Integrated Wealth Concepts Llc
SEC-registered
Wealth Manager · Large ($10B–$100B)
CRD 284656
· SEC file 801-108179
· Waltham, MA
· www.linkedin.com
☆ Save with Pro
ADV data as of Jul 27, 2026
- Regulatory AUM
- $23.6B
- Discretionary
- $23.6B
- Clients
- 29,848
- Avg AUM / client
- $790K
- Accounts
- 65,563
- Employees
- 493
AUM over time
$0
$23.6B
Jul 2016
Jul 2026
Annual snapshots from Form ADV filings · as of Jul 27, 2026
Investments (13F portfolio — 2,276 positions, $12,537,603,057)
13F period Mar 31, 2026| # | Issuer | Class | Value | Shares | % of 13F | % of AUM |
|---|---|---|---|---|---|---|
| 1 | Bny Mellon | MF Closed and MF Open | $360,669,063 | 2,889,746 | 2.88% | 1.53% |
| 2 | Aptus Collared | MF Closed and MF Open | $329,746,049 | 7,858,581 | 2.63% | 1.4% |
| 3 | Apple Inc | Common Stock | $257,316,707 | 1,013,896 | 2.05% | 1.09% |
| 4 | Ishares Core | MF Closed and MF Open | $233,599,225 | 357,617 | 1.86% | 0.99% |
| 5 | Nvidia Corp | Common Stock | $214,902,549 | 1,232,239 | 1.71% | 0.91% |
| 6 | Aptus Defined | MF Closed and MF Open | $202,089,939 | 7,394,435 | 1.61% | 0.86% |
| 7 | Jpmorgan Betabuilders | MF Closed and MF Open | $169,327,644 | 2,315,751 | 1.35% | 0.72% |
| 8 | Ishares Msci | MF Closed and MF Open | $150,580,414 | 785,050 | 1.2% | 0.64% |
| 9 | State Street | MF Closed and MF Open | $148,865,969 | 228,905 | 1.19% | 0.63% |
| 10 | Microsoft Corp | Common Stock | $133,555,648 | 360,796 | 1.07% | 0.57% |
| 11 | Dimensional Us | MF Closed and MF Open | $122,107,287 | 3,142,236 | 0.97% | 0.52% |
| 12 | Vanguard S&P | MF Closed and MF Open | $114,269,893 | 191,231 | 0.91% | 0.48% |
| 13 | Invesco Qqq | MF Closed and MF Open | $113,366,432 | 196,414 | 0.9% | 0.48% |
| 14 | Aptus Intl | MF Closed and MF Open | $111,543,077 | 4,521,406 | 0.89% | 0.47% |
| 15 | State Street | MF Closed and MF Open | $111,129,833 | 1,451,918 | 0.89% | 0.47% |
| 16 | Amazon Com | Common Stock | $109,668,949 | 526,571 | 0.87% | 0.47% |
| 17 | State Street | MF Closed and MF Open | $105,085,218 | 1,073,283 | 0.84% | 0.45% |
| 18 | Vanguard Total | MF Closed and MF Open | $105,018,523 | 1,426,107 | 0.84% | 0.45% |
| 19 | Ishares U S | MF Closed and MF Open | $102,699,711 | 1,765,206 | 0.82% | 0.44% |
| 20 | Goldman Sachs | MF Closed and MF Open | $101,554,693 | 1,199,560 | 0.81% | 0.43% |
| 21 | Aptus Large | MF Closed and MF Open | $92,168,209 | 2,555,969 | 0.74% | 0.39% |
| 22 | Opus Small | MF Closed and MF Open | $91,159,138 | 2,311,338 | 0.73% | 0.39% |
| 23 | Schwab Us | MF Closed and MF Open | $89,425,291 | 3,487,726 | 0.71% | 0.38% |
| 24 | State Street | MF Closed and MF Open | $83,901,781 | 1,482,888 | 0.67% | 0.36% |
| 25 | Ishares Core | MF Closed and MF Open | $77,158,048 | 1,106,205 | 0.62% | 0.33% |
Top 25 of 2,276 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) | 18,758 | $6.8B | 28.8% |
| High net worth individuals | 10,429 | $16.0B | 68.0% |
| Pension and profit sharing plans | 291 | $251M | 1.06% |
| Charitable organizations | 67 | $111M | 0.47% |
| Corporations and other businesses | 302 | $392M | 1.66% |
| Other | 1 | $1.4M | 0.01% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Viserion Grain, Llc 401(k) Plan Viserion Grain, Llc | 2025 | |
| North Florida Women's Care, P.A. Retirement Plan North Florida Women's Care, P.A. | 2024 | |
| Automated Financial Systems, Inc. 401(k) Salary Reduction Plan Automated Financial Systems, Inc. | 2024 | |
| Peninsula Community Health Services 403(b) Plan Peninsula Community Health Services | Bremerton, WA | 2024 |
| Teamworks Innovations, Inc. 401(k) Plan Teamworks Innovations, Inc. | 2024 | |
| Menemsha Development Group 401(k) Profit Sharing Plan Menemsha Development Group | 2024 | |
| Litmangerson Associates, Llp Salary Reduction Plan Litmangerson Associates, Llp Salary Reduction Plan | 2024 | |
| The L.C. Doane Company 401(k) Savings And Retirement Plan L.C. Doane Company | 2024 | |
| Tactical Engineering & Analysis, Inc. 401(k) Plan Tactical Engineering & Analysis, Inc. | 2024 | |
| Pavement Recycling Systems, Inc. 401(k) Profit Sharing Plan Prs Holdings, Inc. | 2024 |
People (476)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Carlson, Kristi, Lee | Chief Finance Officer | Apr 1998 (28y) | Less than 5% | |
| Paul Anton Saganey | Member And Founder | CFP | Sep 2016 (10y) | 75% or more |
| Ann Lamontagne Swartz | Chief Compliance Officer | Chartered Financial Consultant | Oct 2016 (10y) | Less than 5% |
| Donnelly, Kathleen, Lee | Director Of Finance & Accounting | Apr 2017 (9y) | Less than 5% | |
| Caitlyn E Frament | Director Of Business Process Optimization | Jan 2022 (5y) | Less than 5% | |
| Stephen Kolano | Chief Investment Officer | CFA | Jun 2022 (4y) | Less than 5% |
| Mohr, Andree, Nicole | President | Apr 2024 (2y) | Less than 5% | |
| Martha M Payne | Registered representative | Aug 2016 (10y) | ||
| Matthew Sean Donovan | Registered representative | Aug 2016 (10y) | ||
| John Charles Pastore | Registered representative | Sep 2016 (10y) | ||
| David Kline | Registered representative | CFP | Oct 2016 (10y) | |
