AMERICAN PORTFOLIOS ADVISORS, INC

AMERICAN PORTFOLIOS ADVISORS. INC Legal Name

Adviser information for AMERICAN PORTFOLIOS ADVISORS, INC last updated from Form ADV on March 27th, 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 Delaware, United States

Employees

Total Number of Employees 700
Investment Advisory/Research 600
Registered Broker-Dealer Representatives 532
Registered State Investment Advisers 533
Licensed Agents of an Insurance Company 458
No. of Firms/People that Solicit Clients 18

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 41,244 $9.5B
Non-Discretionary 13,309 $3.6B
Total 54,553 $13.1B

Clients

Type Number RAUM
Individuals 25,477 $5.1B
HNW Individuals 9,053 $7.1B
Banking or thrift institutions 0 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 0 $0
Pension and profit sharing plans 275 $263.7M
Charitable organizations 104 $403.7M
State or municipal gov entities 0 $0
Other investment advisers 0 $0
Insurance companies 0 $0
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses 229 $245.7M
Other 0 $0
Type Number
No. of Non-RAUM Clients 100
No. of Non-U.S. Clients 1
No. of Financial Planning Clients 51-100

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)Publication of periodicals or newslettersEducational seminars/workshops
Compensation % of AUMHourly chargesFixed fees

Identifiers

SEC RIA File Number 801-61065
SEC ERA File Number 801-61065
SEC CIK Numbers None
SEC CRD Numbers 112697
Legal Entity Identifier None

Principal Office

4250 VETERAN'S MEMORIAL HIGHWAY
4TH. FLOOR, SUITE 420E
HOLBROOK
NY
United States
Monday - Friday, 9AM TO 5PM
Tel: 631-439-4600 X156, Fax: 631-439-4659

Websites

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Chief Compliance Officer

MICHAELA MYERS
4250 VETERANS MEMORIAL HIGHWAY
SUITE 420E
HOLBROOK,
NY
United States
Tel: 631-439-4600
Fax: 631-439-4659
(Full email address available in API data)

Regulatory Contact

JASON GERB
SVP, CHIEF REGULATORY OFFICER AND BROKER DEALER CHIEF COMPLIANCE OFFICER
10 EXCHANGE PLACE
SUITE 1410
JERSEY CITY
NJ
United States
Tel: 551-238-7622
(Full email address available in API data)

Industry Affiliates

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
FSC SECURITIES CORPORATION Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersInsurance company or agency
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 SERVICES, 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
WOODBURY FINANCIAL SERVICES, INC. Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersInsurance company or agency

Private Funds

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

Control Persons

Name Type Entity Title Since Ownership
DOLBER, LON, TERRY Individual CHIEF EXECUTIVE OFFICER 01/2015 < 5%
AMERICAN PORTFOLIOS HOLDINGS, INC Domestic Entity OWNER 04/2001 > 75%
GORDON, GARY, BRUCE Individual PRESIDENT 01/2015 < 5%
DOLBERGRAPPONE, MELISSA, ANN Individual VICE PRESIDENT OF MARKETING & CORPORATE COMMUNICATIONS 01/2015 < 5%
JOYNER, DAMON, BRADLEY Individual CHIEF FINANCIAL OFFICER 01/2017 < 5%
PRICE, JAMES, DALE Individual CHAIRMAN 10/2022 < 5%
SCHLUETER, MATTHEW, ADAM Individual EXECUTIVE VICE PRESIDENT 10/2022 < 5%
MCKENNA, NINA Individual ASSISTANT SECRETARY 10/2022 < 5%
SEIFFERT, SCOTT, ROBERT Individual CHIEF ACCOUNTING OFFICER 10/2022 < 5%
HENIG, ABBY Individual ASSISTANT SECRETARY 10/2022 < 5%
SCHMIDT, DAVID, ANDREW Individual TREASURER 10/2022 < 5%
OSAIC HOLDINGS, INC Domestic Entity AMERICAN PORTFOLIOS HOLDINGS, INC SHAREHOLDER 11/2022 > 75%
AG PARENT CORPORATION Domestic Entity OSAIC HOLDINGS, INC SHAREHOLDER 08/2019 > 75%
LADENBURG THALMANN FINANCIAL SERVICES LLC Domestic Entity AG PARENT CORPORATION SHAREHOLDER 05/2020 > 75%
AG INTERMEDIATE CORP Domestic Entity LADENBURG THALMANN FINANCIAL SERVICES LLC SHAREHOLDER 05/2020 > 75%
AG ARTEMIS HOLDINGS, L.P. Domestic Entity AG INTERMEDIATE CORP SHAREHOLDER 08/2019 > 75%
MYERS, MICHAELA, DALE Individual CCO 10/2023 < 5%

No. Employees, Historic

700350020202021202220232024202555 on 3/31/202055 on 6/8/202055 on 3/31/202155 on 8/24/202155 on 9/24/2021620 on 3/31/2022620 on 4/12/2022620 on 4/29/2022620 on 12/1/2022620 on 12/2/2022610 on 3/6/2023610 on 3/30/2023610 on 7/19/2023610 on 7/21/2023610 on 10/20/2023610 on 12/5/2023610 on 1/12/2024610 on 2/1/2024610 on 3/14/2024700 on 3/15/2024700 on 3/25/2024700 on 3/27/2024700 on 3/27/2024

RAUM, Historic

20B10B02020202120222023202420258223900000 on 3/31/20208223900000 on 6/8/202010461360000 on 3/31/202110461360000 on 8/24/202110461360000 on 9/24/202110214290000 on 3/31/202210214290000 on 4/12/202210214290000 on 4/29/202210214290000 on 12/1/202210214290000 on 12/2/20228397016000 on 3/6/20238397016000 on 3/30/20238397016000 on 7/19/20238397016000 on 7/21/20238397016000 on 10/20/20238397016000 on 12/5/20238397016000 on 1/12/20248397016000 on 2/1/20248397016000 on 3/14/202413083636201 on 3/15/202413083636201 on 3/25/202413083636201 on 3/27/202413083636201 on 3/27/2024

No. Clients, Historic

50,00025,000020202021202220232024202528543 on 3/31/202028543 on 6/8/202041049 on 3/31/202141049 on 8/24/202141049 on 9/24/202139427 on 3/31/202239427 on 4/12/202239427 on 4/29/202239427 on 12/1/202239427 on 12/2/202238533 on 3/6/202338533 on 3/30/202338533 on 7/19/202338533 on 7/21/202338533 on 10/20/202338533 on 12/5/202338533 on 1/12/202438533 on 2/1/202438533 on 3/14/202435138 on 3/15/202435138 on 3/25/202435138 on 3/27/202435138 on 3/27/2024