GWM ADVISORS LLC

HTTP://WWW.RAUFINANCIALGROUP.COM NEW ORLEANS, LA Investment Advisor How do I update this listing?

GWM Advisors is based out of New Orleans. GWM Advisors is a large advisory firm with 11127 clients and discretionary assets under management (AUM) of $4,005,067,541 (Form ADV from 2020-07-16). Their last reported 13F filing for Q2 2020 included $2,558,980,000 in managed 13F securities and a top 10 holdings concentration of 17.79%. GWM Advisors's largest holding is iShares Core S&P 500 ETF with shares held of 229,342. Whalewisdom has at least 27 13F filings

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06/30/2020

13F Activity

  • Market Value $2.559 Billion
  • Prior Market Value $2.076 Billion
  • New Purchases169 stocks
  • Additional Purchases367 stocks
  • Sold out of104 stocks
  • Reduced holdings in291 stocks
  • Top 10 Holdings % 17.79 %
  • Turnover % [1]:31.89%
  • Turnover Alt % [2]: 19.27 %
  • Time Held Top20:6.90 quarters
  • Time Held Top10:8.00 quarters
  • Time Held All:7.29 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

06/30/2020

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2020-05-15

Performance for Q1 2020: 24.11%
Performance Last 4 Quarters: 5.88%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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*Shares are split adjusted

View Last Form Adv Compilation Report on Record

GOSS ADVISORS
858 CAMP STREET
NEW ORLEANS LA    70130
Country: United States

Business Phone: 504-459-4391
Fax:
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: LA
Number of employees: 175
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges,Fixed fees
Amount of client funds and securities: 286,407,000
Total Number of Clients: 11127
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

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GWM ADVISORS, LLC

ownership team - last updated 2020-06-05
Name Title Start Date Direct/Indirect % Ownership
GOSS, ALEXANDER, THOMAS MANAGING MEMBER & CO-CHIEF EXECUTIVE OFFICER 06/01/2019 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
GWM ADVISORS, LLC MANAGING MEMBER direct 2012-08-01
GOSS, GERALD, THOMAS MANAGING MEMBER & CHAIRMAN 08/01/2012 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
GWM ADVISORS, LLC MANAGING MEMBER direct 2012-08-01
SINS, GEORGE, FREDERICK MANAGING MEMBER 12/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
GWM ADVISORS, LLC MANAGING MEMBER direct 2016-12-01
TURNER, NEIL, DICKMAN MANAGING MEMBER & CO-CHIEF EXECUTIVE OFFICER 06/01/2019 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
GWM ADVISORS, LLC MANAGING MEMBER & PRESIDENT direct 2016-12-01
NICKS, BRENT, PATRICK CHIEF COMPLIANCE OFFICER 04/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
WUNDERLICH SECURITIES, INC. CHIEF COMPLIANCE OFFICER ADVISORY SERVICES direct 2013-10-01
MORGAN KEEGAN & COMPANY, LLC CHIEF COMPLIANCE OFFICER / IA AFFILIATE direct 2013-07-01
MORGAN KEEGAN FUND MANAGEMENT, INC. COMPLIANCE LIAISON direct 2009-01-01
MORGAN KEEGAN FUND MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2013-07-01
CUTLER, JEFFREY, STONE PRESIDENT / DIRECTOR OF ADVISOR SERVICES 06/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
GWM ADVISORS, LLC MANAGING DIRECTOR OF ADVISOR SERVICES direct 2018-02-01
KALINOWSKI, DAWN, MARIE CHIEF OPERATIONS OFFICER 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
SII INVESTMENTS, INC. FVP OPERATIONS direct 2004-11-01
SII INVESTMENTS, INC. SVP, COO direct 2004-11-01
INVESTMENT CENTERS OF AMERICA, INC. FVP OPERATIONS direct 2004-11-01
INVESTMENT CENTERS OF AMERICA, INC. SVP/COO direct 2004-11-01
HUGHES, NOLAN, BLAKE DEPUTY CHIEF OFFICER / COMPLIANCE 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
WUNDERLICH SECURITIES, INC. CHIEF COMPLIANCE OFFICER ADVISORY SERVICES direct 2018-03-01

