representative | Jan 2025 (2y) | ||
| Olivia Mackenzie Pauly | Registered representative | CFP | Jan 2025 (2y) | |
| Robert Lawrence Schein | Registered representative | Jan 2025 (2y) | ||
| Stephanie Temporiti | Registered representative | Jan 2025 (2y) | ||
| William Frederick Blanke | Registered representative | Jan 2025 (2y) | ||
| Ashley Marie Aguayo | Registered representative | Jan 2025 (2y) | ||
| Evan Ives Nowack | Registered representative | Jan 2025 (2y) | ||
| Hugh James Anderson | Registered representative | Jan 2025 (2y) | ||
| Marion Todd Baker | Registered representative | Jan 2025 (2y) | ||
| Eduardo Molina | Registered representative | Jan 2025 (2y) | ||
| Heather Trinh Lore | Registered representative | Jan 2025 (2y) | ||
| Jeffery Kelly | Registered representative | Jan 2025 (2y) | ||
| David Lyle Bahnsen | Registered representative | CFP | Jan 2025 (2y) | |
| Sarah Colette Leitzke | Registered representative | CFP | Jan 2025 (2y) | |
| Stephanie Ellen Bryan | Registered representative | Feb 2025 (1y) | ||
| Jarod Rucker | Registered representative | Feb 2025 (1y) | ||
| Samuel Dechtman | Registered representative | CFP | Feb 2025 (1y) | |
| Jordan Dechtman | Registered representative | Feb 2025 (1y) | ||
| Adam Dechtman | Registered representative | CFP | Feb 2025 (1y) | |
| Ethan Shiers Hammond | Registered representative | Feb 2025 (1y) | ||
| Joseph William Feinberg | Registered representative | Feb 2025 (1y) | ||
| Nkiruka Lazz Onyenobi | Registered representative | Feb 2025 (1y) | ||
| Craig Andrew Brothers | Registered representative | Feb 2025 (1y) | ||
| Joel Pietila | Registered representative | Feb 2025 (1y) | ||
| Brayden Daniel Sauerbier | Registered representative | Feb 2025 (1y) | ||
| Evan Eberly | Registered representative | Feb 2025 (1y) | ||
| Kenny Molina | Registered representative | Feb 2025 (1y) | ||
| Bradley Stephen Cammett | Registered representative | CFP | Feb 2025 (1y) | |
| Tam P Diep | Registered representative | Feb 2025 (1y) | ||
| Laura Elaine Brantley | Registered representative | CFP | Feb 2025 (1y) | |
| Robert Darrell Krumme | Registered representative | Feb 2025 (1y) | ||
| Matthew Benjamin Kodish | Registered representative | Feb 2025 (1y) | ||
| Darrell Lane Horn | Registered representative | Feb 2025 (1y) | ||
| Carlos Eduardo Mejia | Registered representative | CFP | Mar 2025 (1y) | |
| Szi Kiat Lee | Registered representative | CFP | Mar 2025 (1y) | |
| Ronald Jay Silverman | Registered representative | Mar 2025 (1y) | ||
| Thomas Fox | Registered representative | Mar 2025 (1y) | ||
| Charles David Hyman | Registered representative | Mar 2025 (1y) | ||
| Richard Jason Ratner | Registered representative | Mar 2025 (1y) | ||
| Amir Baker | Registered representative | Mar 2025 (1y) | ||
| John Joseph Ruggiero | Registered representative | Mar 2025 (1y) | ||
| Matthew Misson | Registered representative | Mar 2025 (1y) | ||
| Celeste R Beale | Registered representative | Mar 2025 (1y) | ||
| Emma Ranocha | Registered representative | Apr 2025 (1y) | ||
| Bryan Scutari | Registered representative | Apr 2025 (1y) | ||
| Lauren Mary Jamrose | Registered representative | Apr 2025 (1y) | ||
| Max Bennett | Registered representative | Apr 2025 (1y) | ||
