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CRD 6627
NEW YORK, NY
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
Dated 2026-09-10 (filing); first seen by DFX 2026-09-16.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| S•••••• A•••••• M••••••••• | n/a | PALESTINE, TX | 42 | 42 | n/a | yes |
| R••••• F•••• Z•••• | n/a | SAN A•••••, TX | 42 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| B••••••••• M••••••• E•••••••• | CHIEF RISK OFFICER | Na | yes | 11/2018 | Dec 19, 2012 | Oct 11, 2024 |
| B•••••• P••••••• A•••• | BROKER DEALER CHIEF COMPLIANCE OFFICER | Na | yes | 02/2019 | Feb 22, 2019 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| A••••••••• L••• | n/a | Other adviser | $763B | N | yes | n/a |
| E•••••••• I••••••••• M••••••••• G••••• L•• | n/a | ASSET_M•••••• | $167B | N | yes |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| NEW YORK | NY | United States | 634 | yes |
| Dallas | TX | United States | 442 | yes |
| BALA CYNWYD | Pa | United States | 435 | yes |
| Woodbridge | Nj | United States | 426 | yes |
| W••••••SVILLE | NY |
| 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 |
|---|---|---|---|---|---|---|---|---|
| 99 | 560 | -461 | 12.1% | 27 | 84 | 0 | 332 | 1,395 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $42B | $35B | 22.6% | $25B | 20.0% | 5,674 | 5,876 | 885 | 885 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| V•••••• F•••••••• | 2 | Sep 10, 2026 | Sep 9, 2026 | DALLAS, TX | Team lift out | Ibd to RIA | 0.0% |
| J••• M••••• S••••••••• L•• | 2 | Sep 2, 2026 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| A••••••••• F•••••••• S•••••••• L•• | 2 | Jul 29, 2026 | Jul 31, 2026 | MONROVIA, CA | Team lift out | Ibd to ibd | 0.0% |
| S••••••• F•••••••• A•••••••• I••• | 2 | Jul 23, 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••••••••• -948 (582 in, 1,530 out, 25,468 registered); C••••••••• F•••••••• N•••••• -565 (92 in, 657 out, 2,942 registered); E•••••••• A•••••••• L•• -461 (99 in, 560 out, 4,624 registered); S•••••••• A••••••• L•• -398 (322 in, 720 out, 16,954 registered); E••••• J•••• -397 (332 in, 729 out, 24,084 registered); U•• F•••••••• S••••••• I••• -321 (294 in, 615 out, 9,349 registered). 29,970 firm-to-firm moves in the year across 6,116 firms.
Dated 2026-09-02 (filing); first seen by DFX 2026-09-18.
Dated 2026-08-11 (filing); first seen by DFX 2026-09-15.
Dated 2026-08-03 (filing); first seen by DFX 2026-09-16.
Dated 2026-07-29 (filing); first seen by DFX 2026-09-15.
| n/a |
| yes |
| L••• G•••••• C•••••• | n/a | MIAMI, FL | 40 | 27 | n/a | yes |
| A••••• B•••• C••••• | n/a | WESTON, FL | FT. LAUDERDALE, FL | 39 | 28 | n/a | yes |
| J•••• V••••••••• | n/a | EL PASO, TX | 39 | 39 | n/a | yes |
| H••••• A••• S•••• | n/a | SARASOTA, FL | 39 | 27 | n/a | yes |
| P••••••• A•••• H••••• | n/a | BELOIT, WI | 39 | 43 | n/a | yes |
| C•••••• A••••• E••••••• | n/a | RICHARDSON, TX | 39 | 39 | n/a | yes |
| M••• L••••• S•••••• | n/a | FT. LAUDERDALE, FL | C••••• CITY, FL | 38 | 27 | n/a | yes |
