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C••••••••• E••••• S•••••••, LLC, CRD 8032
WALTHAM, MA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
Dated 2026-09-21 (filing); first seen by DFX 2026-09-22.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| S••••• R•• W••••• | Certified Financial Planner | DALLAS, TX | 37 | 44 | n/a | yes |
| M•••••• F•••••• F••••••••• | n/a | CANTON, MA | Quincy, MA | 31 | 42 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| 1••• H•••••• C••••••• L•• | Shareholder | E | yes | 08/2017 | Aug 10, 2017 | Dec 5, 2024 |
| B••••• W•••• M•••••• | CHIEF EXECUTIVE OFFICER | Na | yes | 01/2009 | Mar 30, 2012 | Dec 5, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| C•• I•••••••• A•••••• I••• | n/a | n/a | n/a | N | yes | n/a |
| C••••••••• E••••• S•••••••• I••• | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| SAN DIEGO | CA | United States | 238 | yes |
| OVERLAND PARK | Ks | United States | 56 | yes |
| Burlington | Ma | United States | 43 | yes |
| Worcester | Ma | United States | 33 | yes |
| SAN ANTONIO | TX | United States |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 92 | 666 | -574 | 22.6% | 23 | 105 | 0 | 618 | 1,169 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $213B | $210B | 1.4% | $146B | 13.3% | 4,200 | 4,850 | 1,433 | 1,762 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| C••••• I••••••••• A••••••• L•• | 3 | Sep 21, 2026 | Sep 16, 2026 | LANSING, MI | Team lift out | Ibd to ibd | 0.1% |
| •••••••• | 5 | Sep 21, 2026 | Aug 31, 2026 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| C••••• I••••••••• A••••••• L•• | 4 | Jun 10, 2026 | Jun 12, 2026 | PITTSBURGH, PA | Team lift out | Ibd to ibd | 0.0% |
| P••••••••• W••••• C••••••••• | 10 | Apr 2, 2026 | Apr 2, 2026 |
Among 829 advisers with 25 or more registered advisors, the largest net losses of registered advisors between 2025-09-22 and 2026-09-22: M•••••• L••••• P•••••• F••••• • S•••• I••••••••• -950 (587 in, 1,537 out, 25,468 registered); C••••••••• F•••••••• N•••••• -574 (92 in, 666 out, 2,942 registered); E•••••••• A•••••••• L•• -464 (99 in, 563 out, 4,624 registered); S•••••••• A••••••• L•• -401 (324 in, 725 out, 16,954 registered); E••••• J•••• -399 (332 in, 731 out, 24,084 registered); U•• F•••••••• S••••••• I••• -320 (295 in, 615 out, 9,349 registered). 30,105 firm-to-firm moves in the year across 6,129 firms.
Dated 2026-09-20 (filing); first seen by DFX 2026-09-21.
Dated 2026-09-14 (filing); first seen by DFX 2026-09-15.
Dated 2026-09-08 (filing); first seen by DFX 2026-09-15.
Dated 2026-09-21 (filing); first seen by DFX 2026-09-22.
Dated 2026-09-16 (filing); first seen by DFX 2026-09-18.