| Don Brian Saulic | Registered representative | CFP | Apr 2025 (1y) | |
| Camille Forde | Registered representative | Apr 2025 (1y) | ||
| Johnathan D Fincher | Registered representative | Apr 2025 (1y) | ||
| Teresa Lynn Dickey | Registered representative | Apr 2025 (1y) | ||
| Patrick Fleming | Registered representative | Apr 2025 (1y) | ||
| Theodore Trottman | Registered representative | Apr 2025 (1y) | ||
| George Breckinridge Cauffman | Registered representative | CFP | Apr 2025 (1y) | |
| Julian Gray Bell | Registered representative | CFP | Apr 2025 (1y) | |
| Joshua R Kestle | Registered representative | May 2025 (1y) | ||
| Michael A. Winaker | Registered representative | May 2025 (1y) | ||
| Anastasia Katharina Wiese | Registered representative | CFP | May 2025 (1y) | |
| Caroline Gabig | Registered representative | May 2025 (1y) | ||
| Grayson Scott Parker | Registered representative | May 2025 (1y) | ||
| Daniel Dongmin Kim | Registered representative | CFP | May 2025 (1y) | |
| Michael Christopher Wood | Registered representative | CFA | May 2025 (1y) | |
| Aaron Wong | Registered representative | Jun 2025 (1y) | ||
| Ryan Rickus | Registered representative | Jun 2025 (1y) | ||
| Ashley Rose Lawwill | Registered representative | Jun 2025 (1y) | ||
| Mitchell Ito | Registered representative | CFP | Jun 2025 (1y) | |
| Nicole Morgan Serio | Registered representative | Jun 2025 (1y) | ||
| Ishan Chhabra | Registered representative | Jun 2025 (1y) | ||
| Joseph B Levine | Registered representative | Jun 2025 (1y) | ||
| Taylor Nicole Lones | Registered representative | Jun 2025 (1y) | ||
| Tia D'aveta | Registered representative | Jun 2025 (1y) | ||
| Kevin Witterschein | Registered representative | Jun 2025 (1y) | ||
| Robert Charles Hannon | Registered representative | CFA | Jun 2025 (1y) | |
| Nathan Osuna | Registered representative | Jun 2025 (1y) | ||
| Justin Michael Perrotta | Registered representative | Jun 2025 (1y) | ||
| Peter Sheen | Registered representative | Jun 2025 (1y) | ||
| Roger Vincent Meadors | Registered representative | CFP | Jun 2025 (1y) | |
| Benjamin Posen | Registered representative | Jul 2025 (1y) | ||
| Erick Byrum Dahl | Registered representative | Jul 2025 (1y) | ||
| Emily Ford | Registered representative | CFP | Jul 2025 (1y) | |
| Jeffrey Scott Dunn | Registered representative | CFP | Jul 2025 (1y) | |
| Jonathan Scott Drubner | Registered representative | CFP | Jul 2025 (1y) | |
| Lee Samson | Registered representative | Jul 2025 (1y) | ||
| Luke Crofts | Registered representative | CFA | Jul 2025 (1y) | |
| Marielle Schurig | Registered representative | CFP | Jul 2025 (1y) | |
| Tara Marie Williams | Registered representative | Chartered Financial Consultant | Jul 2025 (1y) | |
| Casey J Vogel | Registered representative | Jul 2025 (1y) | ||
| Christopher Lott | Registered representative | CFP | Jul 2025 (1y) | |
| Dan C. Drummond | Registered representative | Jul 2025 (1y) | ||
| David Camarillo | Registered representative | CFP Chartered Financial Consultant | Jul 2025 (1y) | |
| Debra Faye Selvidge | Registered representative | Jul 2025 (1y) | ||
| Wayne Worthington | Registered representative | CFP CFA | Jul 2025 (1y) | |
