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42,223 additional relationships, 75 more dated events, 135 more table rows
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Dated Oct 27, 2026 (filing); first seen by DFX Oct 29, 2026.
3 earlier readings: Oct 26, 2026, Sep 30, 2026, Jul 31, 2026
Dated Oct 19, 2026 (filing); first seen by DFX Oct 20, 2026.
1 earlier reading: Aug 14, 2026
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| FREDERICK MOFFAT CASWELL | n/a | Portland, ME | 17 | 45.3 | 1 | yes |
| SUSAN T WILSON | n/a | Sarasota, FL | 17 | 45.2 | 2 | yes |
| GEOFFREY PAUL SCHROEDER | n/a | Boca Raton, FL | Rumson, NJ | Shrewsbury, NJ | 17 | 45 | 1 | yes |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| ADRIEN, JACQUES CARLO JR | PRINCIPAL FINANCIAL OFFICER | Na | yes | 05/2019 | Jun 19, 2019 | Dec 16, 2024 |
| FINN, JED | DIRECTOR, CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | Na | yes | 01/2024 | Feb 22, 2016 | Dec 16, 2024 |
| GALASSO, DAVID ANTHONY | PRINCIPAL OPERATIONS OFFICER | Na | yes | 07/2019 | Jul 19, 2019 | Dec 16, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| MORGAN STANLEY INVESTMENT MANAGEMENT INC. | n/a | Asset manager | $702B | N | yes | n/a |
| PARAMETRIC PORTFOLIO ASSOCIATES LLC | n/a | Platform or sma manager | $685B | N | yes | n/a |
| MORGAN STANLEY INVESTMENT MANAGEMENT LIMITED | n/a | Asset manager | $175B | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Alpharetta | Ga | United States | 600 | yes |
| Sandy | Ut | United States | 494 | yes |
| Chicago | IL | United States | 325 | yes |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Apr 21, 2026 | $1.96T | $1.43T | 29,481 | 13,000 | 627 | n/a | n/a |
| 2024 | Mar 28, 2025 | $1.65T | $1.20T | 29,200 | 13,000 | 627 | n/a | n/a |
| 2023 | Mar 28, 2024 | $1.40T | $1.01T | 29,300 | 13,000 | 930 | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 793 | 765 | 28 | 3.3% | 180 | 162 | 0 | 2,391 | 2,611 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $1.96T | $1.65T | 18.9% | $1.19T | 18.3% | 29,481 | 29,200 | 627 | 627 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| CLARO ADVISORS INC. | 2 | Oct 27, 2026 | Oct 28, 2026 | WESTBOROUGH, MA | Team lift out | Wirehouse to RIA | 0.0% |
| UBS FINANCIAL SERVICES INC. | 2 | Oct 26, 2026 | Oct 23, 2026 | FORT MYERS, FL | Team lift out | Wirehouse to wirehouse | 0.0% |
| DAYMARK WEALTH PARTNERS, LLC | 2 | Oct 5, 2026 | Oct 2, 2026 | DELAND, FL | Team lift out | Wirehouse to RIA | 0.0% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | 2 | Oct 19, 2026 | Oct 16, 2026 | BIRMINGHAM, AL | Team lift out | Wirehouse to wirehouse | 0.0% |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | 4 | Oct 19, 2026 | Oct 16, 2026 | BEVERLY HILLS, CA | Team lift out | Wirehouse to wirehouse | 0.0% |
| J.P. MORGAN SECURITIES LLC | 2 | Oct 19, 2026 | Oct 26, 2026 | NEW YORK, NY | Team lift out | Wirehouse to wirehouse | 0.0% |
Only bookkeeping events name this entity; they are folded below.
Named in 1 current finding: 31 wirehouse advisors left in 8 teams for independent RIAs in 90 days; Cresset Asset Management, Llc took the most
Between 2026-08-01 and 2026-10-30, 8 lift-out teams (31 people) moved from a wirehouse to a registered investment adviser, out of 473 lift-out teams of every kind (1,414 people).