| J••• C• N••••• | n/a | DALLAS, TX | 37 | 39 | n/a | yes |
| J•••••• S•••••• D•••• | n/a | TRINITY, FL | 35 | 30 | n/a | yes |
| A•• C••••••••• | n/a | WELLINGTON, FL | MIAMI, FL | 35 | 34 | n/a | yes |
| L•••••• G••••••• V••• | n/a | MIAMI, FL | 35 | 30 | n/a | yes |
| P•••••• A••••• M•••••• | n/a | ORLANDO, FL | 35 | 37 | n/a | yes |
| G••••••• L••• N••••• | n/a | MIAMI, FL | 35 | 27 | n/a | yes |
| V•••••• F•••••• B••••••• | n/a | FAIRFIELD, CT | STAMFORD, CT | 34 | 42 | n/a | yes |
| H••• C••••• | Certified Financial Planner|Chartered Financial Consultant | MIAMI, FL | FT. LAUDERDALE, FL | 34 | 27 | n/a | yes |
| K••••• M••••• W•••• | n/a | CORPUS CHRISTI, TX | 34 | 34 | n/a | yes |
| J•••• A•••••• C••••••••• | n/a | MILFORD, CT | 33 | 40 | n/a | yes |
| L••• M•••• R••••• | n/a | SARASOTA, FL | 33 | 27 | n/a | yes |
| I•• J•••• S••••• | n/a | MIAMI, FL | 33 | 27 | n/a | yes |
| T••••• W•••••• W••••• | n/a | DE PERE, WI | NEW F••••EN, WI | 33 | 40 | n/a | yes |
| S•••••• H•••• K••••• | Chartered Financial Consultant | DEPERE, WI | GREEN BAY, WI | CLAYTON, MO | 33 | 39 | n/a | yes |
| E•••• M••••• B•••• | n/a | ROANOKE, VA | 33 | 35 | n/a | yes |
| D••• J•••• R•••• | n/a | CLEARWATER, FL | 33 | 35 | n/a | yes |
| Oct 11, 2024 |
| B•••••••• R•••• E••••• I• | CHIEF PRIVACY OFFICER | Na | yes | 05/2018 | May 24, 2018 | Oct 11, 2024 |
| C•••••• C•••••••• J•••• | VICE PRESIDENT AND GENERAL COUNSEL | Na | yes | 02/2019 | Feb 14, 2018 | Oct 11, 2024 |
| E•••••••• D••••••••• H•••••• C••••••••• | Member | E | yes | 09/1999 | Jul 8, 2020 | Oct 11, 2024 |
| E•••••••• F•••••••• S•••••••• L•• | Shareholder | E | yes | 06/2002 | Jun 15, 2020 | Oct 11, 2024 |
| E•••••••• H•••••••• I••• | Member | E | yes | 10/2018 | Jun 15, 2020 | Oct 11, 2024 |
| J••••• G••• M•••• | VICE PRESIDENT AND FINANCIAL CRIME OFFICER | Na | yes | 02/2014 | Feb 28, 2014 | Oct 11, 2024 |
| K•••• D•••• W••••••• | CHAIRMAN OF THE BOARD AND CHIEF EXECUTIVE OFFICER | Na | yes | 09/2014 | Sep 25, 2014 | Oct 11, 2024 |
| L•••• N••••••• B•••••• | Director | Na | yes | 05/2019 | Nov 22, 2011 | Oct 11, 2024 |
| L••••••• C••••••••• J••• | INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | Na | yes | 02/2019 | Feb 22, 2019 | Oct 11, 2024 |
| M••••• F•••• A••••• J• | PRESIDENT/DIRECTOR | Na | yes | 10/2018 | Mar 30, 2012 | Oct 11, 2024 |
| M•••••• J•••• P•••••• | CHIEF SALES OFFICER | Na | yes | 09/2014 | Sep 25, 2014 | Oct 11, 2024 |
| S•••••••• A•••• J••••• | Director | Na | yes | 07/2018 | Jul 25, 2018 | Oct 11, 2024 |
| S••••••••• C•••••• L••• | CONTROLLER/FINOP/PRINCIPAL FINANCIAL OFFICER | Na | yes | 05/2020 | May 13, 2020 | Oct 11, 2024 |
| S••••• J••• L••• | ASSISTANT VICE PRESIDENT | Na | yes | 07/1999 | Sep 29, 2017 | Oct 11, 2024 |
| Z••••• Y•• | Director | Na | yes | 07/2022 | Aug 1, 2022 | Oct 11, 2024 |
| Z•••••••• T•••• | VICE PRESIDENT, PRINCIPAL OPERATIONS OFFICER | Na | yes | 01/2024 | Jan 19, 2024 | Oct 11, 2024 |
| A• C••••• I••••••••• L• | n/a | ASSET_M•••••• | $18B | N | yes | n/a |
