SourcingSourcing

SECURITIES AMERICA ADVISORS, INC.

C23
CRD 110518·SEC 801-45628·LA VISTA, NE
AUM
—
Est. Revenue
—
@ 1% on AUM
Est. EBITDA
—
@ 30% margin
Est. Deal Value
—
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
SECURITIES AMERICA ADVISORS, INC.
CRD
110518
SEC file #
801-45628
EIN
—
DBA names
1865 Wealth Advisors At Bank On BuffaloBreitenfeldt GroupBreidenbaugh FinancialBrecek And Young Financial Services

Economics

AUM
—
AUM band
—
AUM trajectory
'20'23
$21.89B → $45.43B▲ +108%
Client mix
—

Operations

Employees (total)
—
Advisory staff (per ADV)
—
Advisory staff (5-yr trend)
'20'23
1,992 advisors → 2,364 advisors▲ +19%
Primary office
LA VISTA NE
Branches
—

Custodian & Brokerage

Primary custodian
Pershinglow confidence
Services offered
—
Fee basis
—

Filings

Latest ADV filing
—
ADV-W filed at
—
Website
—

Compliance

Disclosures (firm)
1
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
SECURITIES AMERICA FINANCIAL
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
7
Control Persons
SECURITIES AMERICA FINANCIAL
FORD, ERINN, JUNE
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
Yes
Form 5500 Plan Count
50
Form 5500 Total Compensation
1,186,713
Form 5500 Compensation Trajectory 3y
20251,088,138
202698,575
Form 5500 Plan Count Trajectory 3y
202547
20263
Schedule C Total Compensation
1,186,713
Schedule C Service Provider Rows
50

SEC EDGAR

Edgar Cik
0001029730
Edgar Registered
Yes
Edgar Filing Count
1,001
Edgar First Filing Date
2009-09-03
Edgar Last Filing Date
2020-04-29
Edgar 13f Count
34
Edgar 13f Latest AUM Estimate
Filing Date2020-02-14
Accession0001493152-20-002502
Edgar Form D Count
4
Edgar Form D Offerings
2014-08-212014-08-21 · 0001144204-14-051901
2014-08-122014-08-12 · 0001144204-14-048901
Edgar Xbrl Assets Latest
Value Usd829,936,000
Fiscal Year End2019-12-31
Edgar Xbrl Revenue Latest
Value Usd1,391,136,000
Fiscal Year End2018-12-31
ConceptRevenues
Edgar Sic Description
Security Brokers, Dealers & Flotation Companies
Edgar Former Names
LADENBURG THALMANN FINANCIAL SERVICES INC
THALMANN FINANCIAL SERVICES INC

Compliance & brand

Firm Registration Status
active

All other collected signals (9)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
1
Bc Firm IAR Count
1
Custodian Candidates
Full
Pershing4
Lpl Financial4
State Street4
E*trade4
Fidelity2
Edgar Addresses
Mailing
4400 BISCAYNE BLVD.12TH FLOORMIAMI, FL 33137
Business
4400 BISCAYNE BLVD.12TH FLOORMIAMI, FL 33137
Edgar EIN
650701248
Edgar Recent Filings
10-K/A2020-04-29 · 0001493152-20-007382
10-K2020-03-13 · 0001029730-20-000003
Edgar Sic
6211

People (7)

7
ERINN JUNE FORD
Executive Officer · 2.5%
2176816
KIRK JESSE HULETT
Executive Officer · 2.5%
2528380
Northrip, Iryna, Yakovlevna
Executive Officer · 2.5%
6466657
PRICE, JAMES, DALE
Executive Officer · 2.5%
1243224
SCHLUETER, MATTHEW, ADAM
Executive Officer · 2.5%
2627931
DAVID MARTIN SCHMIDT
Executive Officer · 2.5%
5675524
BRADLEY STEWART BARGER
IAR
5156870