| yes |
| J••• A••••• O•••• | Certified Financial Planner | Andover, MA | 31 | 44 | n/a | yes |
| R•••••• L••••• N••••• | n/a | MILFORD, CT | 31 | 39 | n/a | yes |
| H•••• M••••• R••••• | n/a | CRANSTON, RI | Seekonk, MA | 31 | 39 | n/a | yes |
| W•••• F•••••• S••••••• | n/a | Jupiter, FL | NORWELL, MA | 31 | 41 | n/a | yes |
| W•••• B•••• | n/a | Weston, MA | WALTHAM, MA | 30 | 37 | n/a | yes |
| W•••••• H•••• B•••••• | Chartered Financial Consultant | Braintree, MA | 30 | 43 | n/a | no |
| W•••••• M•••• M••••• | n/a | MANCHESTER, CT | OXFORD, CT | 30 | 37 | n/a | yes |
| S•••••• M•••••• L•••••• | Certified Financial Planner | Newburyport, MA | Nokomis, FL | 29 | 42 | n/a | yes |
| D•••• J•••• P••••• | n/a | BRADENTON, FL | 29 | 31 | n/a | yes |
| D••••• A••••• F•••••• | n/a | WOBURN, MA | 29 | 42 | n/a | yes |
| R••••• G••••• M••••••••• | n/a | TULSA, OK | 29 | 32 | n/a | yes |
| P••• F•••••• S••••• | n/a | KINGSTON, NH | 29 | 45 | n/a | yes |
| J••••••• A•••• S•••• | Certified Financial Planner | NEWPORT, RI | NORTH SMITHFIELD, RI | RIVERTON, WY | REHOBOTH, MA | 28 | 42 | n/a | yes |
| B•••• M•••••• G•••• | n/a | ARAB, AL | 28 | 42 | n/a | yes |
| R•• M•••••• M••••••••• | Certified Financial Planner|Chartered Financial Consultant | Manchester, NH | 28 | 40 | n/a | yes |
| M••••••• A•• B•••••• | n/a | NORTHBOROUGH, MA | Shrewsbury, MA | 28 | 39 | n/a | yes |
| J•••• P•••••• K•••••• | n/a | SANDY HOOK, CT | 28 | 40 | n/a | yes |
| J••••••• P••• L•••• | Certified Financial Planner|Chartered Financial Consultant | Huntertown, IN | FORT W••••, IN | 27 | 34 | 2 | yes |
| D••••• S•••• B••• | Chartered Financial Consultant | WESTBOROUGH, MA | WALTHAM, MA | 27 | 39 | n/a | yes |
| J••• M•••• K••••••• | Certified Financial Planner | BELMONT, MA | 27 | 33 | 1 | yes |
| S••••• J••••• N•••••• | n/a | DANVERS, MA | 27 | 36 | n/a | yes |
| J•••••• A••• S•••• | Certified Financial Planner | Clinton, NJ | NEW LONDON, CT | WALTHAM, MA | GLASTONBURY, CT | 27 | 30 | n/a | yes |
| A•••••• F•••••• A•••••• | n/a | Middletown, CT | CHESHIRE, CT | Glastonbury, CT | 27 | 30 | n/a | yes |
| MANAGING PRINCIPAL, OPERATIONS |
| Na |
| yes |
| 05/2013 |
| Apr 22, 2014 |
| Dec 5, 2024 |
| C•• H•••••• C••••••• L•• | Shareholder | E | yes | 08/2017 | Nov 16, 2018 | Dec 5, 2024 |
| C•• V•••••••• L•• | Shareholder | E | yes | 08/2017 | Aug 10, 2017 | Dec 5, 2024 |
| C••••••• J••••••• C• | CHIEF FINANCIAL OFFICER | Na | yes | 06/2020 | Jul 7, 2020 | Dec 5, 2024 |
| D•••••• J••••• S••••• | Chairman | Na | yes | 07/1996 | Mar 30, 2012 | Dec 5, 2024 |