| Gary Levenstein | Registered representative | Jul 2025 (1y) | ||
| John S Snider | Registered representative | Jul 2025 (1y) | ||
| Matthew Pascale | Registered representative | Jul 2025 (1y) | ||
| Sean T Prendergast | Registered representative | Jul 2025 (1y) | ||
| Steven Wayne Anglin | Registered representative | Jul 2025 (1y) | ||
| Weston Alan Pollock | Registered representative | Jul 2025 (1y) | ||
| William Pierce Glenn | Registered representative | Chartered Financial Consultant | Jul 2025 (1y) | |
| Brian Michael Bergman | Registered representative | CFP | Jul 2025 (1y) | |
| Christian De Lorenzo | Registered representative | CFP | Jul 2025 (1y) | |
| Zachary Walker | Registered representative | Jul 2025 (1y) | ||
| Karen Jennifer Fortunato | Registered representative | Jul 2025 (1y) | ||
| Kendra Gray | Registered representative | Jul 2025 (1y) | ||
| Karl Kristian Hakansson | Registered representative | Jul 2025 (1y) | ||
| Amanda Elizabeth Caruth | Registered representative | Jul 2025 (1y) | ||
| Nicholas James Babson | Registered representative | Jul 2025 (1y) | ||
| Dominic Sands | Registered representative | Jul 2025 (1y) | ||
| Kyra D Meach | Registered representative | Aug 2025 (1y) | ||
| Matthew Thomas Conway | Registered representative | Aug 2025 (1y) | ||
| Michael Wrocenski | Registered representative | Aug 2025 (1y) | ||
| Matthew Mc Kibben | Registered representative | Aug 2025 (1y) | ||
| Ryan Louis Staton | Registered representative | Aug 2025 (1y) | ||
| Mario James Albert | Registered representative | Aug 2025 (1y) | ||
| Samuel Ramirez | Registered representative | Aug 2025 (1y) | ||
| Lukas Duffy | Registered representative | CFP | Aug 2025 (1y) | |
| Colby Scott Therrien | Registered representative | Aug 2025 (1y) | ||
| Derech Bachmann | Registered representative | Sep 2025 (1y) | ||
| Nicholas L Gerber | Registered representative | Sep 2025 (1y) | ||
| Joshua Douglas Smith | Registered representative | Sep 2025 (1y) | ||
| Race Chong | Registered representative | Sep 2025 (1y) | ||
| Alexander Derek Ling | Registered representative | Sep 2025 (1y) | ||
| Blaire Addison Vance | Registered representative | Sep 2025 (1y) | ||
| Brandon Hoeft | Registered representative | Sep 2025 (1y) | ||
| Rayna Michelle Austin | Registered representative | CFP | Sep 2025 (1y) | |
| William Bruner | Registered representative | Sep 2025 (1y) | ||
| Holli Marie Grissom | Registered representative | Sep 2025 (1y) | ||
| Andrew Prescott Dorman | Registered representative | Sep 2025 (1y) | ||
| Evan Wirkkala | Registered representative | Oct 2025 (1y) | ||
| Alexandra Guilbeau Kerrigan | Registered representative | CFP | Oct 2025 (1y) | |
| Devon Baker | Registered representative | Oct 2025 (1y) | ||
| Samuel Miller | Registered representative | Oct 2025 (1y) | ||
| Maddie Michelle Watson | Registered representative | Oct 2025 (1y) | ||
| Timothy Parsley | Registered representative | Oct 2025 (1y) | ||
| Yezenia Aidee Acosta | Registered representative | Oct 2025 (1y) | ||
| Maria Pollack | Registered representative | Nov 2025 (1y) | ||
| Matthew James Terrien | Registered representative | CFA | Nov 2025 (1y) | |
| Nicholas A. Ramstetter | Registered representative | Nov 2025 (1y) | ||
