DFX Intelligence

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

INDEPENDENT SOLUTIONS WEALTH MANAGEMENT, LLC

CRD 144733

WILLIAMSVILLE, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:0312db49-2991-cadd-7ba0-b4cb76d72f07

Data as of Mar 24, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:14 AM UTC and rebuilt at most every 15 minutes.

Relationships: 54
Dated events: 12
On other graphs: 0
Observed: Mar 5, 2012 to Mar 24, 2026
47 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.98 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=24.0
Regulatory AUM: $1.5BItem 5.F on the latest filing (2026-03-24); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.5B
Private client RAUM: $1.5BderivedItem 5.D individuals plus high net worth individuals
Private client share: 98%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 30
RAUM per advisor: $51.2Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 30
Advisory employees: 26
Offices: 3Schedule D 1.F, beyond the principal office
Accounts: 7,198
Individual clients: 3,997
High net worth clients: 268
Custody, client assets: $136M
SEC number: 801-69708
CRD: 144733
Filings on the tape: 47
First filed: Mar 5, 2012
Latest filed: Mar 24, 2026
Organised: Limited Liability Company, DE
Website: iswealthmanagement.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first; showing 25 of 30

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
DANIEL DAVID NEIMAN	n/a	SAN DIEGO, CA	15	25	1	no
GLENN CHARLES WIGGLE	n/a	Palm Beach Gardens, FL \| WILLIAMSVILLE, NY	11	30	2	yes
JAY ROBERT BLANCHARD	n/a	WILLIAMSVILLE, NY	11	24	1	yes
SUSANNAH M RYAN	n/a	WILLIAMSVILLE, NY	11	17	1	yes
MICHAEL PATRICK HOEFLICH	n/a	WILLIAMSVILLE, NY	11	14	1	yes
MICHAEL STEVEN LOMAS	n/a	WILLIAMSVILLE, NY	10	30	1	yes
RONALD JAMES REINSTEIN	n/a	JUPITER, FL \| WILLIAMSVILLE, NY	10	20	1	yes
MICHAEL F. ZIMMER	n/a	WILLIAMSVILLE, NY	10	16	1	yes
DAVID PATRICK MARIACHER	n/a	Merritt Island, FL \| Burlington, KS \| WILLIAMSVILLE, NY	9	31	n/a	no
JOHN EDWARD THUR	Chartered Financial Analyst	Williamsville, NY	4	32	n/a	no
Lauren Muscato	n/a	WILLIAMSVILLE, NY	4	10	n/a	yes
Andrew Cassedy Miller	Certified Financial Planner	Missouri City, TX \| WILLIAMSVILLE, NY	4	25	10	yes
Anthony Szefler	n/a	WILLIAMSVILLE, NY	3	10	1	yes
MICHAEL FREDERICK BIEN	n/a	Beaverton, OR	3	22	4	yes
Russell E Gaiser	Certified Financial Planner	WILLIAMSVILLE, NY	3	18	1	yes
Jack Thomas Haxton	n/a	WILLIAMSVILLE, NY	2	12	n/a	yes
DAVID FRANKLIN MOORE	Certified Financial Planner	Willaimsville, NY \| WILLIAMSVILLE, NY	2	41	3	yes
Micah Moore	n/a	WILLIAMSVILLE, NY \| Naples, NY	2	12	1	yes
Brian M Webb	n/a	WILLIAMSVILLE, NY	1	17	n/a	yes
MICHAEL RICHARD SHAVER	Certified Financial Planner	WILLIAMSVILLE, NY	1	34	2	no
RONALD J WASKOW	n/a	WILLIAMSVILLE, NY	1	11	1	yes
Rohn Harrison Pierce	n/a	WILLIAMSVILLE, NY	1	12	1	yes
STEPHEN FRANCIS GRISKO	n/a	WILLIAMSVILLE, NY	1	31	1	yes
Michael Christopher Shaver	n/a	WILLIAMSVILLE, NY	1	13	n/a	no
MICHAEL ANTHONY SPERRAZZA	n/a	WILLIAMSVILLE, NY \| Williamsville, NY \| JUPITER, FL	0	12	1	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
BIG TIME & ASSOCIATES, INC.	MANAGING MEMBER	C	yes	04/2022	Mar 24, 2026	Mar 24, 2026
LOMAS, MICHAEL, STEVEN	MANAGING MEMBER	C	yes	08/2007	Mar 24, 2026	Mar 24, 2026
WIGGLE, GLENN, CHARLES	MANAGING MEMBER/CHIEF COMPLIANCE OFFICER	C	yes	08/2007	Mar 24, 2026	Mar 24, 2026
NEIMAN, DANIEL, DAVID	Owner	E	yes	04/2022	Mar 12, 2013	Oct 25, 2024
ZIMMER, MICHAEL, F.	CHIEF OPERATIONS OFFICER	Na	no	02/2017	Mar 24, 2026	Mar 24, 2026

