Mark W. Knipfer
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Mark Woodrow Knipfer JR, CIMA®, who also goes by Mark Woodrow Knipfer, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 2004. Mark had worked at 6 firms and has passed the Series 65, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 25, 2023 - July 1, 2024
WEALTHSPIRE ADVISORS
June 21, 2017 - January 17, 2023
GREENROCK RESEARCH, INC.
July 1, 2013 - September 30, 2016
NORTHROAD CAPITAL MANAGEMENT LLC
May 26, 2011 - November 7, 2016
MFD DISTRIBUTOR, LLC
January 26, 2011 - November 16, 2016
MADISON INVESTMENT ADVISORS, LLC
September 14, 2004 - December 31, 2011
MADISON INVESTMENT HOLDINGS, INC
Primary Firm SEC Registration
WEALTHSPIRE ADVISORS
CRD#: 106181 / SEC#: 801-49390
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
WEALTHSPIRE ADVISORS
CRD#: 106181 / SEC#: 801-49390
Contact information
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 8,760 |
| AUM (Assets Under Management) | $ 25,786,873,286 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/17/2025 | ||
| 08/29/2024 | ||
| 06/28/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