| John Orion Florence | Registered representative | Oct 2016 (10y) | ||
| Michael Paul Dionne | Registered representative | Chartered Financial Consultant | Oct 2016 (10y) | |
| R. Jason Horwitz | Registered representative | CFP | Oct 2016 (10y) | |
| Thomas Michael Portentoso | Registered representative | Oct 2016 (10y) | ||
| William Daniel Hackler | Registered representative | Oct 2016 (10y) | ||
| Andrew J Ross | Registered representative | CFP | Oct 2016 (10y) | |
| Nelson Nascimento Santos | Registered representative | Oct 2016 (10y) | ||
| Gulsanga Jalawan | Registered representative | Oct 2016 (10y) | ||
| Christopher Andrew Fletcher | Registered representative | Oct 2016 (10y) | ||
| Christopher Francis Michalman | Registered representative | CFP | Oct 2016 (10y) | |
| David Charles Grimaldi | Registered representative | CFP | Oct 2016 (10y) | |
| Jeffrey Edward Cowling | Registered representative | CFP | Oct 2016 (10y) | |
| Mark David Cavasino | Registered representative | CFP | Oct 2016 (10y) | |
| Cassidy Corwin King | Registered representative | Oct 2016 (10y) | ||
| Peter Alan Gaines | Registered representative | Chartered Financial Consultant | Oct 2016 (10y) | |
| Richard Charles Osman | Registered representative | CFP Chartered Financial Consultant | Oct 2016 (10y) | |
| Albert Kwok Foo Li | Registered representative | Chartered Financial Consultant | Oct 2016 (10y) | |
| Christopher Carl Cavallaro | Registered representative | Oct 2016 (10y) | ||
| Clark Archie Page | Registered representative | Oct 2016 (10y) | ||
| Jeffrey Stann Levine | Registered representative | Oct 2016 (10y) | ||
| Jeremy Sherman White | Registered representative | CFP | Oct 2016 (10y) | |
| John Kennedy Ulwick | Registered representative | CFP | Oct 2016 (10y) | |
| Peter Blake Salkins | Registered representative | CFP | Oct 2016 (10y) | |
| Peter John Mcmahon | Registered representative | Oct 2016 (10y) | ||
| Ronald Joseph Smith | Registered representative | Oct 2016 (10y) | ||
| Sean Joseph Boylan | Registered representative | CFP | Oct 2016 (10y) | |
| Gregory Sumner Freeman | Registered representative | Oct 2016 (10y) | ||
| Robert Michael Grenus | Registered representative | Oct 2016 (10y) | ||
| Timothy Mark Carlson | Registered representative | Oct 2016 (10y) | ||
| Kevin Michael Mcgrady | Registered representative | Chartered Financial Consultant | Oct 2016 (10y) | |
| Kevin Michael Palmieri | Registered representative | Oct 2016 (10y) | ||
| Marco Anthony Moretti | Registered representative | Oct 2016 (10y) | ||
| Robert Rebussini | Registered representative | Oct 2016 (10y) | ||
| Nishan Dickran Mootafian | Registered representative | Oct 2016 (10y) | ||
| Raymond Joseph Lucas | Registered representative | CFP | Oct 2016 (10y) | |
| Timothy Andrew Demeritt | Registered representative | CFP | Oct 2016 (10y) | |
| Amy Meo Oviedo | Registered representative | Oct 2016 (10y) | ||
| Christopher Michael Ferretti | Registered representative | Oct 2016 (10y) | ||
| Don Eugene Meredith | Registered representative | Oct 2016 (10y) | ||
| Erik Alan Scudder | Registered representative | Oct 2016 (10y) | ||
| Heidi Marie Patterson | Registered representative | Oct 2016 (10y) | ||
| Joshua Ross Stark | Registered representative | Oct 2016 (10y) | ||
| Judith Felicia Chimenti | Registered representative | Chartered Financial Consultant | Oct 2016 (10y) | |
| Maria T Ross | Registered representative | Oct 2016 (10y) | ||
| Shawn Edwood Wilson | Registered representative | Oct 2016 (10y) | ||
| William Cole Smith | Registered representative | Oct 2016 (10y) | ||
| John Ralph Frongillo | Registered representative | Oct 2016 (10y) | ||
| Joseph S Sabelli | Registered representative | Oct 2016 (10y) | ||
| Ryan M Damaso | Registered representative | Oct 2016 (10y) | ||
| William Joseph Beaudoin | Registered representative | Oct 2016 (10y) | ||
| Jeffrey Mark Armstrong | Registered representative | Nov 2016 (10y) | ||
| Leal Stephen Deddens | Registered representative | Nov 2016 (10y) | ||
| Stephen Matthew Joyner | Registered representative | Nov 2016 (10y) | ||
| Joseph Murray Sullivan | Registered representative | Nov 2016 (10y) | ||
| Bradley Wade Stewart | Registered representative | Nov 2016 (10y) | ||
| John H Harrington | Registered representative | CFP | Nov 2016 (10y) | |
| Rajiv Dayal | Registered representative | Nov 2016 (10y) | ||
| John Murray Smoot | Registered representative | Nov 2016 (10y) | ||
| Daniel Edward Frankel | Registered representative | Nov 2016 (10y) | ||
| Kenneth L Richardson | Registered representative | Nov 2016 (10y) | ||
| Edwin Cooper Griswold | Registered representative | Nov 2016 (10y) | ||
| Lance Aaron Leimberg | Registered representative | CFP | Nov 2016 (10y) | |
| Paul Coleman Koenig | Registered representative | CFP Chartered Financial Consultant | Nov 2016 (10y) | |
| Richard V. Digennaro | Registered representative | Nov 2016 (10y) | ||
| Brad Mitchell Capland | Registered representative | Nov 2016 (10y) | ||
| Joseph Francis Quinn | Registered representative | Nov 2016 (10y) | ||
