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 HIGHWAY4TH. FLOOR, SUITE 420E
HOLBROOK
NY
United States
Monday - Friday, 9AM TO 5PM
Tel: 631-439-4600 X156, Fax: 631-439-4659
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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
M*****@*********************M
(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
J*********@********M
(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% |