WOODBURY FINANCIAL SERVICES, INC.

Adviser information for WOODBURY FINANCIAL SERVICES, INC. last updated from Form ADV on January 19th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

Type of Organization Corporation
Fiscal Year End DECEMBER
Legal Location Minnesota, United States

Employees

Total Number of Employees 3002
Investment Advisory/Research 1373
Registered Broker-Dealer Representatives 1844
Registered State Investment Advisers 1872
Licensed Agents of an Insurance Company 1180
No. of Firms/People that Solicit Clients 14

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 91,562 $16.2B
Non-Discretionary 10,388 $3.0B
Total 101,950 $19.3B

Clients

Type Number RAUM
Individuals 62,216 $11.3B
HNW Individuals 7,424 $7.2B
Banking or thrift institutions <5 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 0 $0
Pension and profit sharing plans 121 $88.9M
Charitable organizations 184 $119.8M
State or municipal gov entities <5 $0
Other investment advisers <5 $0
Insurance companies <5 $0
Sovereign wealth funds and foreign official institutions <5 $0
Corporations or other businesses 424 $525.7M
Other 0 $0
Type Number
No. of Non-RAUM Clients 14259
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 1000

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)Educational seminars/workshops
Compensation % of AUMHourly chargesFixed fees
Other Business Activities Broker-dealerInsurance broker or agent

Wrap Fee Program

Offers Wrap Fee Program Yes
Acting As RAUM
Sponsor 0
Portfolio Manager 13.9B
Both for Same 0
Portfolio Manager to Program Sponsor
ADVISOR MANAGED PORTFOLIOS VISION2020 WEALTH MANAGEMENT CORP.

Identifiers

SEC RIA File Number 801-54905
SEC ERA File Number 801-54905
SEC CIK Numbers 225478
SEC CRD Numbers 421
Legal Entity Identifier None

Principal Office

7755 3RD STREET NORTH
OAKDALE
MN
United States
Monday - Friday, 8:00 A.M. - 5:00 P.M. CENTRAL TIME
Tel: 800-800-2638, Fax: None

Websites

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Chief Compliance Officer

IRYNA NORTHRIP
CHIEF COMPLIANCE OFFICER - IA
20 THOMAS STREET
#2000
PHOENIX
AZ
United States
Tel: 901-302-6885
(Full email address available in API data)

Regulatory Contact

MARY WIDMAYER
COMPLIANCE OFFICER - IA
877 EXECUTIVE CENTER DRIVE WEST
300
ST PETERSBURG
FL
United States
Tel: 212-551-5105
(Full email address available in API data)

Industry Affiliates

AMERICAN PORTFOLIOS ADVISORS, INC Other investment adviser, including financial planners
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC. Broker-dealer, municipal securities dealer, or gov securities broker or dealer
ARBOR POINT ADVISORS Other investment adviser, including financial planners
BLACK DIAMOND FINANCIAL, LLC Other investment adviser, including financial planners
HIGHLAND CAPITAL BROKERAGE Insurance company or agency
LADENBURG THALMANN & CO. INC. Broker-dealer, municipal securities dealer, or gov securities broker or dealer
LADENBURG THALMANN ASSET MANAGEMENT INC Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles
OSAIC INSTITUTIONS, INC. Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersInsurance company or agency
OSAIC WEALTH, INC. Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersInsurance company or agency
PREMIER TRUST, INC. Trust company
SECURITIES AMERICA ADVISORS, INC. Other investment adviser, including financial plannersInsurance company or agencyPension consultant
SECURITIES AMERICA, INC. Broker-dealer, municipal securities dealer, or gov securities broker or dealerInsurance company or agency
TRIAD ADVISORS, LLC Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersInsurance company or agency
TRIAD HYBRID SOLUTIONS Other investment adviser, including financial planners
VISION2020 WEALTH MANAGEMENT CORP. Other investment adviser, including financial planners

