GWM ADVISORS LLC

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GWM Advisors is based out of Baton Rouge. GWM Advisors is a large advisory firm with 8068 clients and discretionary assets under management (AUM) of $2,523,887,605 (Form ADV from 2019-08-30). Their last reported 13F filing for Q3 2019 included $2,250,864,000 in managed 13F securities and a top 10 holdings concentration of 17.77%. GWM Advisors's largest holding is Bruker Corp with shares held of 1,743,435. Whalewisdom has at least 24 13F filings

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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $2.251 Billion
  • Prior Market Value $1.633 Billion
  • New Purchases198 stocks
  • Additional Purchases455 stocks
  • Sold out of37 stocks
  • Reduced holdings in134 stocks
  • Top 10 Holdings % 17.77 %
  • Turnover % [1]:28.94%
  • Turnover Alt % [2]: 30.25 %
  • Time Held Top20:4.95 quarters
  • Time Held Top10:6.00 quarters
  • Time Held All:5.91 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.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-11-14

Performance for Q3 2019: 6.19%
Performance Last 4 Quarters: 18.56%
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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13F Filings Available:
  • 2019-09-30 - 13F-HR (Subscription required)
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR/A (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR/A (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR/A (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)
  • 2015-09-30 - 13F-HR (Subscription required)
  • 2015-06-30 - 13F-HR (Subscription required)
  • 2015-03-31 - 13F-HR/A (Subscription required)
  • 2015-03-31 - 13F-HR (Subscription required)
  • 2014-12-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

GWM ADVISORS, LLC
6300 CORPORATE BLVD SUITE 120
BATON ROUGE LA    70809
Country: United States

Business Phone: 225-930-4677
Fax: 225-421-1311
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: LA
Number of employees: 160
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges,Fixed fees
Amount of client funds and securities: 8,820,390
Total Number of Clients: 8068
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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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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