Woodbury Financial Services, Inc. (Oakdale)


Woodbury Financial Services, Inc. is a large advisory firm based in Oakdale. It manages $7.63 billion of regulatory assets for 45,748 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 48 other states.

Woodbury Financial Services provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, pension consulting services, selection of other advisers, and educational seminars and workshops. It prepares financial plans for approximately 1,000 clients. On top of advisory services, the firm doesn't engage in other business activities.

Woodbury Financial Services: assets under management

The assets under management (AUM) of Woodbury Financial Services, Inc. is $7.63 billion. The firm's AUM has grown by 225% since the beginning of its operation, and $213.19 thousand of the total AUM is attributable to clients outside of the United States.

The firm manages $3.74 billion in discretionary accounts and $3.89 billion in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $204.13 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $141.87 thousand.
Woodbury Financial Services has custody of $385.9 million in cash and securities for 1,648 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in investment and business development companies the most. They account for 47% of the total AUM. The second-largest asset type is exchange traded securities, which make up 42% of the firm’s portfolio. Investments in cash and cash equivalents form 8% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Woodbury Financial Services, Inc. for their services and products based on a percentage of assets under management, hourly charges, fixed fees, and commissions. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Erica Maja Mcginnis serves?

The firm provides services to individuals, charitable organizations, high net worth individuals, corporations or other businesses, and pension and profit sharing plans. The largest group of clients of Erica Maja Mcginnis is individuals with 28,995 clients and $4.55 billion of assets under management. Among the 7 most similar advisory firms, Woodbury Financial Services has the highest percentage of individuals out of all clients.

The amount of regulatory assets under management is $7.63 billion for 34,567 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 1% of the firm’s clients are foreign persons or businesses.

Woodbury Financial Services doesn't advise any private funds.

Careers at Woodbury Financial Services, Inc.

The company employs 1,925 people that are either part- or full-time employees. 49 percent of the employees work as investment advisers or researchers. 1,104 employees are registered as investment adviser representatives with the state securities authorities.

There are 2 people with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees receive compensation from other entities for client referrals.