| D•••••• J••••• S••••• | Trustee | E | yes | 03/2024 | Mar 30, 2012 | Dec 5, 2024 |
| D•••••• M•••••• F••••••• | VICE CHAIRMAN | Na | yes | 07/2023 | Mar 28, 2024 | Dec 5, 2024 |
| G•••••••• H•••••••• I••• | Shareholder | E | yes | 08/2021 | Nov 16, 2018 | Dec 5, 2024 |
| H•••••• A•••••••• W•••••• | SVP, RIA COMPLIANCE | Na | yes | 09/2021 | Sep 30, 2021 | Dec 5, 2024 |
| H•• P•••• L••• | GENERAL COUNSEL, SENIOR VICE PRESIDENT | Na | yes | 04/2021 | Sep 30, 2021 | Dec 5, 2024 |
| J••••• S• D••••• 2••• R•••••••• T•••• | Shareholder | C | yes | 03/2024 | Apr 15, 2024 | Dec 5, 2024 |
| K•••••• C••••••••• A•••••• T••••••• | CHIEF OPERATIONS OFFICER, PRESIDENT | Na | yes | 07/2015 | Mar 28, 2016 | Dec 5, 2024 |
| M•••••••• W•••••• B••••••• | MANAGING PRINCIPAL, CHIEF INVESTMENT OFFICER | Na | yes | 02/2009 | Mar 30, 2012 | Dec 5, 2024 |
| P••••• B•••• T••••• | MANAGING PRINCIPAL, INVESTMENT MANAGEMENT AND RESEARCH | Na | yes | 06/2022 | Apr 21, 2023 | Dec 5, 2024 |
| R•••••• J••• J•••• | MANAGING PRINCIPAL | Na | yes | 09/1988 | Mar 30, 2012 | Dec 5, 2024 |
| T•••••• P••• J••••••• | MANAGING PRINCIPAL, CHIEF COMPLIANCE OFFICER | Na | yes | 08/2006 | Mar 30, 2012 | Dec 5, 2024 |
| W••••••• P•••• T••••••• | Manager | Na | yes | 05/2013 | Mar 30, 2012 | Dec 5, 2024 |
| yes |
| SALT LAKE CITY | Ut | United States | 33 | yes |
| Glastonbury | Ct | United States | 32 | yes |
| ANAHEIM HILLS | CA | United States | 24 | yes |
| Raleigh | Nc | United States | 24 | yes |
| Norfolk | Ne | United States | 24 | yes |
| POMFRET CENTER | Ct | United States | 22 | yes |
| Ludlow | Ma | United States | 22 | yes |
| OAK BROOK | IL | United States | 21 | yes |
| Glastonbury | Ct | United States | 20 | yes |
| L•••FIELD | Ma | United States | 20 | yes |
| Towson | Md | United States | 19 | yes |
| Bedford | Nh | United States | 19 | yes |
| Depew | NY | United States | 19 | yes |
| Metuchen | Nj | United States | 18 | yes |
| Madison | Wi | United States | 18 | yes |
| Cheshire | Ct | United States | 17 | yes |
| Glastonbury | Ct | United States | 17 | yes |
| Westborough | Ma | United States | 17 | yes |
| B••••INGTON | Mn | United States | 17 | yes |
| Friendswood | TX | United States | 17 | yes |
| Mar 30, 2026 |
| $213B |
| $208B |
| 4,200 |
| 2,650 |
| 1,433 |
| n/a |
| n/a |
| 2024 | Apr 23, 2025 | $210B | $203B | 4,850 | 3,150 | 1,762 | n/a | n/a |
| 2023 | Mar 28, 2024 | $177B | $171B | 4,500 | 3,000 | 1,613 | n/a | n/a |
| 2022 | Mar 30, 2023 | $146B | $142B | 4,300 | 2,900 | 1,759 | n/a | n/a |
| 2021 | Mar 31, 2022 | $162B | $157B | 4,000 | 2,700 | 1,275 | n/a | n/a |
