Back to top

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 June 5, 2019
    • $9.0B
      Total Assets Under Management
    • N/A
      Total Assets Under Advisement
    • 139K
      Accounts
    • $65.0K
      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

1,448

name start date
Jeffrey Allen Bogart
August 2010
Anne Ahl Werth
June 2011
Raymond Frederick Downs
June 2012
Greg Howard Sokolow
March 2016
Robert Alan May
December 2017

    Affiliated Investment Advisors and Broker Dealers

    Name Type Total Assets
    Capital Advisors, Ltd., LLC IAR $701,597,454
    Capital Analysts IAR $4,400,630,164
    Elliott Cove Capital Management IAR $189,753,435
    Jeffrey A Bogart Investment Advisor IAR $19,521,330
    Legend Advisory, LLC -- --
    Mariner Wealth Advisors IAR $0
    Shepherd Financial Investment Advisory LLC IAR $989,490,456
    Strategic Asset Management Group Advisors IAR $234,426,237
    William Roane Skeeters, Inc. IAR $1,369,646
    Wilson Investment Advisory Services, LLC IAR $31,035,930

      Leadership

      Ownership

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

      Executives and Control Persons

      Name Title Tenure Date % Ownership
      Raymond Paul Iii Shivers Sr Vice-President, Operations And Technology / Chief Operating Officer January, 2019 less than 5%
      Vellore Gururaja Rao Vp, Technology January, 2019 less than 5%
      Christopher Thomas Kelm Vp, Operations/Principal Operations Officer January, 2019 less than 5%
      Diane Mulherrin Mccarthy Sr Vice-President/Chief Financial Officer/Principal Financial Officer September, 2018 less than 5%
      Debra Ann Patterson Secretary December, 2016 less than 5%
      Steven Neil Flax Sr Vice-President, Human Resources January, 2012 less than 5%
      Edward Samuel Jr Forst Elected Manager/President/Ceo August, 2015 less than 5%
      Karen Dougherty Bura Assistant Treasurer November, 2014 less than 5%
      Denis Neil Houser Sr Vice-President, Business Development For Capital Analysts June, 2012 less than 5%
      John Dennis Schu Sr Vice-President, Branch Development July, 1997 less than 5%
      Deirdre Broderick Koerick Sr Vice-President, Chief Compliance Officer April, 2000 less than 5%
        Source: SEC

        Fees

        Types of Compensation Arrangements

        • Percentage Of Assets
        • Hourly Charges
        • Fixed Fees
        • Commissions