GWM ADVISORS, LLC

ownership team - last updated 2020-03-24
Name Title Start Date Direct/Indirect % Ownership

GWM ADVISORS, LLC

ownership team - last updated 2019-11-21
Name Title Start Date Direct/Indirect % Ownership
GOSS, ALEXANDER, THOMAS MANAGING MEMBER & CHIEF EXECUTIVE OFFICER 08/01/2012 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
GWM ADVISORS, LLC MANAGING MEMBER direct 2012-08-01
GOSS, GERALD, THOMAS MANAGING MEMBER & CHAIRMAN 08/01/2012 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
GWM ADVISORS, LLC MANAGING MEMBER direct 2012-08-01
SINS, GEORGE, FREDERICK MANAGING MEMBER 12/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
GWM ADVISORS, LLC MANAGING MEMBER direct 2016-12-01
TURNER, NEIL, DICKMAN MANAGING MEMBER & PRESIDENT 12/01/2016 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
GWM ADVISORS, LLC MANAGING MEMBER & PRESIDENT direct 2016-12-01
NICKS, BRENT, PATRICK CHIEF COMPLIANCE OFFICER 04/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
WUNDERLICH SECURITIES, INC. CHIEF COMPLIANCE OFFICER ADVISORY SERVICES direct 2013-10-01
MORGAN KEEGAN & COMPANY, LLC CHIEF COMPLIANCE OFFICER / IA AFFILIATE direct 2013-07-01
MORGAN KEEGAN FUND MANAGEMENT, INC. COMPLIANCE LIAISON direct 2009-01-01
MORGAN KEEGAN FUND MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2013-07-01
CUTLER, JEFFREY, STONE MANAGING DIRECTOR OF ADVISOR SERVICES 02/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
GWM ADVISORS, LLC MANAGING DIRECTOR OF ADVISOR SERVICES direct 2018-02-01
KALINOWSKI, DAWN, MARIE CHIEF OPERATIONS OFFICER 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
SII INVESTMENTS, INC. FVP OPERATIONS direct 2004-11-01
SII INVESTMENTS, INC. SVP, COO direct 2004-11-01
INVESTMENT CENTERS OF AMERICA, INC. FVP OPERATIONS direct 2004-11-01
INVESTMENT CENTERS OF AMERICA, INC. SVP/COO direct 2004-11-01

GWM ADVISORS, LLC

ownership team - last updated 2019-08-30
Name Title Start Date Direct/Indirect % Ownership
TURNER, NEIL, DICKMAN MANAGING MEMBER & PRESIDENT 12/01/2016 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
GWM ADVISORS, LLC MANAGING MEMBER & PRESIDENT direct 2016-12-01
GOSS, ALEXANDER, THOMAS MANAGING MEMBER & CHIEF EXECUTIVE OFFICER 08/01/2012 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
GWM ADVISORS, LLC MANAGING MEMBER direct 2012-08-01
GOSS, GERALD, THOMAS MANAGING MEMBER & CHAIRMAN 08/01/2012 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
GWM ADVISORS, LLC MANAGING MEMBER direct 2012-08-01
SINS, GEORGE, FREDERICK MANAGING MEMBER 12/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
GWM ADVISORS, LLC MANAGING MEMBER direct 2016-12-01
NICKS, BRENT, PATRICK CHIEF COMPLIANCE OFFICER 04/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
WUNDERLICH SECURITIES, INC. CHIEF COMPLIANCE OFFICER ADVISORY SERVICES direct 2013-10-01
MORGAN KEEGAN & COMPANY, LLC CHIEF COMPLIANCE OFFICER / IA AFFILIATE direct 2013-07-01
MORGAN KEEGAN FUND MANAGEMENT, INC. COMPLIANCE LIAISON direct 2009-01-01
MORGAN KEEGAN FUND MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2013-07-01
CUTLER, JEFFREY, STONE MANAGING DIRECTOR OF ADVISOR SERVICES 02/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
GWM ADVISORS, LLC MANAGING DIRECTOR OF ADVISOR SERVICES direct 2018-02-01
KALINOWSKI, DAWN, MARIE CHIEF OPERATIONS OFFICER 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
SII INVESTMENTS, INC. FVP OPERATIONS direct 2004-11-01
SII INVESTMENTS, INC. SVP, COO direct 2004-11-01
INVESTMENT CENTERS OF AMERICA, INC. FVP OPERATIONS direct 2004-11-01
INVESTMENT CENTERS OF AMERICA, INC. SVP/COO direct 2004-11-01