| David Samuel Warhoftig | Registered representative | Nov 2025 (1y) | ||
| James Emmett Towey | Registered representative | Nov 2025 (1y) | ||
| Brandon Michael Hicks | Registered representative | Nov 2025 (1y) | ||
| Caryn Elizabeth Fields | Registered representative | CFP | Nov 2025 (1y) | |
| Jacob B Salloum | Registered representative | Nov 2025 (1y) | ||
| Jocelyn Lea Childs | Registered representative | Nov 2025 (1y) | ||
| Alexander Jeffries | Registered representative | Dec 2025 (1y) | ||
| Rayna P Penelova | Registered representative | CFA | Dec 2025 (1y) | |
| John Charles Biegel | Registered representative | Dec 2025 (1y) | ||
| Carmen Benedetti | Registered representative | Dec 2025 (1y) | ||
| Andrew Randall Khalaf | Registered representative | Dec 2025 (1y) | ||
| Jessica Salemy | Registered representative | CFA | Dec 2025 (1y) | |
| Micah Clinton Sawyer | Registered representative | Dec 2025 (1y) | ||
| Diana Leah Bridget Boyd | Registered representative | Dec 2025 (1y) | ||
| Matthew Rivera | Registered representative | Dec 2025 (1y) | ||
| Michael Keegan | Registered representative | Dec 2025 (1y) | ||
| Stephanie Alecci Link | Registered representative | Dec 2025 (1y) | ||
| Shannon Leigh Stevens | Registered representative | Dec 2025 (1y) | ||
| James Jay Hausberg | Registered representative | Jan 2026 (1y) | ||
| Kimberlee Ann Davis | Registered representative | Jan 2026 (1y) | ||
| Ronit Shah | Registered representative | Jan 2026 (1y) | ||
| Charlotte Clare Berry | Registered representative | CFP | Jan 2026 (1y) | |
| Jordann Andrusiak | Registered representative | CFP | Jan 2026 (1y) | |
| Joshua James Klooz | Registered representative | CFP | Jan 2026 (1y) | |
| Meredith G Mussano | Registered representative | Jan 2026 (1y) | ||
| Brian Thomas Szytel | Registered representative | Jan 2026 (1y) | ||
| Sean Matthew Ullrich | Registered representative | Jan 2026 (1y) | ||
| Andrew Nagan | Registered representative | CFP | Jan 2026 (1y) | |
| Christine M Torrey | Registered representative | Jan 2026 (1y) | ||
| Manuel Ramirez | Registered representative | Jan 2026 (1y) | ||
| Brian Adam Miller | Registered representative | Jan 2026 (1y) | ||
| James Matthew Andrews | Registered representative | CFP | Jan 2026 (1y) | |
| Sean William Latimer | Registered representative | Jan 2026 (1y) | ||
| Brady Palzkill | Registered representative | CFP | Jan 2026 (1y) | |
| Jeremy Robert Polon | Registered representative | Jan 2026 (1y) | ||
| Brian Kaye | Registered representative | CFP | Jan 2026 (1y) | |
| Cathleen Morici | Registered representative | Jan 2026 (1y) | ||
| Calvin Dillon | Registered representative | Jan 2026 (1y) | ||
| Darren Michael Lightfoot | Registered representative | Jan 2026 (1y) | ||
| Drew Van Scyoc | Registered representative | Jan 2026 (1y) | ||
| Walter J Gondeck | Registered representative | Jan 2026 (1y) | ||
| William Bartly Wolf | Registered representative | Jan 2026 (1y) | ||
| Jessica Trouten | Registered representative | CFP | Jan 2026 (1y) | |
| Michael Clay Boswell | Registered representative | Jan 2026 (1y) | ||
| Ryan Solt | Registered representative | CFP | Jan 2026 (1y) | |
| Pankti Thakar | Registered representative | CFA | Jan 2026 (1y) | |