| Susan M Ahern Wiercinski | Registered representative | CFP | Nov 2016 (10y) | |
| Howard Paul Gerrin | Registered representative | Chartered Financial Consultant | Dec 2016 (10y) | |
| Felix G. Cincotta | Registered representative | Dec 2016 (10y) | ||
| Matthew David Neville | Registered representative | Dec 2016 (10y) | ||
| Philip Gary Masi | Registered representative | CFP | Dec 2016 (10y) | |
| Daniel Gerard Gilliland | Registered representative | Dec 2016 (10y) | ||
| Mark Irwin Karnes | Registered representative | Dec 2016 (10y) | ||
| Christopher Paul Aldrich | Registered representative | Jan 2017 (10y) | ||
| Michael Scott Farmer | Registered representative | CFP | Jan 2017 (10y) | |
| Robert Gerard Rice | Registered representative | Jan 2017 (10y) | ||
| Albert Gerald Filosa | Registered representative | Jan 2017 (10y) | ||
| Stephen Howard Faberman | Registered representative | Jan 2017 (10y) | ||
| Karl Michael Baumann | Registered representative | Personal Financial Specialist | Jan 2017 (10y) | |
| Ronald James Goodman | Registered representative | Jan 2017 (10y) | ||
| Arthur Thomas Arsenault | Registered representative | Jan 2017 (10y) | ||
| Michael David Aaronson | Registered representative | Feb 2017 (9y) | ||
| Mark J. Mcgaunn | Registered representative | CFP Personal Financial Specialist | Feb 2017 (9y) | |
| Michael Shawn Rankin | Registered representative | CFP | Mar 2017 (9y) | |
| Gina Potter Wilson | Registered representative | Chartered Financial Consultant | Jun 2017 (9y) | |
| Bradley Ronald Howe | Registered representative | Jul 2017 (9y) | ||
| Edward James Gay | Registered representative | Jul 2017 (9y) | ||
| Maria Coclin | Registered representative | Jul 2017 (9y) | ||
| Richard Edward La Cross | Registered representative | CFP Personal Financial Specialist | Oct 2017 (9y) | |
| Ely Kaplansky | Registered representative | Nov 2017 (9y) | ||
| Joseph Francis O'loughlin | Registered representative | Dec 2017 (9y) | ||
| Guido Mogatti Sarcione | Registered representative | Chartered Financial Consultant | Dec 2017 (9y) | |
| Robert Arlington Barger | Registered representative | Jan 2018 (9y) | ||
| Jonathan Sudkin | Registered representative | Jan 2018 (9y) | ||
| Bruno C Passacantando | Registered representative | Mar 2018 (8y) | ||
| Jeffrey Eugene La Cross | Registered representative | CFP Personal Financial Specialist | Apr 2018 (8y) | |
| Adam I Rothbart | Registered representative | May 2018 (8y) | ||
| Jon Gonthier | Registered representative | CFA | Jun 2018 (8y) | |
| Kristopher Todd Lindley | Registered representative | CFP | Jun 2018 (8y) | |
| Susan Mae Schlindwein | Registered representative | Jun 2018 (8y) | ||
| Andrew R Simpter | Registered representative | Jun 2018 (8y) | ||
| Sean Leighton Burke | Registered representative | Jul 2018 (8y) | ||
| Michael Andrew Muto | Registered representative | Jul 2018 (8y) | ||
| Carol Anne Zirkle | Registered representative | Sep 2018 (8y) | ||
| Danya Abrams | Registered representative | Oct 2018 (8y) | ||
| Mark P Paquin | Registered representative | Oct 2018 (8y) | ||
| Jeremy David Gottlieb | Registered representative | Jan 2019 (8y) | ||
| Kent Bradston Tedrick | Registered representative | CFP CFA | Jan 2019 (8y) | |
| Brian Harding Dawahare | Registered representative | Jan 2019 (8y) | ||
| James Edmond Dortch | Registered representative | Jan 2019 (8y) | ||
| Rickie Wayne Williams | Registered representative | Jan 2019 (8y) | ||
| Timothy Adam Thielen | Registered representative | Jan 2019 (8y) | ||
| Luke James Schork | Registered representative | Jan 2019 (8y) | ||
| Jeffrey Taraboulos | Registered representative | Personal Financial Specialist | Feb 2019 (7y) | |
| Jeremy Commeret | Registered representative | Apr 2019 (7y) | ||
| Eric Karl Bressman | Registered representative | CFP | Apr 2019 (7y) | |
| Pamela Ann Rodriguez | Registered representative | CFP Chartered Financial Consultant | Apr 2019 (7y) | |
| Kirk Hogan Baur | Registered representative | May 2019 (7y) | ||
| Ramona Maria Santos | Registered representative | CFP | May 2019 (7y) | |
| John. W Exner | Registered representative | Chartered Financial Consultant | May 2019 (7y) | |
| Michael James Mohr | Registered representative | May 2019 (7y) | ||
| Michael Muniz | Registered representative | May 2019 (7y) | ||
| Timothy Harry Riis | Registered representative | May 2019 (7y) | ||
| Anthony James Designor | Registered representative | May 2019 (7y) | ||
| Frank Stuart | Registered representative | Sep 2019 (7y) | ||
| William Edward Spinner | Registered representative | CFP | Sep 2019 (7y) | |
| Richard Edward Austin | Registered representative | Oct 2019 (7y) | ||
| Laura Lee Fleming | Registered representative | Nov 2019 (7y) | ||
| Homer Scoville Smith | Registered representative | CFP | Nov 2019 (7y) | |
| Harrison Till | Registered representative | Dec 2019 (7y) | ||
| Joshua Bodenstadt | Registered representative | Feb 2020 (6y) | ||
| Anthony Marotti | Registered representative | CFP | Apr 2020 (6y) | |