GWM ADVISORS, LLC

ownership team - last updated 2019-06-25
Name Title Start Date Direct/Indirect % Ownership
GOSS, ALEXANDER, THOMAS MANAGING MEMBER & CHIEF EXECUTIVE OFFICER 08/01/2012 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
GWM ADVISORS, LLC MANAGING MEMBER direct 2012-08-01
GOSS, GERALD, THOMAS MANAGING MEMBER & CHAIRMAN 08/01/2012 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
GWM ADVISORS, LLC MANAGING MEMBER direct 2012-08-01
SINS, GEORGE, FREDERICK MANAGING MEMBER 12/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
GWM ADVISORS, LLC MANAGING MEMBER direct 2016-12-01
TURNER, NEIL, DICKMAN MANAGING MEMBER & PRESIDENT 12/01/2016 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
GWM ADVISORS, LLC MANAGING MEMBER & PRESIDENT direct 2016-12-01
NICKS, BRENT, PATRICK CHIEF COMPLIANCE OFFICER 04/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
WUNDERLICH SECURITIES, INC. CHIEF COMPLIANCE OFFICER ADVISORY SERVICES direct 2013-10-01
MORGAN KEEGAN & COMPANY, LLC CHIEF COMPLIANCE OFFICER / IA AFFILIATE direct 2013-07-01
MORGAN KEEGAN FUND MANAGEMENT, INC. COMPLIANCE LIAISON direct 2009-01-01
MORGAN KEEGAN FUND MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2013-07-01
CUTLER, JEFFREY, STONE MANAGING DIRECTOR OF ADVISOR SERVICES 02/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
GWM ADVISORS, LLC MANAGING DIRECTOR OF ADVISOR SERVICES direct 2018-02-01
KALINOWSKI, DAWN, MARIE CHIEF OPERATIONS OFFICER 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
SII INVESTMENTS, INC. FVP OPERATIONS direct 2004-11-01
SII INVESTMENTS, INC. SVP, COO direct 2004-11-01
INVESTMENT CENTERS OF AMERICA, INC. FVP OPERATIONS direct 2004-11-01
INVESTMENT CENTERS OF AMERICA, INC. SVP/COO direct 2004-11-01

GWM ADVISORS, LLC

ownership team - last updated 2019-03-21
Name Title Start Date Direct/Indirect % Ownership
GOSS, ALEXANDER, THOMAS MANAGING MEMBER & CHIEF EXECUTIVE OFFICER 08/01/2012 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
GWM ADVISORS, LLC MANAGING MEMBER direct 2012-08-01
GOSS, GERALD, THOMAS MANAGING MEMBER & CHAIRMAN 08/01/2012 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
GWM ADVISORS, LLC MANAGING MEMBER direct 2012-08-01
SINS, GEORGE, FREDERICK MANAGING MEMBER 12/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
GWM ADVISORS, LLC MANAGING MEMBER direct 2016-12-01
TURNER, NEIL, DICKMAN MANAGING MEMBER & PRESIDENT 12/01/2016 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
GWM ADVISORS, LLC MANAGING MEMBER & PRESIDENT direct 2016-12-01
NICKS, BRENT, PATRICK CHIEF COMPLIANCE OFFICER 04/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
WUNDERLICH SECURITIES, INC. CHIEF COMPLIANCE OFFICER ADVISORY SERVICES direct 2013-10-01
MORGAN KEEGAN & COMPANY, LLC CHIEF COMPLIANCE OFFICER / IA AFFILIATE direct 2013-07-01
MORGAN KEEGAN FUND MANAGEMENT, INC. COMPLIANCE LIAISON direct 2009-01-01
MORGAN KEEGAN FUND MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2013-07-01
CUTLER, JEFFREY, STONE MANAGING DIRECTOR OF ADVISOR SERVICES 02/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
GWM ADVISORS, LLC MANAGING DIRECTOR OF ADVISOR SERVICES direct 2018-02-01
KALINOWSKI, DAWN, MARIE CHIEF OPERATIONS OFFICER 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
SII INVESTMENTS, INC. FVP OPERATIONS direct 2004-11-01
SII INVESTMENTS, INC. SVP, COO direct 2004-11-01
INVESTMENT CENTERS OF AMERICA, INC. FVP OPERATIONS direct 2004-11-01
INVESTMENT CENTERS OF AMERICA, INC. SVP/COO direct 2004-11-01