| Douglas George Conklin | Registered representative | Jan 2026 (1y) | ||
| Andrew North Olivier | Registered representative | CFP | Jan 2026 (1y) | |
| Andrew Llewellyn | Registered representative | Jan 2026 (1y) | ||
| Chelsea Wetzel | Registered representative | Jan 2026 (1y) | ||
| Cristian A Zuniga | Registered representative | Jan 2026 (1y) | ||
| Christopher Todd Ure | Registered representative | Jan 2026 (1y) | ||
| Daniel Harrison Garza | Registered representative | Jan 2026 (1y) | ||
| Augustine Hong | Registered representative | Jan 2026 (1y) | ||
| Daniel Iversen Galvin | Registered representative | Jan 2026 (1y) | ||
| Arun K Bharath | Registered representative | CFA | Jan 2026 (1y) | |
| Dimitry Prophete | Registered representative | Feb 2026 (0y) | ||
| Michael Jihyuk Lee | Registered representative | Feb 2026 (0y) | ||
| Michael Joseph Dimola | Registered representative | Feb 2026 (0y) | ||
| Whitney Drechsler | Registered representative | CFP | Feb 2026 (0y) | |
| Irina Katsihtis | Registered representative | Feb 2026 (0y) | ||
| Michael Samuel Donohoe | Registered representative | CFP | Feb 2026 (0y) | |
| Christopher Blair Driver | Registered representative | CFA | Feb 2026 (0y) | |
| Nicholas Robert Gatins | Registered representative | Feb 2026 (0y) | ||
| Tyler Dritz | Registered representative | CFA | Feb 2026 (0y) | |
| Sean Buxton | Registered representative | CFP | Feb 2026 (0y) | |
| Jonathon Owen Gruber | Registered representative | Feb 2026 (0y) | ||
| Thomas Liam Irwin | Registered representative | Feb 2026 (0y) | ||
| William Colton Wright | Registered representative | Feb 2026 (0y) | ||
| John Francis Mauldin | Registered representative | Feb 2026 (0y) | ||
| Grace Jacqueline Terrill | Registered representative | Feb 2026 (0y) | ||
| James Maher | Registered representative | Mar 2026 (0y) | ||
| Mitchel Alexander Blanco | Registered representative | Mar 2026 (0y) | ||
| David Satin | Registered representative | Mar 2026 (0y) | ||
| Samuel Paul Gagne | Registered representative | Mar 2026 (0y) | ||
| Reese Franklin Imes | Registered representative | Mar 2026 (0y) | ||
| Ella Marie Pelton | Registered representative | Mar 2026 (0y) | ||
| Nathaniel Stephen Linker | Registered representative | Mar 2026 (0y) | ||
| Daniel Bruce Levin | Registered representative | Mar 2026 (0y) | ||
| Michael James Kalinoski | Registered representative | Mar 2026 (0y) | ||
| Angela Pridgen Lessor | Registered representative | CFP | Apr 2026 (0y) | |
| Jules Jouvenat | Registered representative | CFP | Apr 2026 (0y) | |
| Kerry Jean Meath Sinkin | Registered representative | CFP | Apr 2026 (0y) | |
| Brett Tyler Agnew | Registered representative | CFP | Apr 2026 (0y) | |
| Charlotte Spiegel | Registered representative | Apr 2026 (0y) | ||
| Dominick Delvalle | Registered representative | Apr 2026 (0y) | ||
| Grady Wirth | Registered representative | CFP | Apr 2026 (0y) | |
| Jason A Sangekar | Registered representative | CFA | Apr 2026 (0y) | |
| Jill Elaine Isbell | Registered representative | CFP | Apr 2026 (0y) | |
| Kevin Douglas Rinow | Registered representative | CFP | Apr 2026 (0y) | |
| Kristin Adelson Bartlow | Registered representative | CFP | Apr 2026 (0y) | |
| John Mortola | Registered representative | Apr 2026 (0y) | ||