| Joseph Edward Johnston | Registered representative | Chartered Financial Consultant | Jul 2020 (6y) | |
| Kevin Lorenz Kyle | Registered representative | CFP Chartered Financial Consultant | Jul 2020 (6y) | |
| Matthew Jerry Ferguson | Registered representative | Aug 2020 (6y) | ||
| Melissa Laura Cournyer | Registered representative | Aug 2020 (6y) | ||
| Bryce Aaron Burch | Registered representative | Dec 2020 (6y) | ||
| Ryan Thomas Will | Registered representative | Jan 2021 (6y) | ||
| Stephen Joseph Carrigg | Registered representative | CFP | Jan 2021 (6y) | |
| Tejas Kiel Bartakke | Registered representative | Jan 2021 (6y) | ||
| Christopher Michael Whalen | Registered representative | Jan 2021 (6y) | ||
| Lisa Miyako Sakai | Registered representative | Jan 2021 (6y) | ||
| Robert Scott Vedder | Registered representative | CFP | Jan 2021 (6y) | |
| Diego Bello | Registered representative | Feb 2021 (5y) | ||
| Joe Hall | Registered representative | Feb 2021 (5y) | ||
| Mark Mamoru Mitamura | Registered representative | Feb 2021 (5y) | ||
| Peter Randall Zierhut | Registered representative | Feb 2021 (5y) | ||
| Whitney Christine Massey | Registered representative | Feb 2021 (5y) | ||
| Lindsay B Blaney | Registered representative | CFP | Feb 2021 (5y) | |
| Thomas Michael Nemet | Registered representative | Mar 2021 (5y) | ||
| Todd Alan Bessey | Registered representative | CFP | Apr 2021 (5y) | |
| Cody Augustus Twombley | Registered representative | Apr 2021 (5y) | ||
| Sharon Marie Santopadre | Registered representative | Apr 2021 (5y) | ||
| Sherman J Fernandes | Registered representative | Apr 2021 (5y) | ||
| Craig Joseph Horvath | Registered representative | CFP Chartered Financial Consultant | Apr 2021 (5y) | |
| Chad Di Lisio | Registered representative | May 2021 (5y) | ||
| Jeff Lee Macy | Registered representative | May 2021 (5y) | ||
| Matthew Robert Barrette | Registered representative | May 2021 (5y) | ||
| Thomas Eugene Davis | Registered representative | May 2021 (5y) | ||
| Brian Richard Tarro | Registered representative | Jun 2021 (5y) | ||
| Hunter Wayne Hargraves | Registered representative | Jul 2021 (5y) | ||
| Andrew Seymour Adil | Registered representative | Jul 2021 (5y) | ||
| David Ross Neal | Registered representative | Jul 2021 (5y) | ||
| David Scott Coburn | Registered representative | Jul 2021 (5y) | ||
| Douglas Michael Turner | Registered representative | Jul 2021 (5y) | ||
| John Seaford Derway | Registered representative | Jul 2021 (5y) | ||
| Leslie Erica Archambault | Registered representative | Jul 2021 (5y) | ||
| Martin Stephen Bodner | Registered representative | Jul 2021 (5y) | ||
| Sean Francis Flaherty | Registered representative | Jul 2021 (5y) | ||
| Bernard Gerard Sandford | Registered representative | Jul 2021 (5y) | ||
| Penny Gale Nasiatka | Registered representative | Jul 2021 (5y) | ||
| Robert Edward Mulhaul | Registered representative | Jul 2021 (5y) | ||
| Robert John Conaty | Registered representative | Jul 2021 (5y) | ||
| Fernando Diego Perez | Registered representative | Jul 2021 (5y) | ||
| Russell Scott Gorman | Registered representative | CFP CFA | Jul 2021 (5y) | |
| Darren Michael Fabric | Registered representative | Aug 2021 (5y) | ||
| Chirag Shah | Registered representative | Aug 2021 (5y) | ||
| Benjamin Payton | Registered representative | CFP Chartered Financial Consultant | Aug 2021 (5y) | |
| Timothy Robert Mahieu | Registered representative | Aug 2021 (5y) | ||
| John Joseph Spaeth | Registered representative | Aug 2021 (5y) | ||
| Dwight Alan Anderson | Registered representative | Nov 2021 (5y) | ||
| Michael B Welborn | Registered representative | CFP | Nov 2021 (5y) | |
| Patrice Borgese | Registered representative | Dec 2021 (5y) | ||
| Eric Daniel | Registered representative | Dec 2021 (5y) | ||
| Matthew Gordon Robertson Quattlebaum | Registered representative | CFP | Dec 2021 (5y) | |
| Phylyp Arthur Wagner | Registered representative | CFP | Dec 2021 (5y) | |
| Ajay Narang | Registered representative | Dec 2021 (5y) | ||
| Matthew Stack | Registered representative | CFP | Jan 2022 (5y) | |
| Galina Berkovich | Registered representative | Feb 2022 (4y) | ||
| Quyen Leba | Registered representative | Feb 2022 (4y) | ||
| Suzan Renee Korth | Registered representative | Feb 2022 (4y) | ||
| Jason Evan Grantz | Registered representative | Feb 2022 (4y) | ||
| Freda Marie Fiedler | Registered representative | Mar 2022 (4y) | ||
| David Munho Choi | Registered representative | Mar 2022 (4y) | ||
| Garrett Jon Hall | Registered representative | Mar 2022 (4y) | ||
| Taylor A Orlando | Registered representative | Apr 2022 (4y) | ||
| Maxwell Graber | Registered representative | Apr 2022 (4y) | ||
| Austin Lancer Nold | Registered representative | CFP | Apr 2022 (4y) | |
| Christian David Bryant | Registered representative | Apr 2022 (4y) | ||
| Kelly Ann Petersen | Registered representative | Apr 2022 (4y) | ||
| Elizabeth Coburn Derway | Registered representative | May 2022 (4y) | ||
| Charles Edgar Clark | Registered representative | Jan 2023 (4y) | ||