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
BLACKRIDGE ASSET MANAGEMENT, LLC	n/a	Independent wealth	$370M	N	yes	n/a
NEIMAN FUNDS MANAGEMENT LLC	n/a	Asset manager	$41.2M	N	yes	n/a
PEAK BROKERAGE SERVICES, LLC	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Jupiter	FL	United States	2	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 24, 2026	$1.5B	$1.5B	30	26	3	n/a	n/a
2024	Mar 27, 2025	$1.2B	$1.2B	28	23	1	n/a	n/a
2023	Mar 23, 2024	$954M	$954M	21	16	1	n/a	n/a
2022	Mar 24, 2023	$838M	$838M	18	14	1	n/a	n/a
2021	Feb 11, 2022	$860M	$860M	19	14	1	n/a	n/a
2020	Feb 26, 2021	$708M	$708M	20	15	1	n/a	n/a
2019	Mar 13, 2020	$513M	$513M	25	20	1	n/a	n/a
2018	Mar 21, 2019	$357M	$357M	26	22	1	n/a	n/a
2017	Mar 27, 2018	$320M	$320M	27	23	1	n/a	n/a
2016	Mar 23, 2017	$260M	$260M	6	4	n/a	n/a	n/a
2015	Mar 24, 2016	$219M	$219M	6	5	n/a	n/a	n/a
2014	Mar 23, 2015	$209M	$209M	6	5	n/a	n/a	n/a
2013	Mar 25, 2014	$174M	$174M	6	5	n/a	n/a	n/a
2012	Mar 5, 2013	$116M	$116M	6	4	n/a	n/a	n/a
2011	Mar 5, 2012	$106M	$106M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
5	2	3	6.7%	0	1	0	12	2

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$1.5B	$1.2B	25.4%	$838M	22.4%	30	28	3	1

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
SHIELD WEALTH ADVISORS	2	Sep 14, 2020	Nov 18, 2020	WILLIAMSVILLE, NY	Team lift out	RIA to new firm	15.4%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
ALEXIS INVESTMENT PARTNERS, LLC	2	Mar 6, 2026	Mar 10, 2026	MONTGOMERY, TX	Team lift out	RIA to RIA	100.0%
BLACKRIDGE ASSET MANAGEMENT, LLC	3	Jan 6, 2025	Jan 8, 2025	JUPITER, FL	Team lift out	Ibd to RIA	4.5%
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	2	Apr 22, 2024	Apr 18, 2024	ROCHESTER, NY	Team lift out	Ibd to RIA	0.1%
NEXT FINANCIAL GROUP, INC.	6	Sep 2, 2015	Oct 9, 2015	WILLIAMSVILLE, NY	Team lift out	Other	1.5%

Relationships

Registered with (40)