| Laurie Mc Kee Adams | Registered representative | Apr 2026 (0y) | ||
| John B Solik | Registered representative | Apr 2026 (0y) | ||
| Brian R Flynn | Registered representative | Apr 2026 (0y) | ||
| Chad Faulkenberry | Registered representative | CFP | Apr 2026 (0y) | |
| Kathleen Barlow | Registered representative | Apr 2026 (0y) | ||
| Megan Elizabeth Robertson | Registered representative | Apr 2026 (0y) | ||
| Michael Dennis Labarbera | Registered representative | Apr 2026 (0y) | ||
| Justin Kaufman | Registered representative | Apr 2026 (0y) | ||
| Justin Graham Branch | Registered representative | Apr 2026 (0y) | ||
| Tyler James Seibold | Registered representative | Apr 2026 (0y) | ||
| Tamara Anderson | Registered representative | CFP | Apr 2026 (0y) | |
| Michael Charles Brown | Registered representative | Apr 2026 (0y) | ||
| Patrick Briand | Registered representative | Apr 2026 (0y) | ||
| William Mc Canney | Registered representative | CFP | Apr 2026 (0y) | |
| Adam Gabriel Masterson | Registered representative | CFP | Apr 2026 (0y) | |
| Ted Eric Albrecht | Registered representative | CFP | Apr 2026 (0y) | |
| Wilkes Edward Crosthwait | Registered representative | May 2026 (0y) | ||
| Zachary Mohr | Registered representative | May 2026 (0y) | ||
| Jeffrey Davis | Registered representative | May 2026 (0y) | ||
| Tarren Bingham | Registered representative | May 2026 (0y) | ||
| Drew Mason Sherwood | Registered representative | CFP | May 2026 (0y) | |
| Dean Riley Moody | Registered representative | May 2026 (0y) | ||
| Heather S Mulcahy | Registered representative | CFP | May 2026 (0y) | |
| Robert Pier | Registered representative | May 2026 (0y) | ||
| Amanda Marie Navaraj | Registered representative | CFP | May 2026 (0y) | |
| Hunter Dean Cole | Registered representative | May 2026 (0y) | ||
| Austin Adamson | Registered representative | May 2026 (0y) | ||
| Claire Alexandra Madden | Registered representative | May 2026 (0y) | ||
| Camilla Moreira Ostbye | Registered representative | Jun 2026 (0y) | ||
| Brooks Brevin Panhans | Registered representative | Jun 2026 (0y) | ||
| Blake Robert Mc Govern | Registered representative | Jun 2026 (0y) | ||
| Craig Jones | Registered representative | Jun 2026 (0y) | ||
| Sean M Hillegass | Registered representative | Jun 2026 (0y) | ||
| William Dugdale | Registered representative | Jun 2026 (0y) | ||
| Grady Kerr Powers | Registered representative | Jun 2026 (0y) | ||
| Ian Trumpler | Registered representative | Jun 2026 (0y) | ||
| Drew William Holden Clanton | Registered representative | Jul 2026 (0y) | ||
| Gary Ray Campbell | Registered representative | Jul 2026 (0y) | ||
| Cortney L Khan | Registered representative | Jul 2026 (0y) | ||
| Alexander Rocco Maroccia | Registered representative | Jul 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Hightower Holding, Llc | Holding Company | Apr 2008 | A | 75% or more |
| Thomas H. Lee Partners, L.P. | Member | Sep 2020 | B | 75% or more of Thl Ht Advisors, Llc (indirect) |
| Hightower Intermediate, Llc | Member | Oct 2020 | B | ≈ 56.25% – 100% via Hightower Holding, Llc |
| Ht Holding, Llc | Member | Oct 2020 | B | ≈ 42.19% – 100% via Hightower Intermediate, Llc |