| Joshua Mark Barron | Registered representative | Jan 2023 (4y) | ||
| Patrick Joseph Considine | Registered representative | Jan 2023 (4y) | ||
| Ryan John Quinn | Registered representative | CFP | Jan 2023 (4y) | |
| Robert James Greulich | Registered representative | Jan 2023 (4y) | ||
| Mark Kruspodin | Registered representative | Jan 2023 (4y) | ||
| Ryan Matthew Kerr | Registered representative | Jan 2023 (4y) | ||
| Michael Sal Guarnieri | Registered representative | Jan 2023 (4y) | ||
| Andrea Chillak | Registered representative | Feb 2023 (4y) | ||
| Brian Matthew Lavoie | Registered representative | Feb 2023 (4y) | ||
| David Jonathan Rootes | Registered representative | Feb 2023 (4y) | ||
| Donald Leroy Rittenhouse | Registered representative | Feb 2023 (4y) | ||
| Douglas Fairchild Bradley | Registered representative | Feb 2023 (4y) | ||
| Dustin James Briquelet | Registered representative | Feb 2023 (4y) | ||
| Dustin V. Metcalf | Registered representative | Feb 2023 (4y) | ||
| Erica Lynn York | Registered representative | Feb 2023 (4y) | ||
| Eugene David Stoeckly | Registered representative | Feb 2023 (4y) | ||
| Eugene William Stoeckly | Registered representative | Feb 2023 (4y) | ||
| Jason William Rankin | Registered representative | CFP | Feb 2023 (4y) | |
| John Phillips Paladino | Registered representative | Feb 2023 (4y) | ||
| Johnny N Chuchen | Registered representative | Feb 2023 (4y) | ||
| Joseph Anthony Forlenza | Registered representative | CFP | Feb 2023 (4y) | |
| Kyle J Trippel | Registered representative | Feb 2023 (4y) | ||
| Michael Campbell Graney | Registered representative | Feb 2023 (4y) | ||
| Michael Sean Haig | Registered representative | Feb 2023 (4y) | ||
| Michael Steven Budd | Registered representative | Feb 2023 (4y) | ||
| Terrance William Arges | Registered representative | Feb 2023 (4y) | ||
| Thomas Robert Worrall Iii | Registered representative | Feb 2023 (4y) | ||
| Todd Nelson Troutner | Registered representative | Feb 2023 (4y) | ||
| Vanessa L Pearson | Registered representative | Feb 2023 (4y) | ||
| Wen Tung Tsai | Registered representative | Feb 2023 (4y) | ||
| William Jonathan Bettis | Registered representative | Feb 2023 (4y) | ||
| William Weijen Tsai | Registered representative | Feb 2023 (4y) | ||
| Zachary John Diskin | Registered representative | Feb 2023 (4y) | ||
| James Alan Haug | Registered representative | Feb 2023 (3y) | ||
| Stanley August Shurson | Registered representative | Feb 2023 (3y) | ||
| Adam Thomas Tirapelle | Registered representative | Feb 2023 (3y) | ||
| Christopher Matthew Conner | Registered representative | CFP | Feb 2023 (3y) | |
| John Patrick Berry | Registered representative | CFP | Feb 2023 (3y) | |
| Jackleen Sawiris | Registered representative | Feb 2023 (3y) | ||
| Ashley E Plante | Registered representative | Feb 2023 (3y) | ||
| Il Shin Lee | Registered representative | Mar 2023 (3y) | ||
| Adrian A Duran | Registered representative | Mar 2023 (3y) | ||
| Craig Eaton | Registered representative | Mar 2023 (3y) | ||
| Panayiota Koutsis Mouchlian | Registered representative | Apr 2023 (3y) | ||
| Paul Ryan Weaver | Registered representative | Apr 2023 (3y) | ||
| Amy Lynne Shroff | Registered representative | May 2023 (3y) | ||
| Jeffrey Gene Engelman | Registered representative | CFP | May 2023 (3y) | |
| Robert S Single | Registered representative | May 2023 (3y) | ||
| Shelly Lynne Schell | Registered representative | May 2023 (3y) | ||
| Thomas Amedio Gonnella | Registered representative | May 2023 (3y) | ||
| Ruslan Burshteyn | Registered representative | May 2023 (3y) | ||
| Lianne Alyssa Castelli | Registered representative | May 2023 (3y) | ||
| Hubert Priest Griffin | Registered representative | Jun 2023 (3y) | ||
| Jharid Pratt | Registered representative | Jul 2023 (3y) | ||
| Michael Taylor | Registered representative | Jul 2023 (3y) | ||
| Christie Marotta | Registered representative | Jul 2023 (3y) | ||
| Michael Blacksburg | Registered representative | Jul 2023 (3y) | ||
| Rosa Jardim | Registered representative | Oct 2023 (3y) | ||
| William Behling | Registered representative | Oct 2023 (3y) | ||
| Douglas Deboer | Registered representative | Oct 2023 (3y) | ||
| Ian Grimbleby | Registered representative | Oct 2023 (3y) | ||
| Nathan Miller | Registered representative | Oct 2023 (3y) | ||
| Jane Marie Johnson Simmons | Registered representative | Oct 2023 (3y) | ||
| Preston Osbourn | Registered representative | Nov 2023 (3y) | ||
| Ryan Root | Registered representative | Nov 2023 (3y) | ||
| Tambra Davis | Registered representative | Nov 2023 (3y) | ||
| Christopher O'day | Registered representative | Nov 2023 (3y) | ||
| Jeffrey Bowman | Registered representative | Dec 2023 (3y) | ||
| Robert Brian Henderson | Registered representative | Dec 2023 (3y) | ||
| Justin D Walsh | Registered representative | Dec 2023 (3y) | ||
| Hunter Rich | Registered representative | Dec 2023 (3y) | ||
| Christopher Gabriel Torres | Registered representative | Jan 2024 (3y) | ||
