Assets under management Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total AUM
Total Accounts
10Y AUM Change
Private Funds
Private funds reported by Allworth Financial, L.P.
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Employee Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total Employees
Clients per Employee
10Y Employee Change
Historical AUM and employee figures reflect available SEC Form ADV filings under this CRD. Filing gaps may reflect registration status changes, dormant periods, state registration periods, firm restructuring, or other reporting changes. Rialytix does not interpolate missing periods.
Ownership
Reported direct and indirect ownership ranges
Each range applies to a separate reported relationship and should not be added together.
Reported ownership ranges
Highlighted bands show the percentage range reported in Form ADV.
0%25%50%75%100%
ALLWORTH FINANCIAL GROUP, L.P.Direct owner · Schedule AInterest in ALLWORTH FINANCIAL, L.P.
75%+
AFG PARENT GP, LLCDirect owner · Schedule AInterest in ALLWORTH FINANCIAL, L.P.
< 5%
AFG INTERMEDIATE, L.P.Indirect owner · Schedule BInterest in ALLWORTH FINANCIAL GROUP, L.P.
75%+
ALLWORTH FINANCIAL HOLDINGS, LLCIndirect owner · Schedule BInterest in AFG PARENT GP, LLC
75%+
AWF BUYER, INC.Indirect owner · Schedule BInterest in GROUP AFG, LLC
75%+
AWF INTERMEDIATE, INC.Indirect owner · Schedule BInterest in AWF BUYER, INC.
75%+
AWF PARENT, INC.Indirect owner · Schedule BInterest in AWF INTERMEDIATE, INC.
75%+
AWF CONSOLIDATED HOLDINGS, LPIndirect owner · Schedule BInterest in AWF PARENT, INC.
75%+
ALLWORTH FINANCIAL HOLDINGS, LLCIndirect owner · Schedule BInterest in ALLWORTH FINANCIAL GROUP, L.P.
75%+
GROUP AFG, LLCIndirect owner · Schedule BInterest in ALLWORTH FINANCIAL HOLDINGS, LLC
50% to < 75%
AWF CONSOLIDATED HOLDINGS GP, LLCIndirect owner · Schedule BInterest in AWF CONSOLIDATED HOLDINGS, LP
50% to < 75%
INTEGRUM ELEVATE CO-INVEST LPIndirect owner · Schedule BInterest in INTEGRUM ELEVATE AGGREGATOR LP
50% to < 75%
INTEGRUM ELEVATE AGGREGATOR LPIndirect owner · Schedule BInterest in AWF CONSOLIDATED HOLDINGS, LP
25% to < 50%
INTEGRUM ELEVATE AGGREGATOR LPIndirect owner · Schedule BInterest in AWF CONSOLIDATED HOLDINGS GP, LLC
25% to < 50%
Bars represent the reported range at that individual ownership step, not an estimated percentage of the advisory firm. Indirect relationships may refer to intermediate entities rather than directly to Allworth Financial, L.P..