| A• P•••••• C••••• I•••••••• L•• | n/a | ASSET_M•••••• | $11B | N | yes | n/a |
| P••••••••• S••••••••• C••••••••• | n/a | Independent wealth | $10B | N | yes | n/a |
| A• B•••••• S••••••••• L••• M•••••• L•• | n/a | ASSET_M•••••• | $2.6B | N | yes | n/a |
| A• C••••• A••••••••• S•••••••• L•• | n/a | I•••••••••_M•••••• | $1.4B | N | yes | n/a |
| S•••••• C• B•••••••• • C••• L•• | n/a | Other adviser | $1.2B | N | yes | n/a |
| A••••••••• C••••••••• | n/a | No RAUM reported | $0 | N | yes | n/a |
| A••••••••• H•••••• L••• | n/a | No RAUM reported | $0 | N | yes | n/a |
| B•••••••• I••••••••• S••••••• L•• | n/a | No RAUM reported | $0 | N | yes | n/a |
| P••••••••• A•••• M••••••••• C••••••••• | n/a | No RAUM reported | $0 | N | yes | n/a |
| A••••••••• I••••••••• I••• | n/a | n/a | n/a | N | yes | n/a |
| E•••••••• D••••••••• L•• | n/a | n/a | n/a | N | yes | n/a |
| E•••••••• F•••••••• L••• I•••••••• C•••••• | n/a | n/a | n/a | N | yes | n/a |
| 393 |
| yes |
| Irvine | CA | United States | 243 | yes |
| OAK BROOK | IL | United States | 236 | yes |
| Cleveland | Oh | United States | 229 | yes |
| Charlotte | Nc | United States | 211 | yes |
| Troy | Mi | United States | 186 | yes |
| Miami | FL | United States | 174 | yes |
| SAN F••••••CO | CA | United States | 170 | yes |
| Bellevue | Wa | United States | 164 | yes |
| Wellesley | Ma | United States | 153 | yes |
| Pittsburgh | Pa | United States | 129 | yes |
| Scottsdale | Az | United States | 120 | yes |
| FALLS CHURCH | Va | United States | 119 | yes |
| Englewood | Co | United States | 114 | yes |
| Columbia | Md | United States | 110 | yes |
| Milwaukee | Wi | United States | 108 | yes |
| Orlando | FL | United States | 97 | yes |
| Atlanta | Ga | United States | 86 | yes |
| Minneapolis | Mn | United States | 82 | yes |
| Stamford | Ct | United States | 74 | yes |
| Omaha | Ne | United States | 59 | yes |
| 2025 | Apr 15, 2026 | $42B | $21B | 5,674 | 4,664 | 885 | n/a | n/a |
| 2024 | Apr 16, 2025 | $35B | $15B | 5,876 | 4,272 | 885 | n/a | n/a |
| 2023 | Mar 28, 2024 | $30B | $12B | 5,565 | 3,955 | 885 | n/a | n/a |
| 2022 | Mar 31, 2023 | $25B | $8.7B | 5,251 | 3,678 | 885 | n/a | n/a |
| 2021 | Mar 31, 2022 | $28B | $8.8B | 5,450 | 3,710 | 867 | n/a | n/a |
| 2020 | Mar 30, 2021 | $22B | $6.7B | 6,057 | 3,692 | 839 | n/a | n/a |
| 2019 | Mar 27, 2020 | $19B | $5.2B | 5,718 | 3,518 | 827 | n/a | n/a |
| 2018 | Mar 29, 2019 | $15B | $3.7B | 5,930 | 3,538 | 844 | n/a | n/a |
| 2017 | Feb 14, 2018 | $15B | $3.1B | 5,774 | 3,469 | 844 | n/a | n/a |
| 2016 | Mar 31, 2017 | $18B | $1.7B | 5,667 | 3,407 | n/a | n/a | n/a |
| 2015 | Mar 30, 2016 | $9.9B | $1.1B | 5,427 | 3,343 | n/a | n/a | n/a |
| 2014 | Mar 31, 2015 | $9.3B | $880M | 5,874 | 3,394 | n/a | n/a | n/a |
| 2013 | Mar 31, 2014 | $8.4B | $858M | 5,777 | 3,494 | n/a | n/a | n/a |
| 2012 | Apr 1, 2013 | $11B | $471M | 6,021 | 3,561 | n/a | n/a | n/a |
| 2011 | Mar 30, 2012 | $9.1B | $255M | n/a | n/a | n/a | n/a | n/a |
| Sep 17, 2026 |