| Samson Dooley | Registered representative | Jan 2024 (3y) | ||
| Chad Van Houten | Registered representative | Jan 2024 (3y) | ||
| Benjamin Mckinney | Registered representative | Jan 2024 (3y) | ||
| Therese Cheevers | Registered representative | Jan 2024 (3y) | ||
| Kevin Wiest | Registered representative | Jan 2024 (3y) | ||
| Robert Thompson | Registered representative | Jan 2024 (3y) | ||
| John S Piantedosi | Registered representative | Jan 2024 (3y) | ||
| Sean Mcferson | Registered representative | Jan 2024 (3y) | ||
| Edward Fazio | Registered representative | Jan 2024 (3y) | ||
| Andrew Bautista | Registered representative | Feb 2024 (2y) | ||
| Douglas Beaver | Registered representative | Feb 2024 (2y) | ||
| Jeffrey Parsell | Registered representative | Feb 2024 (2y) | ||
| Pei Li Wang | Registered representative | Feb 2024 (2y) | ||
| Cynthia Leberthon | Registered representative | Feb 2024 (2y) | ||
| Hani Sharestan | Registered representative | Feb 2024 (2y) | ||
| Kahni Bizub | Registered representative | Feb 2024 (2y) | ||
| Jeffrey Myers | Registered representative | Feb 2024 (2y) | ||
| Jennifer Haddad | Registered representative | Feb 2024 (2y) | ||
| Kimberly Noel Gern | Registered representative | Feb 2024 (2y) | ||
| Nancy Van Lanen | Registered representative | Feb 2024 (2y) | ||
| Richard Huffman | Registered representative | Feb 2024 (2y) | ||
| Kenneth M. Pumphrey | Registered representative | Feb 2024 (2y) | ||
| Timothy Byers | Registered representative | Feb 2024 (2y) | ||
| Colin Thomas Walker | Registered representative | Feb 2024 (2y) | ||
| Shania A Murray | Registered representative | Feb 2024 (2y) | ||
| Wheeler Maidrand Crowley | Registered representative | Feb 2024 (2y) | ||
| Jarrod Smith | Registered representative | Mar 2024 (2y) | ||
| Sheldon Rosenberg | Registered representative | Mar 2024 (2y) | ||
| Stephen Tankel | Registered representative | Mar 2024 (2y) | ||
| Larry Richard Hancock | Registered representative | Apr 2024 (2y) | ||
| Jeffrey Scott Fields | Registered representative | May 2024 (2y) | ||
| Robert Alan Brown | Registered representative | CFA | Jun 2024 (2y) | |
| William Robertson Whitney | Registered representative | Jun 2024 (2y) | ||
| Timothy Suarez | Registered representative | Jun 2024 (2y) | ||
| Chase Mcclung | Registered representative | Jul 2024 (2y) | ||
| Guy Pate Ridout | Registered representative | Jul 2024 (2y) | ||
| Katherine Neil | Registered representative | Jul 2024 (2y) | ||
| Fazal Hussain | Registered representative | Jul 2024 (2y) | ||
| Emily Roster | Registered representative | Aug 2024 (2y) | ||
| Alexander Eric Alvarez | Registered representative | Aug 2024 (2y) | ||
| Raymond Joseph Lucas | Registered representative | Aug 2024 (2y) | ||
| Katrina Kowalski | Registered representative | Sep 2024 (2y) | ||
| Eric Carey | Registered representative | Sep 2024 (2y) | ||
| Christine Flanders | Registered representative | Sep 2024 (2y) | ||
| Erick Scott Conway | Registered representative | CFP | Sep 2024 (2y) | |
| Brandon Thomas Franco | Registered representative | Oct 2024 (2y) | ||
| Rex Austin Berger | Registered representative | Oct 2024 (2y) | ||
| Samuel Joseph Diarbakerly | Registered representative | Oct 2024 (2y) | ||
| Johnny Cordeiro | Registered representative | Oct 2024 (2y) | ||
| Otto Schleinkofer | Registered representative | Oct 2024 (2y) | ||
| Adam Francis Baker | Registered representative | Nov 2024 (2y) | ||
| Alex Joseph Esposito | Registered representative | Nov 2024 (2y) | ||
| Javin Takezo Nohara | Registered representative | Nov 2024 (2y) | ||
| Jordan Shoji Iwasaki | Registered representative | Nov 2024 (2y) | ||
| Michael Thomas Mc Daid | Registered representative | CFP | Nov 2024 (2y) | |
| Rylen Takao Yamamoto | Registered representative | Nov 2024 (2y) | ||
| Shawna Dawn Christiansen | Registered representative | Nov 2024 (2y) | ||
| Asa Kimo Kajihiro | Registered representative | Nov 2024 (2y) | ||
| Daniel Thomas Dubois | Registered representative | Nov 2024 (2y) | ||
| Michael Lee Dodge | Registered representative | Nov 2024 (2y) | ||
| Ronald Wayne Phillis | Registered representative | Nov 2024 (2y) | ||
| Lan Ji Shaw | Registered representative | CFP | Jan 2025 (2y) | |
| Matthew Steelman | Registered representative | Jan 2025 (2y) | ||
| Debra Franks | Registered representative | Jan 2025 (2y) | ||
| Nune Khachatiran | Registered representative | Jan 2025 (2y) | ||
| David Cox | Registered representative | Jan 2025 (2y) | ||
| Derek Hess | Registered representative | Jan 2025 (2y) | ||
| Livia Benjamin | Registered representative | Jan 2025 (2y) | ||
| Yelena Papiryan | Registered representative | Jan 2025 (2y) | ||
| Francis Joseph Pedace | Registered representative | CFP | Jan 2025 (2y) | |
| Raul Noah Lizalde | Registered representative | Jan 2025 (2y) | ||
| Peter Eliot Gaide | Registered representative | Jan 2025 (2y) | ||
| Brad David Yoder | Registered representative | Jan 2025 (2y) | ||
| Thomas G Mayer | Registered representative | Feb 2025 (1y) | ||