GWM ADVISORS, LLC

ownership team - last updated 2018-12-07
Name Title Start Date Direct/Indirect % Ownership
GOSS, ALEXANDER, THOMAS MANAGING MEMBER & CHIEF EXECUTIVE OFFICER 08/01/2012 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
GWM ADVISORS, LLC MANAGING MEMBER direct 2012-08-01
GOSS, GERALD, THOMAS MANAGING MEMBER & CHAIRMAN 08/01/2012 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
GWM ADVISORS, LLC MANAGING MEMBER direct 2012-08-01
SINS, GEORGE, FREDERICK MANAGING MEMBER 12/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
GWM ADVISORS, LLC MANAGING MEMBER direct 2016-12-01
TURNER, NEIL, DICKMAN MANAGING MEMBER & PRESIDENT 12/01/2016 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
GWM ADVISORS, LLC MANAGING MEMBER & PRESIDENT direct 2016-12-01
NICKS, BRENT, PATRICK CHIEF COMPLIANCE OFFICER 04/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
WUNDERLICH SECURITIES, INC. CHIEF COMPLIANCE OFFICER ADVISORY SERVICES direct 2013-10-01
MORGAN KEEGAN & COMPANY, LLC CHIEF COMPLIANCE OFFICER / IA AFFILIATE direct 2013-07-01
MORGAN KEEGAN FUND MANAGEMENT, INC. COMPLIANCE LIAISON direct 2009-01-01
MORGAN KEEGAN FUND MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2013-07-01
CUTLER, JEFFREY, STONE MANAGING DIRECTOR OF ADVISOR SERVICES 02/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
GWM ADVISORS, LLC MANAGING DIRECTOR OF ADVISOR SERVICES direct 2018-02-01

GWM ADVISORS, LLC

ownership team - last updated 2018-05-22
Name Title Start Date Direct/Indirect % Ownership
GOSS, GERALD, THOMAS MANAGING MEMBER & CHAIRMAN 08/01/2012 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
GWM ADVISORS, LLC MANAGING MEMBER direct 2012-08-01
GOSS, ALEXANDER, THOMAS MANAGING MEMBER & CHIEF EXECUTIVE OFFICER 08/01/2012 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
GWM ADVISORS, LLC MANAGING MEMBER direct 2012-08-01
SINS, GEORGE, FREDERICK MANAGING MEMBER 12/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
GWM ADVISORS, LLC MANAGING MEMBER direct 2016-12-01
TURNER, NEIL, DICKMAN MANAGING MEMBER & PRESIDENT 12/01/2016 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
GWM ADVISORS, LLC MANAGING MEMBER & PRESIDENT direct 2016-12-01
NICKS, BRENT, PATRICK CHIEF COMPLIANCE OFFICER 04/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
WUNDERLICH SECURITIES, INC. CHIEF COMPLIANCE OFFICER ADVISORY SERVICES direct 2013-10-01
MORGAN KEEGAN & COMPANY, LLC CHIEF COMPLIANCE OFFICER / IA AFFILIATE direct 2013-07-01
MORGAN KEEGAN FUND MANAGEMENT, INC. COMPLIANCE LIAISON direct 2009-01-01
MORGAN KEEGAN FUND MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2013-07-01
CUTLER, JEFFREY, STONE MANAGING DIRECTOR OF ADVISOR SERVICES 02/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
GWM ADVISORS, LLC MANAGING DIRECTOR OF ADVISOR SERVICES direct 2018-02-01

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