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
FERGESEN, RICHARD DAVID Individual CEO, PRESIDENT, DIRECTOR 03/2014 < 5%
OSAIC, INC. Domestic Entity SHAREHOLDER 11/2012 > 75%
OSAIC HOLDINGS, INC. Domestic Entity OSAIC, INC. SHAREHOLDER 05/2016 > 75%
SCHMIDT, DAVID MARTIN Individual TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL 03/2017 < 5%
SCHLUETER, MATTHEW ADAM Individual EXECUTIVE VICE PRESIDENT, DIRECTOR 03/2019 < 5%
PRICE, JAMES DALE Individual CHAIRMAN 11/2016 < 5%
AG PARENT CORPORATION Domestic Entity OSAIC HOLDINGS, INC SHAREHOLDER 08/2019 > 75%
AG INTERMEDIATE CORPORATION Domestic Entity OSAIC FINANCIAL SERVICES, INC. SHAREHOLDER 05/2020 > 75%
AG ARTEMIS HOLDINGS, L.P. Domestic Entity AG INTERMEDIATE CORPORATION SHAREHOLDER 08/2019 > 75%
RCP ARTEMIS CO-INVEST, L.P. Foreign Entity AG ARTEMIS HOLDINGS, L.P. LIMITED PARTNER 08/2019 50-75%
RCP ARTEMIS CO-INVEST GP LLC Domestic Entity RCP ARTEMIS CO-INVEST, L.P. GENERAL PARTNER 05/2019
AG ARTEMIS HOLDINGS GP, LLC Domestic Entity AG ARTEMIS HOLDINGS, L.P. GENERAL PARTNER 05/2019
RCP GENPAR LP Domestic Entity RCP OPP FUND II GP, LP LIMITED PARTNER 01/2018 > 75%
BERLINSKI, MILTON RALPH Individual RCP GENPAR LP GENERAL PARTNER 08/2014
RCP GENPAR HOLDCO LLC Domestic Entity RCP GENPAR LP LIMITED PARTNER 08/2014 > 75%
BERLINSKI, MILTON RALPH Individual RCP GENPAR HOLDCO LLC MEMBER 08/2014 25-50%
MRB ICBC LLC Domestic Entity RCP GENPAR HOLDCO LLC MEMBER 08/2014 25-50%
BERLINSKI, MILTON RALPH Individual MRB ICBC LLC INVESTMENT MANAGER 08/2014
THE BERLINSKI FAMILY 2006 TRUST Domestic Entity MRB ICBC LLC MEMBER 08/2014 > 75%
BERLINSKI, MILTON RALPH Individual THE BERLINSKI FAMILY 2006 TRUST TRUSTEE 06/2006 25-50%
RCP OPP FUND II GP, LP Domestic Entity RCP ARTEMIS CO-INVEST GP, LLC LIMITED PARTNER 01/2018 > 75%
OSAIC FINANCIAL SERVICES, INC. Domestic Entity AG PARENT CORPORATION SHAREHOLDER 05/2020 > 75%
CORNICK, GREGORY ALLEN Individual DIRECTOR 01/2021 < 5%
GERB, JASON Individual SVP, CHIEF REGULATORY OFFICER 06/2022 < 5%
NORTHRIP, IRYNA YAKOVLEVNA Individual SVP, CHIEF COMPLIANCE OFFICER, 08/2023 < 5%
COONEY, JOHN MICHAEL Individual SVP, CHIEF COMPLIANCE OFFICER 09/2023 < 5%
HODGE, TIMOTHY ROBERT Individual CHIEF OPERATIONS OFFICER 11/2023 < 5%

No. Employees, Historic

4,0002,000020192020202120222023202420251925 on 4/2/20191925 on 4/26/20191925 on 5/30/20191925 on 5/31/20191925 on 6/14/20191925 on 6/28/20191925 on 7/29/20191925 on 8/23/20191925 on 8/30/20191925 on 9/30/20191925 on 10/30/20191925 on 11/29/20191925 on 12/20/20191925 on 12/23/20191925 on 1/27/20201925 on 2/7/20201925 on 2/27/20201925 on 3/13/20201925 on 3/26/20202257 on 3/30/20202257 on 4/29/20202257 on 5/29/20202257 on 6/15/20202257 on 6/26/20202257 on 6/30/20202257 on 7/29/20202257 on 8/14/20202257 on 8/31/20202257 on 9/25/20202257 on 10/16/20202257 on 10/30/20202257 on 11/27/20202257 on 12/4/20202257 on 12/18/20202257 on 1/4/20212257 on 1/5/20212257 on 2/2/20212257 on 2/24/20213008 on 3/30/20213008 on 4/21/20213008 on 5/14/20213008 on 6/18/20213008 on 6/28/20213008 on 7/19/20213008 on 8/3/20213008 on 8/9/20213008 on 9/16/20213008 on 10/13/20213008 on 11/10/20213008 on 12/17/20213008 on 1/3/20223008 on 1/24/20223008 on 2/8/20223008 on 3/7/20223216 on 3/31/20223216 on 4/18/20223216 on 5/5/20223216 on 5/17/20223216 on 6/22/20223216 on 7/22/20223216 on 8/22/20223216 on 9/29/20223216 on 10/28/20223216 on 11/1/20223216 on 11/28/20223216 on 12/5/20223216 on 12/9/20223216 on 2/3/20233216 on 3/13/20233216 on 3/28/20233216 on 3/28/20233002 on 4/3/20233002 on 4/19/20233002 on 4/25/20233002 on 5/12/20233002 on 6/20/20233002 on 7/17/20233002 on 7/21/20233002 on 8/10/20233002 on 8/17/20233002 on 8/21/20233002 on 9/18/20233002 on 10/12/20233002 on 10/27/20233002 on 11/10/20233002 on 11/10/20233002 on 11/14/20233002 on 12/13/20233002 on 12/21/20233002 on 1/19/2024