| 2020 | Mar 27, 2021 | $134B | $130B | 3,500 | 2,600 | 1,090 | n/a | n/a |
| 2019 | Mar 27, 2020 | $111B | $109B | 3,400 | 2,500 | 1,090 | n/a | n/a |
| 2018 | Mar 29, 2019 | $85B | $83B | 3,350 | 2,400 | 1,090 | n/a | n/a |
| 2017 | Mar 29, 2018 | $81B | $79B | 3,200 | 2,300 | 1,090 | n/a | n/a |
| 2016 | Mar 30, 2017 | $61B | $61B | 3,300 | 2,250 | n/a | n/a | n/a |
| 2015 | Mar 28, 2016 | $52B | $51B | 3,200 | 2,150 | n/a | n/a | n/a |
| 2014 | Mar 30, 2015 | $48B | $47B | 3,100 | 1,900 | n/a | n/a | n/a |
| 2013 | Mar 28, 2014 | $41B | $40B | 2,600 | 1,800 | n/a | n/a | n/a |
| 2012 | Mar 28, 2013 | $33B | $33B | 2,500 | 1,800 | n/a | n/a | n/a |
| 2011 | Mar 30, 2012 | $28B | $27B | n/a | n/a | n/a | n/a | n/a |
| FAIRBANKS, AK |
| Team lift out |
| Ibd to RIA |
| 0.2% |
| K••••• A••••••• S•••••••• L•• | 3 | Sep 20, 2026 | Sep 15, 2026 | TELL CITY, IN | Team lift out | Ibd to ibd | 0.1% |
| F•••••••• P••••••• R••••••••• I••• | 2 | Sep 16, 2026 | Apr 6, 2022 | WILLOUGHBY HILLS, OH | Team lift out | Other | 0.1% |
| S••••• W••••• P••••••• | 3 | Sep 16, 2026 | Sep 17, 2026 | NEW CITY, NY | Team lift out | Ibd to new firm | 0.1% |
| D•••••••• A••••••• S•••••••• L•• | 2 | Sep 14, 2026 | Sep 14, 2026 | WALTHAM, MA | Team lift out | Ibd to ibd | 0.1% |
| •••••••• | 3 | Sep 14, 2026 | Sep 16, 2026 | WILLOUGHBY HILLS, OH | Team lift out | Ibd to RIA | 0.1% |
| C••••• I••••••••• A••••••• L•• | 5 | Sep 14, 2026 | Sep 8, 2026 | LUTZ, FL | Team lift out | Ibd to ibd | 0.2% |
| A•••••• W••••• M••••••••• L•• | 2 | Sep 14, 2026 | Sep 9, 2026 | ROCKVILLE, MD | Team lift out | Ibd to RIA | 0.1% |
| G••••• R••••••••• P••••••• L•• | 4 | Sep 8, 2026 | Sep 1, 2026 | SOUTH PORTLAND, ME | Team lift out | Other | 0.1% |
| O•••• W•••••• I••• | 6 | Aug 20, 2026 | Aug 26, 2026 | FITCHBURG, WI | Team lift out | Ibd to ibd | 0.2% |
| K••••• A••••••• S•••••••• L•• | 2 | Aug 20, 2026 | Aug 18, 2026 | SAN DIEGO, CA | Team lift out | Ibd to ibd | 0.1% |
| C••••• I••••••••• A••••••• L•• | 2 | Aug 20, 2026 | Aug 18, 2026 | ANNAPOLIS, MD | Team lift out | Ibd to ibd | 0.1% |
| R•••••• J•••• F•••••••• S••••••• A•••••••• I•• | 2 | Aug 20, 2026 | Aug 18, 2026 | BRASELTON, GA | Team lift out | Ibd to ibd | 0.1% |
| M•••• F•••••••• A••••••• | 2 | Aug 17, 2026 | Aug 14, 2026 | MARQUETTE, MI | Team lift out | Ibd to ibd | 0.1% |
| R•••••• J•••• F•••••••• S••••••• A•••••••• I•• | 4 | Aug 13, 2026 | Aug 17, 2026 | WALTHAM, MA | Team lift out | Ibd to ibd | 0.1% |
| R•••••• J•••• F•••••••• S••••••• A•••••••• I•• | 2 | Aug 12, 2026 | Aug 3, 2026 | ROCHESTER, NY | Team lift out | Ibd to ibd | 0.1% |