Erica Maja Mcginnis has been acting as President since 1 May 2013. Ag Parent Corporation joined the executive team most recently as the Shareholder.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Inc.) Hartford Administrative Services Company (100% Parent Of Woodbury Financial Services Parent 1 Mar 1968 75% - 100% 410679409
Mark Joseph Cadalbert Chief compliance officer 1 Feb 1993 Other 1526015
Carol Mary Houghtby Chief financial officer & director 1 Dec 1993 Other 1852242
John Eric Hite Vice president, secretary & chief legal counsel 1 Mar 1997 Other 1893745
Walter Rex White Senior vice president of operations & director 1 Jun 2000 Other 2532002
Roger Wayne Arnold Senior vice president of sales & director 1 Apr 2001 Other 1273974
Robert Allen Kerzner Chief executive officer, president & director 1 Apr 2001 Other 803216
Lois Weingart Grady Director 1 Apr 2001 Other 2512385
Richard David Fergesen Chief financial officer & treasurer 1 Aug 2001 Other 717938
Brian Dennis Murphy Vice president of sales 1 Oct 2001 Other 865909
Brian Dennis Murphy Vice president of sales & director 1 Mar 2002 Other 865909
Inc.) Hartford Life And Accident Insurance Company (100% Parent Of Woodbury Financial Services Parent 1 Feb 2003 75% - 100% 06-0838648
Hartford Life And Accident Insurance Company Parent of applicant 1 Feb 2003 75% - 100% 06-0838648
Robert Allen Kerzner Director 1 Jan 2004 Other 803216
Walter Rex White Chief operations officer and director 1 Jan 2004 Other 2532002
Brian Dennis Murphy President, chief executive officer and director 1 Jan 2004 Other 865909
Andrea Hamlin Oneill Chief compliance officer for the investment adviser 1 Feb 2004 Other 1328175
John Clinton Walters Director 1 Dec 2004 Other 1292169
Michael Gavan Brennan Chief compliance officer - broker/dealer 1 Mar 2005 Other xxx-xx-xxxx
Mark Joseph Cadalbert Aml compliance officer 1 Mar 2005 Other 1526015
Kathy Johnson Weiler Vice president, chief marketing officer 1 Mar 2005 Other 2567237
Mark A Sides Chief legal officer and aml compliance officer 1 Jul 2005 Other 5040276
Mark A Sides Chief legal officer and chief compliance officer for investment advisory services 1 Nov 2005 Other xxx-xx-xxxx
Karen Lynn Larson Chief administrative officer 1 May 2006 Other 4122142
Richard David Fergesen Chief financial officer & treasurer 1 Jan 2007 Other 717938
Mark Kevin Ii Eide Chief compliance officer of advisory services 1 Jun 2007 Other 4130194
Jill Antoinette Warren Interim chief compliance officer 1 Sep 2007 Other 1682268
Kenneth Michael Cherrier Chief compliance officer and aml compliance officer 1 Sep 2007 Other 3135567
Scott Andrew Carlson Senior vice president, sales & distribution 1 Jul 2008 Other 1785284
Ryan O'neal Hill Chief compliance officer 1 Mar 2009 Other 4297960
Hartford Life Insurance Company Parent of applicant 1 Mar 2009 75% - 100% 06-0974148
Deborah Lokken Berg Vice president, chief administrative officer 1 Apr 2009 Other 1700492
Mark Kevin Ii Eide Chief compliance officer 1 Aug 2009 Other 4130194
Hartford Life And Annuity Insurance Company Parent of applicant 1 Sep 2009 75% - 100% 39-1052598
Patrick Henry Mcevoy President and chief executive officer 1 Sep 2009 Other 1796543
Shaun Christopher Clasby Vice president and chief marketing officer 1 Sep 2009 Other 1342955
Albert L Johnson Chief compliance officer and aml compliance officer 1 May 2010 Other 2756121
Jennifer Rechlitz Relien Chief legal officer 1 Jul 2010 Other 2838904
Matthew Christopher Dian Director, operations 1 Jan 2011 Other 2246088
Gary Neal Bender Vice president, acquisition and retention 1 May 2011 Other 1493897
Inc. Aig Advisor Group Shareholder 1 Nov 2012 75% - 100% 86-0623864
Inc. Advisor Group Shareholder 1 Nov 2012 75% - 100% 86-0623864
Noah David Sorkin Executive vice president, general counsel and secretary 1 Dec 2012 Other 1832767
Ralph Lawrence Roth Director, chairman 1 Dec 2012 Other 1432179
Craig Harold Dahmen Senior vice president, chief financial officer, treasurer 1 Jan 2013 Other 3245626
Shari Lynn Clifford Financial principal 1 Jan 2013 Other 5458974
Joseph Daniel Jr Neary Chief compliance officer, investment advisory 1 Jan 2013 Other 2993505
Erica Maja Mcginnis Director 1 May 2013 Other 2380497
Daniel Paul Burkott Aml compliance officer 1 Jul 2013 Other 4710068
Kenneth Ray Goodall Chief compliance officer, investment advisory 1 Oct 2013 Other 2682569
Matthew Adam Schlueter Executive vice president, strategy & advisor experience 1 Oct 2013 Other 2627931
Sally Hanson Bourdamis Vice president, brokerage services 1 Oct 2013 Other 1812157
Inger Wilson Fields Assistant treasurer, finop 1 Jan 2014 Other 1690043
James David Ballard Director 1 Jan 2014 Other 1714327
Mark Phillip Gross Vice president 1 Jan 2014 Other 1917516
Richard David Fergesen Director, chief executive officer, president 1 Mar 2014 Other 717938
Robert John Guldner Chief compliance officer, investment advisory 1 Aug 2014 Other 2283980
Matthew Adam Schlueter Chief adminstrative officer, evp 1 Nov 2014 Other 2627931
John Joseph Dillon Vice president, chief compliance officer 1 Jan 2015 Other 4470999
Matthew Adam Schlueter Director, chief operations officer, evp 1 May 2015 Other 2627931
Thomas Blake Sidlo Municipal principal 1 Jan 2016 Other 1012276
Valerie Gay Brown Chairperson 1 Aug 2016 Other 4619265
Ahmed Saad Hassanein Chief accounting officer, finop 1 Aug 2016 Other 2888045
James Dale Price Chairman, director 1 Nov 2016 Other 1243224
David Martin Schmidt Treasurer and financial principal, fnop 1 Mar 2017 Other 5675524
Cynthia A Hamel Director, chief operations officer, evp 1 May 2017 Other 3014361
Cynthia Ann Hamel Chief operations officer, evp 1 May 2017 Other 3014361
Nina Schloesser Mckenna Executive vice president, general counsel, secretary 1 Jun 2017 Other 6302448
Dori Jamille Hammond Vice president, chief compliance officer 1 Mar 2018 Other 3259012
Amy Marie Harbort Vice president, chief compliance officer 1 Nov 2018 Other 4119927
Matthew Adam Schlueter Director, evp 1 Mar 2019 Other 2627931

