ARBOR POINT ADVISORS
ARBOR POINT ADVISORS, LLC Legal Name
Adviser information for ARBOR POINT ADVISORS last updated from Form ADV on March 28th, 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Nebraska, United States |
Employees
| Total Number of Employees | 2643 |
|---|---|
| Investment Advisory/Research | 208 |
| Registered Broker-Dealer Representatives | 839 |
| Registered State Investment Advisers | 453 |
| Licensed Agents of an Insurance Company | 101 |
| No. of Firms/People that Solicit Clients | 2 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 28,010 | $6.9B |
| Non-Discretionary | 0 | $0 |
| Total | 28,010 | $6.9B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 15,511 | $3.3B |
| HNW Individuals | 1,564 | $3.4B |
| 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 | 114 | $51.4M |
| Charitable organizations | 6 | $3.3M |
| 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 | 147 | $148.2M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 81 |
| No. of Non-U.S. Clients | 0 |
| 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)Educational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 6.7B |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| ASSET MANAGEMENT SERVICES PROGRAM | ARBOR POINT ADVISORS |
Principal Office
12325 PORT GRACE BLVD.LAVISTA
NE
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: 888-777-1992, Fax: 402-384-7575
Websites
www.riverrockwealth.com/
www.pinnacleascentwealth.com/
www.diamondbackfinancialservices.com/
www.syntegrapwg.net/
www.gleasonfinancialgroup.com/
www.theohagangroup.net/
www.rdfintax.com/
www.sumnerfg
www.heritagepwm.com/
www.fullcirclewm.com/
www.piersonfg.com/
www.freedompoint.net/
www.pillarfp.com/
www.nwretire.com/
www.warnkefinancial.com/
www.creativefinpartners.com/
www.stormfischer.com/
www.jgraeff.yournextphase
www.bluecollaradvisors.com/
www.cvachfinancial.com/
www.gottierinvestments.com/
www.armstrongfinancialpartners.com/
www.onmarkam.com/
www.cafinancialservices.com/
www.delmarvafinancialgroup.com/team
www.koleyfinancial.com/
www.aeonwealth.com/
www.koradecpa.com/
www.jeffbjurstrom.com/
www.aileronwm.com/
www.mi4na1kteam
www.fsnebraska.com/
Chief Compliance Officer
IRYNA NORTHRIP
CHIEF COMPLIANCE OFFICER - IA
20 E THOMAS ROAD
SUITE 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 |
| 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 planners |
| OSAIC ADVISORY SERVICES, LLC | Other investment adviser, including financial planners |
| 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 dealer |
| 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 planners |
| 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 |
| 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 |
|---|---|---|---|---|---|
| AG PARENT CORP. | Domestic Entity | OSAIC HOLDINGS, INC. | SHAREHOLDER | 08/2019 | > 75% |
| SECURITIES AMERICA FINANCIAL CORPORATION | Domestic Entity | – | MEMBER | 07/2012 | > 75% |
| OSAIC FINANCIAL SERVICES, INC. | Domestic Entity | AG PARENT CORP. | SHAREHOLDER | 05/2020 | > 75% |
| OSAIC HOLDINGS, INC. | Domestic Entity | SECURITIES AMERICA FINANCIAL CORPORATION | SHAREHOLDER | 05/2020 | > 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. | Domestic Entity | AG ARTEMIS HOLDINGS, L.P. | LIMITED PARTNER | 08/2019 | 50-75% |
| SCHLUETER, MATTHEW, ADAM | Individual | – | EXECUTIVE VICE PRESIDENT | 02/2020 | < 5% |
| RCP ARTEMIS CO-INVEST GP LLC | Domestic Entity | AG ARTEMIS HOLDINGS, L.P. | GENERAL PARTNER | 05/2019 | 50-75% |
| AG ARTEMIS HOLDINGS GP LLC | Domestic Entity | AG ARTEMIS HOLDINGS, L.P. | GENERAL PARTNER | 05/2019 | |
| RCP OPP FUND II GP, LP | Domestic Entity | RCP ARTEMIS CO-INVEST GP LLC | LIMITED PARTNER | 01/2018 | > 75% |
| RCP GENPAR LP | Domestic Entity | RCP OPP FUND II GP, LP | SHAREHOLDER | 01/2018 | > 75% |
| RCP GENPAR HOLDCO, LLC | Domestic Entity | RCP GENPAR LP | LIMITED PARTNER | 08/2014 | > 75% |
| MRB ICB LLC | Domestic Entity | RCP GENPAR HOLDCO, LLC | MEMBER | 08/2014 | 25-50% |
| THE BERLINSKI FAMILY 2006 TRUST | Domestic Entity | MRB ICB LLC | MEMBER | 08/2014 | > 75% |
| BERLINSKI, MILTON, RALPH | Individual | THE BERLINSKI FAMILY 2006 TRUST | TRUSTEE | 06/2006 | |
| BERLINSKI, MILTON, RALPH | Individual | RCP GENPAR LP | GENERAL PARTNER | 08/2014 | |
| BERLINSKI, MILTON, RALPH | Individual | RCP GENPAR HOLDCO, LLC | MEMBER | 08/2014 | 25-50% |
| BERLINSKI, MILTON, RALPH | Individual | MRB ICB LLC | INVESTMENT MEMBER | 08/2014 | |
| CORNICK, GREGORY, ALLEN | Individual | – | DIRECTOR | 08/2021 | < 5% |
| FORD, ERINN, JUNE | Individual | – | DIRECTOR, INTERIM CHAIRMAN | 08/2021 | < 5% |
| SCHMIDT, DAVID, MARTIN | Individual | – | TREASURER | 03/2021 | < 5% |
| Northrip, Iryna, Yakovlevna | Individual | – | SVP, CHIEF COMPLIANCE OFFICER | 05/2022 | < 5% |
| REHN, AMY, R | Individual | – | CHIEF OPERATING OFFICER | 07/2022 | < 5% |
| SWENSON, EDWARD, CHRISTY | Individual | – | PRESIDENT | 01/2024 | < 5% |