RAUM, Historic

30B15B020192020202120222023202420257631833044 on 4/2/20197631833044 on 4/26/20197631833044 on 5/30/20197631833044 on 5/31/20197631833044 on 6/14/20197631833044 on 6/28/20197631833044 on 7/29/20197631833044 on 8/23/20197631833044 on 8/30/20197631833044 on 9/30/20197631833044 on 10/30/20197631833044 on 11/29/20197631833044 on 12/20/20197631833044 on 12/23/20197631833044 on 1/27/20207631833044 on 2/7/20207631833044 on 2/27/20207631833044 on 3/13/20207631833044 on 3/26/202011614931037 on 3/30/202011614931037 on 4/29/202011614931037 on 5/29/202011614931037 on 6/15/202011614931037 on 6/26/202011614931037 on 6/30/202011614931037 on 7/29/202011614931037 on 8/14/202011614931037 on 8/31/202011614931037 on 9/25/202011614931037 on 10/16/202011614931037 on 10/30/202011614931037 on 11/27/202011614931037 on 12/4/202011614931037 on 12/18/202011614931037 on 1/4/202111614931037 on 1/5/202111614931037 on 2/2/202111614931037 on 2/24/202115588360622 on 3/30/202115588360622 on 4/21/202115588360622 on 5/14/202115588360622 on 6/18/202115588360622 on 6/28/202115588360622 on 7/19/202115588360622 on 8/3/202115588360622 on 8/9/202115588360622 on 9/16/202115588360622 on 10/13/202115588360622 on 11/10/202115588360622 on 12/17/202115588360622 on 1/3/202215588360622 on 1/24/202215588360622 on 2/8/202215588360622 on 3/7/202221344571679 on 3/31/202221344571679 on 4/18/202221344571679 on 5/5/202221344571679 on 5/17/202221344571679 on 6/22/202221344571679 on 7/22/202221344571679 on 8/22/202221344571679 on 9/29/202221344571679 on 10/28/202221344571679 on 11/1/202221344571679 on 11/28/202221344571679 on 12/5/202221344571679 on 12/9/202221344571679 on 2/3/202321344571679 on 3/13/202321344571679 on 3/28/202321344571679 on 3/28/202319278448046 on 4/3/202319278448046 on 4/19/202319278448046 on 4/25/202319278448046 on 5/12/202319278448046 on 6/20/202319278448046 on 7/17/202319278448046 on 7/21/202319278448046 on 8/10/202319278448046 on 8/17/202319278448046 on 8/21/202319278448046 on 9/18/202319278448046 on 10/12/202319278448046 on 10/27/202319278448046 on 11/10/202319278448046 on 11/10/202319278448046 on 11/14/202319278448046 on 12/13/202319278448046 on 12/21/202319278448046 on 1/19/2024

No. Clients, Historic

80,00040,0000201920202021202220232024202534567 on 4/2/201934567 on 4/26/201934567 on 5/30/201934567 on 5/31/201934567 on 6/14/201934567 on 6/28/201934567 on 7/29/201934567 on 8/23/201934567 on 8/30/201934567 on 9/30/201934567 on 10/30/201934567 on 11/29/201934567 on 12/20/201934567 on 12/23/201934567 on 1/27/202034567 on 2/7/202034567 on 2/27/202034567 on 3/13/202034567 on 3/26/202043289 on 3/30/202043289 on 4/29/202043289 on 5/29/202043289 on 6/15/202043289 on 6/26/202043289 on 6/30/202043289 on 7/29/202043289 on 8/14/202043289 on 8/31/202043289 on 9/25/202043289 on 10/16/202043289 on 10/30/202043289 on 11/27/202043289 on 12/4/202043289 on 12/18/202043289 on 1/4/202143289 on 1/5/202143289 on 2/2/202143289 on 2/24/202151727 on 3/30/202151727 on 4/21/202151727 on 5/14/202151727 on 6/18/202151727 on 6/28/202151727 on 7/19/202151727 on 8/3/202151727 on 8/9/202151727 on 9/16/202151727 on 10/13/202151727 on 11/10/202151727 on 12/17/202151727 on 1/3/202251727 on 1/24/202251727 on 2/8/202251727 on 3/7/202264025 on 3/31/202264025 on 4/18/202264025 on 5/5/202264025 on 5/17/202264025 on 6/22/202264025 on 7/22/202264025 on 8/22/202264025 on 9/29/202264025 on 10/28/202264025 on 11/1/202264025 on 11/28/202264025 on 12/5/202264025 on 12/9/202264025 on 2/3/202364025 on 3/13/202364025 on 3/28/202364025 on 3/28/202370369 on 4/3/202370369 on 4/19/202370369 on 4/25/202370369 on 5/12/202370369 on 6/20/202370369 on 7/17/202370369 on 7/21/202370369 on 8/10/202370369 on 8/17/202370369 on 8/21/202370369 on 9/18/202370369 on 10/12/202370369 on 10/27/202370369 on 11/10/202370369 on 11/10/202370369 on 11/14/202370369 on 12/13/202370369 on 12/21/202370369 on 1/19/2024