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 Sequoia Financial Group, L.L.C.
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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%
SEQUOIA FINANCIAL GROUP, LLCDirect owner · Schedule AInterest in SEQUOIA FINANCIAL GROUP, L.L.C.
75%+
THOMAS ARTHUR HAUGHTIndirect owner · Schedule BInterest in THOMAS A. HAUGHT LIVING TRUST
75%+
VALEAS CAPITAL PARTNERS MANAGEMENT LPIndirect owner · Schedule BInterest in VALEAS CAPITAL PARTNERS FUND I UGP LLC
75%+
VCP I HOLDINGS SPV LPIndirect owner · Schedule BInterest in VALEAS CAPITAL PARTNERS FUND I GP LP
75%+
LANDMARK ACQUISITION FUND 65 VALLEY LPIndirect owner · Schedule BInterest in VCP I HOLDINGS SPV LP
75%+
ROBERT O'CONNOR LITTLEIndirect owner · Schedule BInterest in VALEAS CAPITAL PARTNERS MANAGEMENT LP
75%+
ROBERT O'CONNOR LITTLEIndirect owner · Schedule BInterest in VCP I HOLDINGS SPV GP LLC
75%+
MUIR PARENT, LLC (HOLDING COMPANY)Indirect owner · Schedule BInterest in SEQUOIA FINANCIAL GROUP, LLC
75%+
EDWARD ARTHUR WOITESHEKIndirect owner · Schedule BInterest in VALEAS CAPITAL PARTNERS MANAGEMENT LLC
50% to < 75%
ROBERT O'CONNOR LITTLEIndirect owner · Schedule BInterest in VALEAS CAPITAL PARTNERS MANAGEMENT LLC
50% to < 75%
THOMAS A. HAUGHT LIVING TRUSTIndirect owner · Schedule BInterest in MUIR PARENT, LLC (HOLDING COMPANY)
25% to < 50%
SHERMAN AGGREGATOR, LPIndirect owner · Schedule BInterest in MUIR PARENT, LLC (HOLDING COMPANY)
25% to < 50%
VALEAS CAPITAL PARTNERS FUND I LPIndirect owner · Schedule BInterest in SHERMAN AGGREGATOR, LP
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 Sequoia Financial Group, L.L.C..
Reported ownership and control details
Form ADV · Filing date 2026-08-24 · Schedules A and B
| # | Owner / person & role | Interest in entity | Reported interest | Control person | Title / status acquired | Source |
|---|---|---|---|---|---|---|
| 1 | THOMAS ARTHUR HAUGHTCHAIRMAN, CEOIndividual | SEQUOIA FINANCIAL GROUP, L.L.C. | Less than 5%Code NA | Yes | CHAIRMAN, CEO04/2000 | Schedule APDF page 143 |
| 2 | SEQUOIA FINANCIAL GROUP, LLCOWNERDomestic entity | SEQUOIA FINANCIAL GROUP, L.L.C. | 75% or moreCode E | Yes | OWNER01/2000 | Schedule APDF page 143 |
| 3 | KEVIN NICHOLAS TICHNELLEVP, CHIEF STRATEGY & ACQUISITIONS OFFICER, INTERIM CHIEF FINANCIAL OFFICERIndividual | SEQUOIA FINANCIAL GROUP, L.L.C. | Less than 5%Code NA | Yes | EVP, CHIEF STRATEGY & ACQUISITIONS OFFICER, INTERIM CHIEF FINANCIAL OFFICER01/2021 | Schedule APDF page 143 |
| 4 | ANNELISE WATERFALL MCCAULEYPRESIDENT, INTERIM CHIEF OPERATING OFFICERIndividual | SEQUOIA FINANCIAL GROUP, L.L.C. | Less than 5%Code NA | Yes | PRESIDENT, INTERIM CHIEF OPERATING OFFICER08/2021 | Schedule APDF page 143 |
| 5 | TREVOR ROBERT CHUNACHIEF TECHNOLOGY OFFICERIndividual | SEQUOIA FINANCIAL GROUP, L.L.C. | Less than 5%Code NA | Yes | CHIEF TECHNOLOGY OFFICER02/2019 | Schedule APDF page 143 |
| 6 | CHRISTOPHER BRIAN THOMEVP, CHIEF STRATEGY & PARTNERSHIP OFFICERIndividual | SEQUOIA FINANCIAL GROUP, L.L.C. | Less than 5%Code NA | Yes | EVP, CHIEF STRATEGY & PARTNERSHIP OFFICER06/2024 | Schedule APDF page 143 |
| 7 | NORBORNE GEE SMITHHEAD OF SEQUOIA SENTINEL FAMILY OFFICEIndividual | SEQUOIA FINANCIAL GROUP, L.L.C. | Less than 5%Code NA | Yes | HEAD OF SEQUOIA SENTINEL FAMILY OFFICE06/2024 | Schedule APDF page 143 |
| 8 | MICHAEL MARHOFEREXECUTIVE VICE PRESIDENT, SECRETARY & GENERAL COUNSELIndividual | SEQUOIA FINANCIAL GROUP, L.L.C. | Less than 5%Code NA | Yes | EXECUTIVE VICE PRESIDENT, SECRETARY & GENERAL COUNSEL03/2025 | Schedule APDF page 143 |
| 9 | Jennifer KochSENIOR VICE PRESIDENT, ORGANIZATIONAL DEVELOPMENTIndividual | SEQUOIA FINANCIAL GROUP, L.L.C. | Less than 5%Code NA | Yes | SENIOR VICE PRESIDENT, ORGANIZATIONAL DEVELOPMENT07/2019 | Schedule APDF page 143 |