| Dennis James Prout | Registered representative | Feb 2025 (1y) | ||
| Heidi Jane Cartwright | Registered representative | Feb 2025 (1y) | ||
| Nathaniel Prout | Registered representative | Feb 2025 (1y) | ||
| Brian Jeffrey Matthews | Registered representative | CFP | Feb 2025 (1y) | |
| Guy Arnado Nicio | Registered representative | Mar 2025 (1y) | ||
| Brittney Jane Santos | Registered representative | Mar 2025 (1y) | ||
| Martin David Eisenstein | Registered representative | Mar 2025 (1y) | ||
| Eric N Beeler | Registered representative | CFP | Mar 2025 (1y) | |
| Jeffrey K Corey | Registered representative | Mar 2025 (1y) | ||
| Neal M Albritton | Registered representative | Chartered Financial Consultant | Mar 2025 (1y) | |
| Lincoln Ryder Hurney | Registered representative | Apr 2025 (1y) | ||
| Sophia Anne Lizalde | Registered representative | Apr 2025 (1y) | ||
| Zachary Cole | Registered representative | May 2025 (1y) | ||
| Michael T Goddard | Registered representative | CFP | May 2025 (1y) | |
| George Martin Henry | Registered representative | May 2025 (1y) | ||
| Joseph Peter Roberts Jr | Registered representative | Jun 2025 (1y) | ||
| Ashley G Ferretti | Registered representative | Jun 2025 (1y) | ||
| Becky Austin | Registered representative | Jun 2025 (1y) | ||
| Manoj Bains | Registered representative | Jun 2025 (1y) | ||
| Cheryl Guinan | Registered representative | Jul 2025 (1y) | ||
| Kevin Guinan | Registered representative | Jul 2025 (1y) | ||
| Courtney Brown | Registered representative | Jul 2025 (1y) | ||
| Avery E Dwyer | Registered representative | CFP | Jul 2025 (1y) | |
| Matthew Jon Bonsall | Registered representative | Jul 2025 (1y) | ||
| Shaun Wolcott | Registered representative | Aug 2025 (1y) | ||
| Adam Marcellus | Registered representative | Aug 2025 (1y) | ||
| Donita Marie Joseph | Registered representative | Aug 2025 (1y) | ||
| Christian Leroy Schank | Registered representative | Aug 2025 (1y) | ||
| Derek Gibson | Registered representative | Sep 2025 (1y) | ||
| Sara Elizabeth Parrish | Registered representative | Sep 2025 (1y) | ||
| Erwin Reguindin | Registered representative | Sep 2025 (1y) | ||
| Donna Feder | Registered representative | Oct 2025 (1y) | ||
| Bailey O'brien Fielding | Registered representative | Oct 2025 (1y) | ||
| Allison M Wooten | Registered representative | Oct 2025 (1y) | ||
| Jessica Leila Smith | Registered representative | Oct 2025 (1y) | ||
| David Michael Sargent | Registered representative | Nov 2025 (1y) | ||
| Kempland Corbin Walley | Registered representative | Nov 2025 (1y) | ||
| Marquis Richardson | Registered representative | Nov 2025 (1y) | ||
| Melissa Marin | Registered representative | Nov 2025 (1y) | ||
| Matthew Haddock | Registered representative | Nov 2025 (1y) | ||
| Allison Golden Gaines | Registered representative | Nov 2025 (1y) | ||
| Joseph Anthony Fabiano | Registered representative | Nov 2025 (1y) | ||
| Bradford James Underdahl | Registered representative | Nov 2025 (1y) | ||
| Luke Thomas Dubois | Registered representative | Dec 2025 (1y) | ||
| Connor Francis Dolan | Registered representative | Dec 2025 (1y) | ||
| Vincent Michael Esposito | Registered representative | Dec 2025 (1y) | ||
| Patrick Eaker | Registered representative | Dec 2025 (1y) | ||
| Mark Daniel Welsh | Registered representative | Dec 2025 (1y) | ||
| Matthew Michael Nordmann | Registered representative | CFP | Dec 2025 (1y) | |
| Scott David Morrison | Registered representative | Dec 2025 (1y) | ||
| Jordan Keith Huntoon | Registered representative | Dec 2025 (1y) | ||
| Lauren Thompson | Registered representative | CFP | Jan 2026 (1y) | |
| Michael M. Tikoian | Registered representative | Jan 2026 (1y) | ||
| Constance Michelle Walsh | Registered representative | CFP | Jan 2026 (1y) | |
| Gregory P Hill | Registered representative | Jan 2026 (1y) | ||
| Joshua Paul Hill | Registered representative | CFP | Jan 2026 (1y) | |
| James David Norton | Registered representative | Jan 2026 (1y) | ||
| Andrew Robinson | Registered representative | Jan 2026 (1y) | ||
| Leeanne Cardoza | Registered representative | Jan 2026 (1y) | ||
| Angela Musi | Registered representative | Jan 2026 (1y) | ||
| Michele Blazevich Johnson | Registered representative | Jan 2026 (1y) | ||
| Christopher C. Medeiros | Registered representative | Jan 2026 (1y) | ||
| Benjamin James Hodge | Registered representative | Feb 2026 (0y) | ||
| Jake Edward Ellis | Registered representative | Feb 2026 (0y) | ||
| Kimberly Kay Rehmeyer | Registered representative | Feb 2026 (0y) | ||
| Dana Lashbaugh | Registered representative | Feb 2026 (0y) | ||
| Sonya Richelle Ranker | Registered representative | CFP | Mar 2026 (0y) | |
| Katherine Vander Veen | Registered representative | Mar 2026 (0y) | ||
| Taylor Keith Ranker | Registered representative | Mar 2026 (0y) | ||
| William Joseph Tison | Registered representative | Mar 2026 (0y) | ||
| Jason Lewis | Registered representative | Mar 2026 (0y) | ||
| Cody Bartusiak | Registered representative | Mar 2026 (0y) | ||
| Darren Mitchell Levinthal | Registered representative | Mar 2026 (0y) | ||
| Erica Leeann Hinrichs | Registered representative | Mar 2026 (0y) | ||
| Kent Austin Zeidman | Registered representative | Mar 2026 (0y) | ||
| Alexis Hundley | Registered representative | Apr 2026 (0y) | ||
| Charlie Lowenberg | Registered representative | Apr 2026 (0y) | ||
| John Connor Murtagh | Registered representative | CFP | Apr 2026 (0y) | |
| John Anthony Obrock | Registered representative | Apr 2026 (0y) | ||
| John Andre De Carvalho | Registered representative | CFA | Apr 2026 (0y) | |
| Kyle Kosuke Ha'aheo Caouette | Registered representative | CFP CFA | Apr 2026 (0y) | |
| Aaron Tsatskis | Registered representative | Apr 2026 (0y) | ||
| Megan Elizabeth Nielsen | Registered representative | Apr 2026 (0y) | ||
| Michael W Zelko | Registered representative | May 2026 (0y) | ||
| Jason Bevacqua | Registered representative | May 2026 (0y) | ||
| Thomas Kim | Registered representative | May 2026 (0y) | ||
| Courtney Dunnells | Registered representative | CFP | May 2026 (0y) | |
| Kelly Sarson Hudak | Registered representative | CFP | May 2026 (0y) | |
| Kevin Patrick Connors | Registered representative | CFP | May 2026 (0y) | |
| Matthew P Antonellis | Registered representative | CFP | May 2026 (0y) | |
| Robert J Pearl | Registered representative | CFP | May 2026 (0y) | |
| Tia Jay Mc Namara | Registered representative | CFP | May 2026 (0y) | |
| Kristopher Desmarais Morin | Registered representative | May 2026 (0y) | ||
| Christopher Ryan House | Registered representative | May 2026 (0y) | ||
| David Roger Hunt | Registered representative | CFP | May 2026 (0y) | |
| Robert Bryant Hough | Registered representative | CFP | May 2026 (0y) | |
| Beltran Maroto Tobias | Registered representative | May 2026 (0y) | ||
| Marc Aaron Dangora | Registered representative | May 2026 (0y) | ||
| Meghan Cruz | Registered representative | May 2026 (0y) | ||
| Timothy Mc Coole | Registered representative | May 2026 (0y) | ||
| William O Creedon | Registered representative | May 2026 (0y) | ||
| Illya K Syniy | Registered representative | May 2026 (0y) | ||
| Joel Franklin Vlasnik | Registered representative | May 2026 (0y) | ||
| Olivia Marie Mary | Registered representative | Jun 2026 (0y) | ||
| Samuel Christian Landphair Henneke | Registered representative | CFP | Jun 2026 (0y) | |
| Daniel Jackson | Registered representative | Jun 2026 (0y) | ||
| Jessica Elise Storey | Registered representative | Jun 2026 (0y) | ||
| David Eric Appel | Registered representative | Chartered Financial Consultant | Jun 2026 (0y) | |
| Taylor Alexander Nissi | Registered representative | CFP | Jul 2026 (0y) | |
| Benjamin Edward Beech Audley | Registered representative | CFP | Jul 2026 (0y) | |
| Brady Wayne Peat | Registered representative | CFP | Jul 2026 (0y) | |
| Caroline Mulcahy Shoener | Registered representative | CFP | Jul 2026 (0y) | |
| Gregory Ronald Bogdan | Registered representative | CFP | Jul 2026 (0y) | |
| Mary Elizabeth Mclean | Registered representative | CFP | Jul 2026 (0y) | |
| Samuel Albert Awad | Registered representative | CFP | Jul 2026 (0y) | |
| James M. Mccann | Registered representative | CFP | Jul 2026 (0y) | |
| Ryan Conant | Registered representative | Jul 2026 (0y) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
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 (10)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Viserion Grain, Llc 401(k) Plan | Viserion Grain, Llc | 0 | $0 | 01/01/2025 |
| North Florida Women's Care, P.A. Retirement Plan | North Florida Women's Care, P.A. | 79 | $13.1M | 01/01/2024 |
| Automated Financial Systems, Inc. 401(k) Salary Reduction Plan | Automated Financial Systems, Inc. | 285 | $85.1M | 01/01/2024 |
| Peninsula Community Health Services 403(b) Plan | Peninsula Community Health Services | 278 | $12.3M | 01/01/2024 |
| Teamworks Innovations, Inc. 401(k) Plan | Teamworks Innovations, Inc. | 368 | $15.8M | 01/01/2024 |
| Menemsha Development Group 401(k) Profit Sharing Plan | Menemsha Development Group | 123 | $11.4M | 01/01/2024 |
| Litmangerson Associates, Llp Salary Reduction Plan | Litmangerson Associates, Llp Salary Reduction Plan | 146 | $20.3M | 01/01/2024 |
| The L.C. Doane Company 401(k) Savings And Retirement Plan | L.C. Doane Company | 103 | $9.1M | 01/01/2024 |
| Tactical Engineering & Analysis, Inc. 401(k) Plan | Tactical Engineering & Analysis, Inc. | 206 | $34.8M | 01/01/2024 |
| Pavement Recycling Systems, Inc. 401(k) Profit Sharing Plan | Prs Holdings, Inc. | 586 | $22.3M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 06/16/2026 | 1.96 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
- • Pension consulting services
- • Selection of other advisers
- • Educational seminars/workshops
Custody
Reported custodians
- LPL Financial $8.3B (44% of AUM) Jun 2026
- National Financial Services (Fidelity) $6.3B (33% of AUM) Jun 2026
- Charles Schwab & Co. $4.4B (23% of AUM) Jun 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 27, 2026.
View current Form ADV (SEC/IAPD) ↗