| Thl Equity Fund Vii Investors (Ht), Llc | Member | Oct 2020 | B | ≈ 31.64% – 100% via Ht Holding, Llc |
| Thl Ht Parallel Spv, L.P. | Member | Dec 2020 | B | ≈ 11.87% – 75% via Thl Equity Fund Vii Investors (Ht) Blocker, Llc |
| Thl Equity Fund Vii Investors (Ht) Blocker, Llc | Member | Oct 2020 | B | ≈ 15.82% – 75% via Thl Equity Fund Vii Investors (Ht), Llc |
| Thl Ht Spv, L.P. | Member | Dec 2020 | B | ≈ 15.82% – 75% via Thl Equity Fund Vii Investors (Ht), Llc |
| Pes Hudson Onshore Holdings Llc | Limited Partner | Nov 2020 | B | ≈ 3.96% – 37.5% via Thl Ht Spv, L.P. |
| Vintage Viii Ab Llc | Member | Nov 2020 | B | ≈ 0.99% – 18.75% via Pes Hudson Onshore Holdings Llc |
| Thl Ht Advisors, Llc | General Partner | Oct 2020 | B | GP / trustee / elected manager of Thl Ht Spv, L.P. (indirect) |
| Thomas H. Lee Advisors, Llc | General Partner | Jun 1999 | B | GP / trustee / elected manager of Thomas H. Lee Partners, L.P. (indirect) |
| Thl Holdco, Llc | Managing Member | Feb 2012 | B | GP / trustee / elected manager of Thomas H. Lee Advisors, Llc (indirect) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Hightower Intermediate, Llc: 75% – 100% of Hightower Holding, Llc × 75% – 100% direct ≈ 56.25% – 100% of the firm
- Ht Holding, Llc: 75% – 100% of Hightower Intermediate, Llc × 75% – 100% of Hightower Holding, Llc × 75% – 100% direct ≈ 42.19% – 100% of the firm
- Thl Equity Fund Vii Investors (Ht), Llc: 75% – 100% of Ht Holding, Llc × 75% – 100% of Hightower Intermediate, Llc × 75% – 100% of Hightower Holding, Llc × 75% – 100% direct ≈ 31.64% – 100% of the firm
- Thl Ht Parallel Spv, L.P.: 75% – 100% of Thl Equity Fund Vii Investors (Ht) Blocker, Llc × 50% – 75% of Thl Equity Fund Vii Investors (Ht), Llc × 75% – 100% of Ht Holding, Llc × 75% – 100% of Hightower Intermediate, Llc × 75% – 100% of Hightower Holding, Llc × 75% – 100% direct ≈ 11.87% – 75% of the firm
- Thl Equity Fund Vii Investors (Ht) Blocker, Llc: 50% – 75% of Thl Equity Fund Vii Investors (Ht), Llc × 75% – 100% of Ht Holding, Llc × 75% – 100% of Hightower Intermediate, Llc × 75% – 100% of Hightower Holding, Llc × 75% – 100% direct ≈ 15.82% – 75% of the firm
- Thl Ht Spv, L.P.: 50% – 75% of Thl Equity Fund Vii Investors (Ht), Llc × 75% – 100% of Ht Holding, Llc × 75% – 100% of Hightower Intermediate, Llc × 75% – 100% of Hightower Holding, Llc × 75% – 100% direct ≈ 15.82% – 75% of the firm
- Pes Hudson Onshore Holdings Llc: 25% – 50% of Thl Ht Spv, L.P. × 50% – 75% of Thl Equity Fund Vii Investors (Ht), Llc × 75% – 100% of Ht Holding, Llc × 75% – 100% of Hightower Intermediate, Llc × 75% – 100% of Hightower Holding, Llc × 75% – 100% direct ≈ 3.96% – 37.5% of the firm
- Vintage Viii Ab Llc: 25% – 50% of Pes Hudson Onshore Holdings Llc × 25% – 50% of Thl Ht Spv, L.P. × 50% – 75% of Thl Equity Fund Vii Investors (Ht), Llc × 75% – 100% of Ht Holding, Llc × 75% – 100% of Hightower Intermediate, Llc × 75% – 100% of Hightower Holding, Llc × 75% – 100% direct ≈ 0.99% – 18.75% 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, $142M gross assets)
| Fund | Type | Gross assets | Min. investment | Owners |
|---|---|---|---|---|
| Tbg Alternative Income Solutions Lp | Other Private Fund | $142M | $250K | 131 |
From Form ADV Section 7.B private fund reporting.