| 10 | NICHOLAS ZAMPARELLISENIOR VICE PRESIDENT, CHIEF INVESTMENT OFFICERIndividual | SEQUOIA FINANCIAL GROUP, L.L.C. | Less than 5%Code NA | Yes | SENIOR VICE PRESIDENT, CHIEF INVESTMENT OFFICER03/2023 | Schedule APDF page 143 |
| 11 | MICHAEL S. MORDOHVICE PRESIDENT, HEAD OF OPERATIONSIndividual | SEQUOIA FINANCIAL GROUP, L.L.C. | Less than 5%Code NA | Yes | VICE PRESIDENT, HEAD OF OPERATIONS08/2020 | Schedule APDF page 143 |
| 12 | JUSTIN DANIEL STETSEVP, HEAD OF INTEGRATED WEALTH SERVICESIndividual | SEQUOIA FINANCIAL GROUP, L.L.C. | Less than 5%Code NA | Yes | EVP, HEAD OF INTEGRATED WEALTH SERVICES04/2025 | Schedule APDF page 143 |
| 13 | STEPHANIE HANAYIKSENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, CHIEF RISK OFFICERIndividual | SEQUOIA FINANCIAL GROUP, L.L.C. | Less than 5%Code NA | Yes | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, CHIEF RISK OFFICER08/2026 | Schedule APDF page 143 |
| 14 | THOMAS A. HAUGHT LIVING TRUSTOWNERDomestic entity | MUIR PARENT, LLC (HOLDING COMPANY) | 25% to less than 50%Code C | Yes | OWNER04/2000 | Schedule BPDF page 143 |
| 15 | THOMAS ARTHUR HAUGHTTRUSTEEIndividual | THOMAS A. HAUGHT LIVING TRUST | 75% or moreCode E | Yes | TRUSTEE04/2000 | Schedule BPDF page 143 |
| 16 | SHERMAN AGGREGATOR, LPMEMBERDomestic entity | MUIR PARENT, LLC (HOLDING COMPANY) | 25% to less than 50%Code C | No | MEMBER10/2022 | Schedule BPDF page 144 |
| 17 | VALEAS CAPITAL PARTNERS FUND I LPMEMBERDomestic entity | SHERMAN AGGREGATOR, LP | 25% to less than 50%Code C | No | MEMBER10/2022 | Schedule BPDF page 144 |
| 18 | VALEAS CAPITAL PARTNERS FUND I GP LPPARTNERDomestic entity | SHERMAN AGGREGATOR, LP | Percentage not specifiedCode F | Yes | PARTNER10/2022 | Schedule BPDF page 144 |
| 19 | VALEAS CAPITAL PARTNERS FUND I UGP LLCPARTNERDomestic entity | VALEAS CAPITAL PARTNERS FUND I GP LP | Percentage not specifiedCode F | Yes | PARTNER02/2022 | Schedule BPDF page 144 |
| 20 | VALEAS CAPITAL PARTNERS MANAGEMENT LPMEMBERDomestic entity | VALEAS CAPITAL PARTNERS FUND I UGP LLC | 75% or moreCode E | Yes | MEMBER02/2022 | Schedule BPDF page 144 |
| 21 | VCP I HOLDINGS SPV LPPARTNERDomestic entity | VALEAS CAPITAL PARTNERS FUND I GP LP | 75% or moreCode E | No | PARTNER09/2024 | Schedule BPDF page 144 |
| 22 | LANDMARK ACQUISITION FUND 65 VALLEY LPPARTNERDomestic entity | VCP I HOLDINGS SPV LP | 75% or moreCode E | No | PARTNER09/2024 | Schedule BPDF page 144 |
| 23 | ROBERT O'CONNOR LITTLEMEMBERIndividual | VALEAS CAPITAL PARTNERS MANAGEMENT LP | 75% or moreCode E | Yes | MEMBER10/2021 | Schedule BPDF page 144 |
| 24 | EDWARD ARTHUR WOITESHEKMEMBERIndividual | VALEAS CAPITAL PARTNERS MANAGEMENT LLC | 50% to less than 75%Code D | Yes | MEMBER10/2021 | Schedule BPDF page 144 |
| 25 | VALEAS CAPITAL PARTNERS MANAGEMENT LLCMEMBERDomestic entity | VALEAS CAPITAL PARTNERS MANAGEMENT LP | Percentage not specifiedCode F | Yes | MEMBER10/2021 | Schedule BPDF page 144 |
| 26 | ROBERT O'CONNOR LITTLEMEMBERIndividual | VALEAS CAPITAL PARTNERS MANAGEMENT LLC | 50% to less than 75%Code D | Yes | MEMBER10/2021 | Schedule BPDF page 144 |
| 27 | VALEAS CAPITAL PARTNERS FUND I GP LPPARTNERDomestic entity | VALEAS CAPITAL PARTNERS FUND I LP | Percentage not specifiedCode F | Yes | PARTNER02/2022 | Schedule BPDF page 144 |
| 28 | VCP I HOLDINGS SPV GP LLCPARTNERDomestic entity | VCP I HOLDINGS SPV LP | Percentage not specifiedCode F | Yes | PARTNER09/2024 | Schedule BPDF page 144 |
| 29 | ROBERT O'CONNOR LITTLEMEMBERIndividual | VCP I HOLDINGS SPV GP LLC | 75% or moreCode E | Yes | MEMBER09/2024 | Schedule BPDF page 144 |
| 30 | MUIR PARENT, LLC (HOLDING COMPANY)OWNERDomestic entity | SEQUOIA FINANCIAL GROUP, LLC | 75% or moreCode E | Yes | OWNER10/2022 | Schedule BPDF page 144 |
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 8/24/2026 9:07:47 AM
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.