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ETF Holdings

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Last updated on April 2, 2020
    • $13.0B
      Total Assets Under Management
    • N/A
      Total Assets Under Advisement
    • 169K
    • $76.9K
      Estimated Average Account Balance


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.


Current Advisors

# of advisors


name start date
Jeffrey Allen Bogart
August 2010
Emily M Sutherland
July 2017
Stephen Laurence Bruss
July 2002
Edward Henry O'Donoghue
April 2012
Michael Philip Jordan
January 2017

    Affiliated Investment Advisors and Broker Dealers

    Name Type Total Assets
    Beacon Financial Advisory LLC IAR $453,917,867
    Capital Advisors, Ltd., LLC IAR $701,597,454
    Capital Analysts IAR $5,672,925,844
    Elliott Cove Capital Management IAR $189,753,435
    Jeffrey A Bogart Investment Advisor IAR $19,521,330
    K2 Financial Inc. IAR $0
    Shepherd Financial Investment Advisory LLC IAR $1,699,963,103
    Shore Morgan Young Wealth Strategies IAR $304,259,982
    Strategic Asset Management Group Advisors IAR $267,826,541
    William Roane Skeeters, Inc. IAR $14,519,999
    Wilson Investment Advisory Services, LLC IAR $37,121,587



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

      Executives and Control Persons

      Name Title Tenure Date % Ownership
      Shashi Mehrotra Sr Vice-President, Chief Investment Strategist October, 2019 less than 5%
      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


        Types of Compensation Arrangements

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