← JASON ALLEN STEWARTAdvisorregistration: previous registration
Dec 18, 2025 to Dec 26, 2025factForm ADV
← JAMES ANTHONY COOKAdvisorregistration: current employment
Jun 18, 2026 to presentfactForm ADV
← Mark Adam VuskovAdvisorregistration: current employment
Apr 21, 2026 to presentfactForm ADV
← JASON WILLIAM BROWNEAdvisorregistration: current employment
Mar 10, 2026 to presentfactForm ADV
← Alexis Viroya Browne RobertsAdvisorregistration: current employment
Mar 10, 2026 to presentfactForm ADV
← MICHAEL ANTHONY SPERRAZZAAdvisorregistration: current employment
Dec 17, 2025 to presentfactForm ADV
← Michael Christopher ShaverAdvisorregistration: current employment
Sep 11, 2025 to presentfactForm ADV
← STEPHEN FRANCIS GRISKOAdvisorregistration: current employment
Jan 24, 2025 to presentfactForm ADV
← Rohn Harrison PierceAdvisorregistration: current employment
Jan 8, 2025 to presentfactForm ADV
← MICHAEL RICHARD SHAVERAdvisorregistration: current employment
Jan 6, 2025 to presentfactForm ADV
← RONALD J WASKOWAdvisorregistration: current employment
Jan 6, 2025 to presentfactForm ADV
← Brian M WebbAdvisorregistration: current employment
Nov 11, 2024 to presentfactForm ADV
← Micah MooreAdvisorregistration: current employment
Apr 18, 2024 to presentfactForm ADV
← DAVID FRANKLIN MOOREAdvisorregistration: current employment
Apr 17, 2024 to presentfactForm ADV
← Jack Thomas HaxtonAdvisorregistration: current employment
Jan 22, 2024 to presentfactForm ADV
← Russell E GaiserAdvisorregistration: current employment
Aug 31, 2023 to presentfactForm ADV
← MICHAEL FREDERICK BIENAdvisorregistration: current employment
Jun 27, 2023 to presentfactForm ADV
← Anthony SzeflerAdvisorregistration: current employment
Dec 16, 2022 to presentfactForm ADV
← Andrew Cassedy MillerAdvisorregistration: current employment
Sep 9, 2022 to presentfactForm ADV
← Lauren MuscatoAdvisorregistration: current employment
Aug 19, 2022 to presentfactForm ADV
← JOHN EDWARD THURAdvisorregistration: current employment
Nov 16, 2021 to presentfactForm ADV
← DAVID PATRICK MARIACHERAdvisorregistration: current employment
Aug 24, 2017 to presentfactForm ADV
← MICHAEL F. ZIMMERAdvisorregistration: current employment
Nov 17, 2015 to presentfactForm ADV
← RONALD JAMES REINSTEINAdvisorregistration: current employment
Oct 9, 2015 to presentfactForm ADV
← MICHAEL STEVEN LOMASAdvisorregistration: current employment
Sep 25, 2015 to presentfactForm ADV
← MICHAEL PATRICK HOEFLICHAdvisorregistration: current employment
Sep 10, 2015 to presentfactForm ADV
← GLENN CHARLES WIGGLEAdvisorregistration: current employment
Sep 3, 2015 to presentfactForm ADV
← JAY ROBERT BLANCHARDAdvisorregistration: current employment
Sep 3, 2015 to presentfactForm ADV
← SUSANNAH M RYANAdvisorregistration: current employment
Sep 3, 2015 to presentfactForm ADV
← DANIEL DAVID NEIMANAdvisorregistration: current employment
Nov 10, 2010 to presentfactForm ADV
and 10 more

Affiliated with (3)

→ NEIMAN FUNDS MANAGEMENT LLCRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ BLACKRIDGE ASSET MANAGEMENT, LLCRegistered adviserother investment adviser, common control
factForm ADV
← NEIMAN FUNDS MANAGEMENT LLCRegistered adviserother investment adviser, common control
factForm ADV

Moved with (5)

← ALEXIS INVESTMENT PARTNERS, LLCRegistered adviser2 advisors, team lift out, same day
Mar 6, 2026 to Mar 10, 2026factForm ADV
← BLACKRIDGE ASSET MANAGEMENT, LLCRegistered adviser3 advisors, team lift out
Jan 6, 2025 to Jan 8, 2025factForm ADV
← CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.Registered adviser2 advisors, team lift out, same day
Apr 22, 2024 to Apr 18, 2024factForm ADV
→ SHIELD WEALTH ADVISORSRegistered adviser2 advisors, team lift out, same day
Sep 14, 2020 to Nov 18, 2020factForm ADV
← NEXT FINANCIAL GROUP, INC.Registered adviser6 advisors, team lift out
Sep 2, 2015 to Oct 9, 2015factForm ADV

Controls (4)

← LOMAS, MICHAEL, STEVENOwnerMANAGING MEMBER, ownership code C, individual
Mar 5, 2012 to Oct 25, 2024factForm ADV
← WIGGLE, GLENN, CHARLESOwnerMANAGING MEMBER/CHIEF COMPLIANCE OFFICER, ownership code C, individual
Mar 5, 2012 to Oct 25, 2024factForm ADV
← NEIMAN, DANIEL, DAVIDOwnerOWNER, ownership code E, individual
Mar 12, 2013 to Oct 25, 2024factForm ADV
← BIG TIME & ASSOCIATES, INC.OwnerMANAGING MEMBER, ownership code C, domestic entity
Jun 10, 2022 to Oct 25, 2024factForm ADV

