Assets under management Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Private Funds
Private funds reported by Commonwealth Financial Network
Employee Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
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
Reported ownership ranges
Highlighted bands show the percentage range reported in Form ADV.
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 Commonwealth Financial Network.
Reported ownership and control details
Form ADV · Filing date 2026-09-29 · Schedules A and B
| # | Owner / person & role | Interest in entity | Reported interest | Control person | Title / status acquired | Source |
|---|---|---|---|---|---|---|
| 1 | WAYNE MICHAEL BLOOMMANAGING DIRECTOR, CHIEF EXECUTIVE OFFICERIndividual | COMMONWEALTH FINANCIAL NETWORK | Less than 5%Code NA | Yes | MANAGING DIRECTOR, CHIEF EXECUTIVE OFFICER01/2009 | Schedule APDF page 389 |
| 2 | JONATHAN CHRISTIAAN BOHSMANAGING PRINCIPAL, OPERATIONSIndividual | COMMONWEALTH FINANCIAL NETWORK | Less than 5%Code NA | Yes | MANAGING PRINCIPAL, OPERATIONS05/2013 | Schedule APDF page 389 |
| 3 | CHRISTOPHER ANTHONY TRAPNELL KLOMANCHIEF OPERATIONS OFFICER, PRESIDENTIndividual | COMMONWEALTH FINANCIAL NETWORK | Less than 5%Code NA | Yes | CHIEF OPERATIONS OFFICER, PRESIDENT07/2015 | Schedule APDF page 389 |
| 4 | 1979 HOLDING COMPANY, LLCMANAGING MEMBERDomestic entity | COMMONWEALTH FINANCIAL NETWORK | 75% or moreCode E | Yes | MANAGING MEMBER08/2017 | Schedule APDF page 389 |
| 5 | PEGGY LYNN HOGENERAL COUNSEL, SENIOR VICE PRESIDENTIndividual | COMMONWEALTH FINANCIAL NETWORK | Less than 5%Code NA | Yes | GENERAL COUNSEL, SENIOR VICE PRESIDENT04/2021 | Schedule APDF page 389 |
| 6 | JONATHAN C. CLEASBYCHIEF FINANCIAL OFFICERIndividual | COMMONWEALTH FINANCIAL NETWORK | Less than 5%Code NA | Yes | CHIEF FINANCIAL OFFICER06/2020 | Schedule APDF page 389 |
| 7 | BRIAN THOMAS PRICEMANAGING PRINCIPAL, CHIEF INVESTMENT OFFICERIndividual | COMMONWEALTH FINANCIAL NETWORK | Less than 5%Code NA | Yes | MANAGING PRINCIPAL, CHIEF INVESTMENT OFFICER06/2022 | Schedule APDF page 389 |
| 8 | KIRBY LEPAK HORAN-ADAMSMANAGERIndividual | COMMONWEALTH FINANCIAL NETWORK | Less than 5%Code NA | Yes | MANAGER08/2025 | Schedule APDF page 389 |
| 9 | STEVEN PHILIP MORRISONMANAGERIndividual | COMMONWEALTH FINANCIAL NETWORK | Less than 5%Code NA | Yes | MANAGER08/2025 | Schedule APDF page 389 |
| 10 | MATTHEW JOHN SUGDENBD CHIEF COMPLIANCE OFFICERIndividual | COMMONWEALTH FINANCIAL NETWORK | Less than 5%Code NA | Yes | BD CHIEF COMPLIANCE OFFICER09/2025 | Schedule APDF page 389 |
| 11 | ROBERT ERIC MOLINARIRIA CHIEF COMPLIANCE OFFICERIndividual | COMMONWEALTH FINANCIAL NETWORK | Less than 5%Code NA | Yes | RIA CHIEF COMPLIANCE OFFICER11/2025 | Schedule APDF page 389 |
| 12 | CFN VENTURES, LLCMANAGING MEMBERDomestic entity | 1979 HOLDING COMPANY, LLC | 75% or moreCode E | Yes | MANAGING MEMBER08/2017 | Schedule BPDF page 390 |
| 13 | CFN HOLDING COMPANY, LLCMANAGING MEMBERDomestic entity | CFN VENTURES, LLC | 75% or moreCode E | Yes | MANAGING MEMBER08/2017 | Schedule BPDF page 390 |
| 14 | LPL FINANCIAL HOLDINGS INC.SHAREHOLDERDomestic entity | LPL HOLDINGS, INC. | 75% or moreCode E | Yes | SHAREHOLDER12/2005 | Schedule BPDF page 390 |
| 15 | LPL HOLDINGS, INC.SHAREHOLDERDomestic entity | CFN HOLDING COMPANY, LLC | 75% or moreCode E | Yes | SHAREHOLDER08/2025 | Schedule BPDF page 390 |
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
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.
Item 11 responses have not been pulled yet for this RIA.
AFelonies2 Unavailable
In the past ten years, have you or any advisory affiliate:
- A1Been convicted of or pleaded guilty or no contest to a felony?Unavailable
- A2Been charged with a felony?Unavailable
BMisdemeanors2 Unavailable
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?Unavailable
- B2Been charged with a misdemeanor of the kind listed above?Unavailable
CSEC or CFTC actions5 Unavailable
Has the SEC or CFTC ever:
- C1Found you or an advisory affiliate made a false statement or omission?Unavailable
- C2Found you or an advisory affiliate violated SEC or CFTC regulations or statutes?Unavailable
- C3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?Unavailable
- C4Entered an order against you or an advisory affiliate in connection with investment-related activity?Unavailable
- 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?Unavailable
DOther regulatory actions5 Unavailable
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?Unavailable
- D2Found you or an advisory affiliate violated investment-related regulations or statutes?Unavailable
- D3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?Unavailable
- D4In the past ten years, entered an order against you or an advisory affiliate in connection with investment-related activity?Unavailable
- 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?Unavailable
ESelf-regulatory organization actions4 Unavailable
Has a self-regulatory organization or commodities exchange ever:
- E1Found you or an advisory affiliate made a false statement or omission?Unavailable
- E2Found you or an advisory affiliate violated its rules, other than a violation designated as a minor rule violation under an SEC-approved plan?Unavailable
- E3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?Unavailable
- E4Disciplined you or an advisory affiliate by expulsion, suspension, barring association with other members, or otherwise restricting activities?Unavailable
FProfessional authorizations1 Unavailable
- FHas an authorization to act as an attorney, accountant, or federal contractor granted to you or an advisory affiliate ever been revoked or suspended?Unavailable
GPending regulatory proceedings1 Unavailable
- 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?Unavailable
HCivil judicial actions and proceedings4 Unavailable
(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?Unavailable
- H(1)(b)Found that you or an advisory affiliate violated investment-related statutes or regulations?Unavailable
- 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?Unavailable
(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)?Unavailable
* 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.