| MELVILLE, NY |
| Team lift out |
| Ibd to wirehouse |
| 0.0% |
| M•• I•••••••• S•••••••• L•• | 2 | Aug 11, 2026 | Aug 12, 2026 | NEW YORK, NY | Team lift out | Ibd to ibd | 0.0% |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | 2 | Aug 3, 2026 | Sep 15, 2026 | MELVILLE, NY | Team lift out | Ibd to wirehouse | 0.0% |
| T• P•••••• C••••• W••••• L•• | 2 | Jul 15, 2026 | Aug 19, 2026 | MELVILLE, NY | Team lift out | Ibd to ibd | 0.0% |
| M•• I•••••••• S•••••••• L•• | 2 | Jul 6, 2026 | Jul 21, 2026 | NEW YORK, NY | Team lift out | Ibd to ibd | 0.0% |
| 3•• I••••••••• A•••••••• L•• | 2 | Jun 9, 2026 | Jun 9, 2026 | SCOTTSDALE, AZ | Team lift out | Ibd to new firm | 0.0% |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | 2 | May 22, 2026 | Jul 29, 2026 | SAN F••••••CO, CA | Team lift out | Ibd to wirehouse | 0.0% |
| T• P•••••• C••••• W••••• L•• | 2 | May 21, 2026 | Sep 14, 2026 | NEW YORK, NY | Team lift out | Ibd to ibd | 0.0% |
| J••• M••••• S••••••••• L•• | 2 | May 7, 2026 | Jun 3, 2026 | WOODBRIDGE, NJ | Team lift out | Ibd to wirehouse | 0.0% |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | 2 | May 6, 2026 | May 29, 2026 | MINEOLA, NY | Team lift out | Ibd to wirehouse | 0.0% |
| K•• I••••••••• S••••••• L•• | 2 | May 5, 2026 | May 14, 2026 | MALTA, NY | Team lift out | Ibd to ibd | 0.0% |
| J••• M••••• S••••••••• L•• | 3 | May 4, 2026 | Jul 17, 2026 | NEW YORK, NY | Team lift out | Ibd to wirehouse | 0.1% |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | 3 | Apr 22, 2026 | Aug 14, 2026 | WOODBRIDGE, NJ | Team lift out | Ibd to wirehouse | 0.1% |
| S•••••••• A••••••• L•• | 2 | Apr 17, 2026 | Jul 13, 2026 | BOCA RATON, FL | Team lift out | Ibd to ibd | 0.0% |
| J••• M••••• S••••••••• L•• | 3 | Apr 8, 2026 | May 7, 2026 | WOODBRIDGE, NJ | Team lift out | Ibd to wirehouse | 0.1% |
| J••• M••••• S••••••••• L•• | 4 | Apr 6, 2026 | Jun 9, 2026 | SAN F••••••CO, CA | Team lift out | Ibd to wirehouse | 0.1% |
| J••• M••••• S••••••••• L•• | 4 | Mar 30, 2026 | Jun 24, 2026 | DALLAS, TX | Team lift out | Ibd to wirehouse | 0.1% |
| J••• M••••• S••••••••• L•• | 2 | Mar 24, 2026 | May 8, 2026 | BALA CYNWYD, PA | Team lift out | Ibd to wirehouse | 0.0% |
| R•• A•••••••• L•• | 4 | Mar 23, 2026 | Mar 18, 2026 | POUGHKEEPSIE, NY | Team lift out | Ibd to RIA | 0.1% |
| POWAY, CA |
| Team lift out |
| Other |
| 100.0% |
| O•••• W•••••• I••• | 2 | Jan 8, 2026 | Jan 12, 2026 | TULLY, NY | Team lift out | Ibd to ibd | 0.0% |
| T•• B•••••• G•••• W••••• A•••••••• L•• | 2 | Jan 2, 2026 | Jan 7, 2026 | IRVINE, CA | Team lift out | Other | 4.9% |
| W••••• A••••••• G••••• I••• | 2 | Nov 26, 2025 | Jul 30, 2002 | WAYNE, PA | Team lift out | RIA to ibd | 33.3% |
| O•••• W•••••• I••• | 2 | Aug 7, 2025 | Aug 14, 2025 | FLORENCE, KY | Team lift out | Ibd to ibd | 0.0% |
| O•••• W•••••• I••• | 2 | Jul 14, 2025 | Aug 18, 2025 | SCOTTSDALE, AZ | Team lift out | Ibd to ibd | 0.0% |
| O•••• W•••••• I••• | 4 | Jun 4, 2025 | Jun 4, 2025 | ORANGE VILLAGE, OH | Team lift out | