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Overview

Articles

Insights

There are no insights from this firm to display at this time.

Holdings

ETF Holdings

There is no ETF holding data from this firm to display at this time.

Assets

Assets

Last updated on May 15, 2019
    • $289.7B
      Total Assets Under Management
    • N/A
      Total Assets Under Advisement
    • 19K
      Accounts
    • $15.1M
      Estimated Average Account Balance

Services

Firm Services

There is no Services data available to display at this time.

Firm Client types

There is no client type data to display at this time.

Advisors

Current Advisors

# of advisors

293

name start date
Steve D. Wilt, CIMA
April 2015
Nathan J. Bopp, MBA, AIF®, CFP®
May 2019
Robert Charles Auditore
April 2015
Mario Christopher Giganti
May 2019
Mark A. Davis, QPFC
April 2015

    Affiliated Investment Advisors and Broker Dealers

    Name Type Total Assets
    Capfinancial Securities, LLC. Broker-Dealer $116,235,182,347
    Cornerstone Capital Advisors IAR $32,318,930
    Excelsior Management, LLC -- --
    Excelsior Opportunity Management, LLC -- --
    Knox Capital Insurance, LLC -- --
    Knox Opportunity Management, LLC -- --
    Knox Prime Management, LLC -- --
    Mcqueen, Ball & Associates Inc. IAR $1,218,567,335
    Pensionmark Financial Group, LLC IAR $18,441,771,035
    Pensionmark Securities, LLC Broker-Dealer --
    S.M. Kimball & Associates, Inc. -- --

      Leadership

      Ownership

      There is no ownership data available to display at this time.

      Executives and Control Persons

      Name Title Tenure Date % Ownership
      Kevin Daniel Barry Chief Investment Officer, Consulting Research Group April, 2017 less than 5%
      Scott Thomas Matheson Managing Director, Consulting Solutions Group April, 2017 less than 5%
      John Edmund Russell Appleby Managing Director, Project Mgt & Acquisitions/Crop/Srop December, 2009 less than 5%
      Michael David Strother Senior Director, Advisor Support Group July, 2013 less than 5%
      Bonnie Annette Mccullough Chief Financial Officer/Senior Director February, 2012 less than 5%
      Derick Don Shoff Managing Director, Advisor Support Group December, 2009 less than 5%
      Denise Mcgee Buchanan Chief Compliance Officer/Senior Director December, 2009 less than 5%
      Benjamin Stuart Goldstein Chief Operations Officer, Head Of Business Operations Group April, 2010 less than 5%
      Wilson Smith Hoyle Managing Director, Head Of Advisor Support Group December, 2009 less than 5%
      James Fielding Miller Chief Executive Officer February, 2003 less than 5%
        Source: SEC

        Fees

        Types of Compensation Arrangements

        • Percentage Of Assets
        • Hourly Charges
        • Fixed Fees
        • Performance-Based Fees