Reported ownership and control details
Form ADV · Filing date 2026-07-29 · Schedules A and B
| # | Owner / person & role | Interest in entity | Reported interest | Control person | Title / status acquired | Source |
|---|---|---|---|---|---|---|
| 1 | ALLWORTH FINANCIAL GROUP, L.P.LIMITED PARTNERDomestic entity | ALLWORTH FINANCIAL, L.P. | 75% or moreCode E | Yes | LIMITED PARTNER07/2017 | Schedule APDF page 39 |
| 2 | COREY C GAMBLECHIEF COMPLIANCE OFFICERIndividual | ALLWORTH FINANCIAL, L.P. | Less than 5%Code NA | Yes | CHIEF COMPLIANCE OFFICER07/2017 | Schedule APDF page 39 |
| 3 | PETER JOHN ENGELKENCHIEF OPERATING OFFICERIndividual | ALLWORTH FINANCIAL, L.P. | Less than 5%Code NA | Yes | CHIEF OPERATING OFFICER07/2017 | Schedule APDF page 39 |
| 4 | CHRISTOPHER MICHAEL ODDYCHIEF FINANCIAL OFFICERIndividual | ALLWORTH FINANCIAL, L.P. | Less than 5%Code NA | Yes | CHIEF FINANCIAL OFFICER04/2018 | Schedule APDF page 39 |
| 5 | ANDREW ROY STOUTCHIEF INVESTMENT OFFICERIndividual | ALLWORTH FINANCIAL, L.P. | Less than 5%Code NA | Yes | CHIEF INVESTMENT OFFICER03/2019 | Schedule APDF page 39 |
| 6 | Barry Yale GreenbergCHIEF LEGAL OFFICERIndividual | ALLWORTH FINANCIAL, L.P. | Less than 5%Code NA | Yes | CHIEF LEGAL OFFICER06/2021 | Schedule APDF page 39 |
| 7 | JOHN BRADLEY BUNCHCHIEF EXECUTIVE OFFICERIndividual | ALLWORTH FINANCIAL, L.P. | Less than 5%Code NA | Yes | CHIEF EXECUTIVE OFFICER10/2023 | Schedule APDF page 39 |
| 8 | AFG PARENT GP, LLCGENERAL PARTNERDomestic entity | ALLWORTH FINANCIAL, L.P. | Less than 5%Code NA | Yes | GENERAL PARTNER07/2017 | Schedule APDF page 39 |
| 9 | AFG INTERMEDIATE, L.P.OWNERDomestic entity | ALLWORTH FINANCIAL GROUP, L.P. | 75% or moreCode E | Yes | OWNER07/2017 | Schedule BPDF page 40 |
| 10 | AFG PARENT GP, LLCGENERAL PARTNERDomestic entity | ALLWORTH FINANCIAL GROUP, L.P. | Percentage not specifiedCode F | Yes | GENERAL PARTNER10/2020 | Schedule BPDF page 40 |
| 11 | ALLWORTH FINANCIAL HOLDINGS, LLCMEMBERDomestic entity | AFG PARENT GP, LLC | 75% or moreCode E | Yes | MEMBER06/2026 | Schedule BPDF page 40 |
| 12 | GROUP AFG, LLCMEMBERDomestic entity | ALLWORTH FINANCIAL HOLDINGS, LLC | 50% to less than 75%Code D | Yes | MEMBER06/2026 | Schedule BPDF page 40 |
| 13 | AWF BUYER, INC.MEMBERDomestic entity | GROUP AFG, LLC | 75% or moreCode E | Yes | MEMBER06/2026 | Schedule BPDF page 40 |
| 14 | AWF INTERMEDIATE, INC.SHAREHOLDERDomestic entity | AWF BUYER, INC. | 75% or moreCode E | Yes | SHAREHOLDER06/2026 | Schedule BPDF page 40 |
| 15 | AWF PARENT, INC.SHAREHOLDERDomestic entity | AWF INTERMEDIATE, INC. | 75% or moreCode E | Yes | SHAREHOLDER06/2026 | Schedule BPDF page 40 |
| 16 | AWF CONSOLIDATED HOLDINGS, LPSHAREHOLDERDomestic entity | AWF PARENT, INC. | 75% or moreCode E | Yes | SHAREHOLDER06/2026 | Schedule BPDF page 40 |
| 17 | AWF CONSOLIDATED HOLDINGS GP, LLCGENERAL PARTNERDomestic entity | AWF CONSOLIDATED HOLDINGS, LP | 50% to less than 75%Code D | Yes | GENERAL PARTNER06/2026 | Schedule BPDF page 40 |
| 18 | INTEGRUM ELEVATE AGGREGATOR LPLIMITED PARTNERDomestic entity | AWF CONSOLIDATED HOLDINGS, LP | 25% to less than 50%Code C | Yes | LIMITED PARTNER06/2026 | Schedule BPDF page 40 |
| 19 | INTEGRUM ELEVATE AGGREGATOR LPMEMBERDomestic entity | AWF CONSOLIDATED HOLDINGS GP, LLC | 25% to less than 50%Code C | Yes | MEMBER06/2026 | Schedule BPDF page 40 |
| 20 | INTEGRUM ELEVATE CO-INVEST LPLIMITED PARTNERDomestic entity | INTEGRUM ELEVATE AGGREGATOR LP | 50% to less than 75%Code D | Yes | LIMITED PARTNER06/2026 | Schedule BPDF page 40 |
| 21 | ALLWORTH FINANCIAL HOLDINGS, LLCLIMITED PARTNERDomestic entity | ALLWORTH FINANCIAL GROUP, L.P. | 75% or moreCode E | Yes | LIMITED PARTNER10/2020 | Schedule BPDF page 40 |
Less than 5% may include zero. Code F identifies a role without specifying a percentage. Reported interests may overlap and may not include every owner. Total indirect ownership is not calculated.
Compliance & Disclosures
Filing dated 7/29/2026 4:45:40 PM
Responses were selected by the RIA in its filing. Questions are shortened for readability; “you” refers to the reporting firm, and some questions also cover advisory affiliates.
RIA or supervised-person involvementThe RIA reported that none of the events below involve the firm or its supervised persons.RIA responseNo
AFelonies2 No
In the past ten years, have you or any advisory affiliate:
- A1Been convicted of or pleaded guilty or no contest to a felony?No
- A2Been charged with a felony?No
BMisdemeanors2 No
In the past ten years, have you or any advisory affiliate:
- B1Been convicted of or pleaded guilty or no contest to a misdemeanor involving investments, an investment-related business, fraud, false statements or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, or extortion?No
- B2Been charged with a misdemeanor of the kind listed above?No
CSEC or CFTC actions5 No
Has the SEC or CFTC ever:
- C1Found you or an advisory affiliate made a false statement or omission?No
- C2Found you or an advisory affiliate violated SEC or CFTC regulations or statutes?No
- C3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- C4Entered an order against you or an advisory affiliate in connection with investment-related activity?No
- C5Imposed a civil money penalty on you or an advisory affiliate, or ordered you or an advisory affiliate to cease and desist from any activity?No
DOther regulatory actions5 No
Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority ever:
- D1Found you or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?No
- D2Found you or an advisory affiliate violated investment-related regulations or statutes?No
- D3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- D4In the past ten years, entered an order against you or an advisory affiliate in connection with investment-related activity?No
- D5Denied, suspended, or revoked your or an advisory affiliate’s registration or license, or otherwise prevented association with an investment-related business or restricted activities?No
ESelf-regulatory organization actions4 No
Has a self-regulatory organization or commodities exchange ever:
- E1Found you or an advisory affiliate made a false statement or omission?No
- E2Found you or an advisory affiliate violated its rules, other than a violation designated as a minor rule violation under an SEC-approved plan?No
- E3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- E4Disciplined you or an advisory affiliate by expulsion, suspension, barring association with other members, or otherwise restricting activities?No
FProfessional authorizations1 No
- FHas an authorization to act as an attorney, accountant, or federal contractor granted to you or an advisory affiliate ever been revoked or suspended?No
GPending regulatory proceedings1 No
- GAre you or any advisory affiliate now the subject of a regulatory proceeding that could result in a “Yes” answer to any part of C, D, or E?No
HCivil judicial actions and proceedings4 No
(1) Court actions
Has a domestic or foreign court:
- H(1)(a)In the past ten years, enjoined you or an advisory affiliate in connection with investment-related activity?No
- H(1)(b)Found that you or an advisory affiliate violated investment-related statutes or regulations?No
- H(1)(c)Dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or an advisory affiliate by a state or foreign financial regulatory authority?No
(2) Pending civil proceedings
- H(2)Are you or any advisory affiliate now the subject of a civil proceeding that could result in a “Yes” answer to any part of H(1)?No
* Metrics are based on the latest available data, including Form ADV filings, brochures, and relationship summaries pulled from the SEC IAPD, and may be subject to change. Learn what is included in the Rialytix data. Please refer to the firm's official disclosures for the most accurate information using their CRD number. This is not investment advice.