Owns (1)

← ZIMMER, MICHAEL, F.OwnerCHIEF OPERATIONS OFFICER, ownership code NA, individual
Jan 27, 2020 to Oct 25, 2024factForm ADV

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Jul 8, 2026
Advisor changed firm
Pina Formicola left Independent Solutions Wealth Management, Llc for Lpl Financial Llc (registered 2026-06-26)
Form ADVobserved 4 days ago
Occurred
Mar 24, 2026
Regulatory AUM changed
Independent Solutions Wealth Management, Llc reported RAUM $1.5B, up 25% from $1.2B (2025-10-28 to 2026-03-24)
Form ADVobserved 4 days ago
$311M
Occurred
Mar 6, 2026
Team lift-out
2 advisors left Alexis Investment Partners, LLC (Montgomery, TX) for Independent Solutions Wealth Management, LLC on the same day
Form ADVobserved 4 days ago
2 advisors
Occurred
Nov 26, 2025
Advisor changed firm
John L Shockey left Independent Solutions Wealth Management, Llc for Strategic Asset Management Llc. (registered 2026-04-23)
Form ADVobserved 4 days ago
Occurred
Mar 27, 2025
Regulatory AUM changed
Independent Solutions Wealth Management, Llc reported RAUM $1.2B, up 29% from $953.8M (2024-10-25 to 2025-03-27)
Form ADVobserved 4 days ago
$272M
Occurred
Jan 6, 2025
Team lift-out
3 advisors left Blackridge Asset Management, LLC (Jupiter, FL) for Independent Solutions Wealth Management, LLC a day apart
Form ADVobserved 4 days ago
3 advisors
Occurred
Apr 22, 2024
Team lift-out
2 advisors left Cambridge Investment Research Advisors, Inc. (Rochester, NY) for Independent Solutions Wealth Management, LLC on the same day
Form ADVobserved 4 days ago
2 advisors
Occurred
Jun 14, 2023
Control person joined
David Daniel Neiman (Owner) appeared on Schedule A of Independent Solutions Wealth Management, Llc
Form ADVobserved 4 days ago
Occurred
Jun 10, 2022
Control person left
David Daniel Neiman (Managing Member/Chief Financial Officer) no longer on Schedule A of Independent Solutions Wealth Management, Llc (listed 2022-02-11, absent 2022-06-10)
Form ADVobserved 4 days ago
Occurred
Feb 26, 2021
Regulatory AUM changed
Independent Solutions Wealth Management, Llc reported RAUM $707.9M, up 38% from $512.6M (2020-12-07 to 2021-02-26)
Form ADVobserved 4 days ago
$195M
Occurred
Mar 13, 2020
Regulatory AUM changed
Independent Solutions Wealth Management, Llc reported RAUM $512.6M, up 43% from $357.5M (2020-01-27 to 2020-03-13)
Form ADVobserved 4 days ago
$155M

Show 1 bookkeeping events

Occurred
Mar 27, 2018
Independent Solutions Wealth Management, Llc reported 23 state-registered advisory representatives, up from 3 (2017-03-23 to 2018-03-27)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0312db49-2991-cadd-7ba0-b4cb76d72f07
First observed: Mar 5, 2012
Last observed: Mar 24, 2026 6 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

INDEPENDENT SOLUTIONS WEALTH MANAGEMENT, LLC

CRD 144733

WILLIAMSVILLE, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:0312db49-2991-cadd-7ba0-b4cb76d72f07

Data as of Mar 24, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:14 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