Indirect Owners

The SEC currently registers 26 indirect owners.

Name Entity Date acquired Ownership Employer ID
Hartford Life & Accident Insurance Company Owner 1 Apr 1990 75% - 100% 06-0838648
Inc. Sunamerica Investments Shareholder 1 Sep 1990 75% - 100% 52-1128427
Inc. Hartford Life Indirect parent 1 Dec 1996 75% - 100% 06-1470915
Inc. Aig Life Holdings Shareholder 1 Jan 1999 75% - 100% 74-0483432
Inc. American International Group Shareholder 1 Jan 1999 75% - 100% 13-2592361
Sunamerica Life Insurance Company Shareholder 1 Jan 1999 75% - 100% 52-0502540
Inc. Sunamerica Financial Group Shareholder 1 Jan 1999 75% - 100% 74-0483432
Inc. The Hartford Financial Services Group Indirect parent 1 May 2000 75% - 100% 13-3317783
Hartford Fire Insurance Company Indirect parent 1 May 2000 75% - 100% 06-0383750
Inc. Hartford Holdings Owner 1 May 2000 75% - 100% 06-0383750
Hartford Life And Accident Insurance Company Indirect parent 1 Apr 2001 75% - 100% 06-0838648
Hartford Life Insurance Company Owner 1 Sep 2009 75% - 100% 06-0974148
Inc. Safg Retirement Services Shareholder 1 Apr 2012 75% - 100% 95-4715639
American General Life Insurance Company Shareholder 1 Dec 2012 75% - 100% 25-0598210
Agc Life Insurance Company Shareholder 1 Dec 2012 75% - 100% 76-0030921
Inc. Advisor Group Holdings Shareholder 1 May 2016 75% - 100% 81-1294994
Lp Lightyear Iii Shareholder 1 May 2016 25% - 50% 90-0652029
Lp Lightyear Fund Iii Gp General partner 1 May 2016 Other 90-0652029
Llc Lightyear Fund Iii Gp Holdings General partner 1 May 2016 75% - 100% 80-0678434
Llc Ly Holdings Managing member 1 May 2016 75% - 100% 46-4629703
Mark Francis Vassallo Managing member 1 May 2016 75% - 100% 1311427
L.P. Lightyear Fund Iii Shareholder 1 May 2016 50% - 75% 90-0652029
Ag Parent Corporation Shareholder 1 Aug 2019 75% - 100% 84-1770050
Ag Intermediate Corporation Shareholder 1 Aug 2019 75% - 100% 38-4119398
L.P. Ag Artemis Holders Shareholder 1 Aug 2019 75% - 100% 84-1759446
L.P. Rcp Artemis Co Invest Shareholder 1 Aug 2019 75% - 100% 98-1496057

Based in Oakdale

The principal office where Woodbury Financial Services, Inc. performs its advisory services is located at 7755 3 Rd Street North, Oakdale, MN 55128 The mailing address of the firm is P.O. Box 64284, St. Paul, MN 55164 0284. An additional office of the firm is in Warrenville, IL. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 800-800-2638 or by fax 877-488-5564. The normal business hours are 8:00 a.m. - 5:00 p.m. central time on Monday - Friday. You can find more information about the New York firm at joinwoodbury.com.