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. |
Principal Office
7755 3RD STREET NORTHOAKDALE
MN
United States
Monday - Friday, 8:00 A.M. - 5:00 P.M. CENTRAL TIME
Tel: 800-800-2638, Fax: None
Websites
www.jeffkroppfinancialadvisor.com/
www.mattkasa.com/
www.willisfinancialsolutions.com/
www.jameshouseholder.com/
www.chanwealth.com/
www.creativefinancialgroup.org
www.wrbfinancial.com/
www.hallfinancialgroupllc.com/
www.cohofinancialgroup.com
www.promarkplanners.com/
www.dreamplanenjoy.com
www.harveywm.com/
www.sberry.yournextphase.com/
www.woodburycda.com
www.forward.bank/investments/
www.strategicretirementservices.com
www.personalwealthstrategies.com/
www.encorewealthpartners.com
www.pim.capital
www.rcbfg.com/
www.wfpartners.com/
www.strategiclegacyadvisors.com
www.mgklife.com
www.blackfinancialservices.com
www.realwealthmedia.com/servicewm
www.pvwealthmanagement.com/
www.preservationfinancial.com
www.keeneinsight.net/
www.oakfieldwm.com/
www.periclesfinancial.com/
www.fortknoxonline.com
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www.realwealthmedia.com/jamesmoff/
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www.dotyfs.com/
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www.carlson-financial.net
www.ethoswealthplanning.com
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www.insureinvestretire.com/
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www.anchor.financial
www.chrisbrickheimer.com/
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www.sterkfinancialservices.com/
www.kaiserfinancial.net/
www.llonski.com
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www.southwestwealth.com/
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esmailfinancial.net/
www.krvariccapital.com/
www.wmgllc.net/
www.starkmillerfbg.com/
www.northernresourcegroup.d.leadmachine.website/
www.ptbusinesssolutions.com/
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woodmenfinancial.org/
www.legacyafs.com
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www.mikeryanfinancial.com/
www.dannydahlfinancial.com
www.marycgalvin.com/
www.davidlesnick.com/
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www.moffandassociates.com
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www.chapmanfinancialpartners.com/
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www.jagrawalfinancialgroup.com/
www.leefinancialpartners.com
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www.russellinvestmentadvisors.com
www.tmsmoney.com/
www.ckcwealth.com/
www.mikemartin.info
www.stellar.financial
www.marino-mccash.com/
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www.investadastra.com
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www.401koutcomes.com/
www.cobblestonefinancialservices.com
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www.bankwest-sd.com/wealth.htm
www.lbaird.yournextphase.com/np2019/homepage.jsp
www.bobjavensfinancialadvisor.com
www.realwealthmedia.com/stevendaniel/
www.mhall.yournextphase.com/np2019/homepage.jsp
www.trubank.bank/focus-investments/
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www.ralphvallen.com
www.realwealthmedia.com/promarkplanners
www.sterlingstate.bank/investments/investments.htmlhttps://www.forward.bank/investments/
www.chasefs.com/
www.focuspointwm.com
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www.yoursherpas.com
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www.krussinvestments.com/
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www.craigwealthmanagement.com/
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www.stevengildar.com
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www.janssenaccounting.com/
www.ralphwaller.com/
www.hibbardfinancial.com/
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bradleypalmersheim.us1.advisor.ws/
Chief Compliance Officer
IRYNA NORTHRIP
CHIEF COMPLIANCE OFFICER - IA
20 THOMAS STREET
#2000
PHOENIX
AZ
United States
Tel:
901-302-6885
I*************@********M
(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
M************@********M
(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% |