DANIEL DAVID NEIMAN

n/a

SAN DIEGO, CA

GLENN CHARLES WIGGLE

n/a

Palm Beach Gardens, FL | WILLIAMSVILLE, NY

yes

JAY ROBERT BLANCHARD

n/a

WILLIAMSVILLE, NY

yes

SUSANNAH M RYAN

n/a

WILLIAMSVILLE, NY

yes

MICHAEL PATRICK HOEFLICH

n/a

WILLIAMSVILLE, NY

yes

MICHAEL STEVEN LOMAS

n/a

WILLIAMSVILLE, NY

yes

RONALD JAMES REINSTEIN

n/a

JUPITER, FL | WILLIAMSVILLE, NY

yes

MICHAEL F. ZIMMER

n/a

WILLIAMSVILLE, NY

yes

DAVID PATRICK MARIACHER

n/a

Merritt Island, FL | Burlington, KS | WILLIAMSVILLE, NY

n/a

JOHN EDWARD THUR

Chartered Financial Analyst

Williamsville, NY

n/a

Lauren Muscato

n/a

WILLIAMSVILLE, NY

n/a

yes

Andrew Cassedy Miller

Certified Financial Planner

Missouri City, TX | WILLIAMSVILLE, NY

yes

Anthony Szefler

n/a

WILLIAMSVILLE, NY

yes

MICHAEL FREDERICK BIEN

n/a

Beaverton, OR

yes

Russell E Gaiser

Certified Financial Planner

WILLIAMSVILLE, NY

yes

Jack Thomas Haxton

n/a

WILLIAMSVILLE, NY

n/a

yes

DAVID FRANKLIN MOORE

Certified Financial Planner

Willaimsville, NY | WILLIAMSVILLE, NY

yes

Micah Moore

n/a

WILLIAMSVILLE, NY | Naples, NY

yes

Brian M Webb

n/a

WILLIAMSVILLE, NY

n/a

yes

MICHAEL RICHARD SHAVER

Certified Financial Planner

WILLIAMSVILLE, NY

RONALD J WASKOW

n/a

WILLIAMSVILLE, NY

yes

Rohn Harrison Pierce

n/a

WILLIAMSVILLE, NY

yes

STEPHEN FRANCIS GRISKO

n/a

WILLIAMSVILLE, NY

yes

Michael Christopher Shaver

n/a

WILLIAMSVILLE, NY

n/a

MICHAEL ANTHONY SPERRAZZA

n/a

WILLIAMSVILLE, NY | Williamsville, NY | JUPITER, FL

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BIG TIME & ASSOCIATES, INC.

MANAGING MEMBER

yes

04/2022

Mar 24, 2026

LOMAS, MICHAEL, STEVEN

MANAGING MEMBER

yes

08/2007

Mar 24, 2026

WIGGLE, GLENN, CHARLES

MANAGING MEMBER/CHIEF COMPLIANCE OFFICER

yes

08/2007

Mar 24, 2026

NEIMAN, DANIEL, DAVID

Owner

yes

04/2022

Mar 12, 2013

Oct 25, 2024

ZIMMER, MICHAEL, F.

CHIEF OPERATIONS OFFICER

02/2017

Mar 24, 2026

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

BLACKRIDGE ASSET MANAGEMENT, LLC

n/a

Independent wealth

$370M

yes

n/a

NEIMAN FUNDS MANAGEMENT LLC

n/a

Asset manager

$41.2M

yes

n/a

PEAK BROKERAGE SERVICES, LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Jupiter

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 24, 2026

$1.5B

n/a

2024

Mar 27, 2025

$1.2B

n/a

2023

Mar 23, 2024

$954M

n/a

2022

Mar 24, 2023

$838M

n/a

2021

Feb 11, 2022

$860M

n/a

2020

Feb 26, 2021

$708M

n/a

2019

Mar 13, 2020

$513M

n/a

2018

Mar 21, 2019

$357M

n/a

2017

Mar 27, 2018

$320M

n/a

2016

Mar 23, 2017

$260M

n/a

2015

Mar 24, 2016

$219M

n/a

2014

Mar 23, 2015

$209M

n/a

2013

Mar 25, 2014

$174M

n/a

2012

Mar 5, 2013

$116M

n/a

2011

Mar 5, 2012

$106M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

6.7%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$1.5B

$1.2B

25.4%

$838M

22.4%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

SHIELD WEALTH ADVISORS

Sep 14, 2020

Nov 18, 2020

WILLIAMSVILLE, NY

Team lift out

RIA to new firm

15.4%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

ALEXIS INVESTMENT PARTNERS, LLC

Mar 6, 2026

Mar 10, 2026

MONTGOMERY, TX

Team lift out

RIA to RIA

100.0%

BLACKRIDGE ASSET MANAGEMENT, LLC

Jan 6, 2025

Jan 8, 2025

JUPITER, FL

Team lift out

Ibd to RIA

4.5%

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Apr 22, 2024

Apr 18, 2024

ROCHESTER, NY

Team lift out

Ibd to RIA

0.1%

NEXT FINANCIAL GROUP, INC.

Sep 2, 2015

Oct 9, 2015

WILLIAMSVILLE, NY

Team lift out

Other

1.5%