| K••••• A••••••• S•••••••• L•• | 2 | Aug 11, 2026 | Aug 11, 2026 | CLAYTON, MO | Team lift out | Ibd to ibd | 0.1% |
| I• W••••• | 2 | Aug 6, 2026 | Jul 15, 2026 | ADA, MI | Team lift out | Ibd to state RIA | 0.1% |
| C••••• I••••••••• A••••••• L•• | 2 | Aug 3, 2026 | Jul 23, 2026 | AVON LAKE, OH | Team lift out | Ibd to ibd | 0.1% |
| WILMINGTON, NC |
| Firm absorbed |
| RIA to ibd |
| 100.0% |
| L••••• F•••••••• G•••• I•• | 3 | Mar 11, 2026 | Jul 21, 2010 | PITTSBURGH, PA | Firm absorbed | Other | 75.0% |
| 7• S•••••• F••••••••• L•• | 2 | Dec 31, 2025 | Feb 18, 2025 | SAN DIEGO, CA | Team lift out | RIA to ibd | 100.0% |
| C••••• I••••••••• A••••••• L•• | 2 | Nov 18, 2025 | Nov 19, 2025 | PONTE VEDRA BEACH, FL | Team lift out | Ibd to ibd | 0.0% |
| V••••••• • A••••••••• F•••••••• P••••••• I•• | 3 | Oct 15, 2025 | Jul 24, 2025 | SARATOGA SPRINGS, NY | Firm absorbed | RIA to ibd | 75.0% |
| F•••••• | 2 | Oct 10, 2025 | Oct 8, 2025 | BRENTWOOD, CA | Team lift out | RIA to ibd | 1.0% |
| C••••• I••••••••• A••••••• L•• | 3 | Jul 1, 2025 | Jul 17, 2025 | LACONIA, NH | Team lift out | Ibd to ibd | 0.0% |
| L•• F•••••••• L•• | 4 | Jul 1, 2025 | Jun 23, 2025 | BETHLEHEM, PA | Team lift out | Ibd to ibd | 0.0% |
| C•••• • P••••• | 3 | Jun 25, 2025 | Jun 2, 2025 | JACKSON, MS | Team lift out | RIA to ibd | 30.0% |
| S••••• P•••••• W••••• A••••••• G•••• I••• | 3 | Jun 7, 2025 | Jul 21, 2025 | FRESNO, CA | Firm absorbed | Other | 100.0% |
| O•••• A••••••• S•••••••• L•• | 2 | May 28, 2025 | May 22, 2025 | ATLANTA, GA | Team lift out | Ibd to ibd | 0.6% |
| B••••••• S••••••••• C•••• | 2 | May 23, 2025 | May 22, 2025 | ROCHESTER, NY | Team lift out | RIA to ibd | 7.4% |
| R•• C•••••• M••••••• L•• | 3 | May 2, 2025 | Apr 17, 2025 | WEBSTER, NY | Team lift out | Ibd to ibd | 0.1% |
| O•••• W•••••• I••• | 2 | Apr 30, 2025 | May 1, 2025 | ROSCOE, IL | Team lift out | Ibd to ibd | 0.0% |
| E••••• J•••• | 2 | Apr 29, 2025 | Apr 28, 2025 | FOREST CITY, NC | Team lift out | Ibd to ibd | 0.0% |
| A••••••••• F•••••••• S•••••••• L•• | 2 | Apr 25, 2025 | Apr 23, 2025 | CEDAR FALLS, IA | Team lift out | Ibd to ibd | 0.0% |
| E•••••••• A•••••••• L•• | 3 | Apr 25, 2025 | Apr 22, 2025 | ROCHESTER, NY | Team lift out | Ibd to ibd | 0.1% |
| A••••••••• F•••••••• S•••••••• L•• | 3 | Apr 17, 2025 | Apr 17, 2025 | TALLAHASSEE, FL | Team lift out | Ibd to ibd | 0.0% |
| A••••••••• F•••••••• S•••••••• L•• | 3 | Apr 17, 2025 | Apr 16, 2025 | PLEASANT LAKE, MI | Team lift out | Ibd to ibd | 0.0% |