Retirement plans served (57)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Porter Starke Services, Inc. 401(k) Profit Sharing Plan | Porter Starke Services, Inc. | 376 | $21.0M | 07/01/2024 |
| Np Dodge Company 401(k) Retirement Plan And Trust | N.P. Dodge Company | 523 | $38.8M | 04/01/2024 |
| Aptima, Inc. Sh 401(k) Profit Sharing Plan | Aptima, Inc. | 139 | $45.8M | 01/01/2024 |
| Starnes Davis Florie Llp 401(k) Profit Sharing Plan | Starnes Davis Florie Llp | 114 | $65.1M | 01/01/2024 |
| Mckinnon Bros Inc. 401(k) Profit Sharing Plan And Trust | Mckinnon Bros Inc. | 211 | $9.7M | 01/01/2024 |
| Loeb & Loeb Llp Profit Sharing And 401(k) Plan | Loeb & Loeb Llp | 718 | $438M | 01/01/2024 |
| Metrolina Nephrology Associates, P.A. 401(k) Plan | Metrolina Nephrology Associates, P.A. | 220 | $60.0M | 01/01/2024 |
| Caastle 401(k) Retirement Savings Plan For Corporate Employees | Caastle, Inc. | 122 | $10.9M | 01/01/2024 |
| Dokken Engineering Employee Stock Ownership Plan | Dokken Engineering | 124 | $21.5M | 01/01/2024 |
| Mission Internal Medical Group Amended Profit Sharing 401(k) Plan | Mission Internal Medical Group, Inc | 148 | $141M | 01/01/2024 |
| Davis+Gilbert Llp Profit Sharing Retirement Plan | Davis+Gilbert Llp | 135 | $149M | 01/01/2024 |
| Texas Radiology Associates 401(k) Plan | Texas Radiology Associates, Llp | 143 | $128M | 01/01/2024 |
| Netjets Aviation, Inc. 401(k) Retirement Plan | Netjets Aviation, Inc. | 4,042 | $2.5B | 01/01/2024 |
| Stradley, Ronon, Stevens & Young, Llp Retirement Plan I | Stradley, Ronon, Stevens & Young, Llp | 271 | $188M | 01/01/2024 |
| Digital Remedy 401 K Plan | Cpx Interactive Dba Digital Remedy | 106 | $13.4M | 01/01/2024 |
| Paul Weiss Rifkind Wharton & Garrison Llp Members' Pension & Retirement Plan | Paul Weiss Rifkind Wharton & Garrison Llp | 662 | $249M | 01/01/2024 |
| Scpmg Keogh Plan | Southern California Permanente Medical Group | 11,088 | $7.9B | 01/01/2024 |
| Perini Corporation Pension Plan | Tutor Perini Corporation | 37 | $60.7M | 01/01/2024 |
| Tra Minw, P.S. 401(k) Profit Sharing Plan And Trust | Tra Minw, P.S. | 480 | $172M | 01/01/2024 |
| Trailer Park Inc. Retirement Savings Plan | Trailer Park, Inc. | 539 | $52.0M | 01/01/2024 |
| Cenero Llc 401(k) Plan | Cenero Llc | 254 | $15.0M | 01/01/2024 |
| Pac 12 Enterprises, Llc Access Plan | Pac 12 Enterprises, Llc | 69 | $3.4M | 01/01/2024 |
| Massachusetts Container Corporation And Connecticut Container Corporation 401(k) Plan | Connecticut Container Corporation | 212 | $15.9M | 01/01/2024 |
| K & H Group, Inc. 401(k) Profit Sharing Plan | Connecticut Container Corporation | 195 | $14.4M | 01/01/2024 |
| Pac 12 Enterprises, Llc Generation Plan | Pac 12 Enterprises, Llc | 15 | $18.9M | 01/01/2024 |
Top 25 of 57 plans by assets.
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 07/17/2026 | 5.06 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
This firm answered "yes" to a disciplinary item on its latest filing. Detailed disclosure pages for this filing have not been imported yet — see the source filing below.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
- • Other fees
- • RETAINER OR SERVICE FEES OR SOME COMBINATION OF 1, 2, 4, 5 & 7
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
- • Other services
Custody
Reported custodians
- Fidelity Brokerage Services $40.1B (20% of AUM) Jul 2026
- Charles Schwab & Co. $31.2B (16% of AUM) Jul 2026
- Pershing $16.2B (8% of AUM) Jul 2026
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: Jul 17, 2026.
View current Form ADV (SEC/IAPD) ↗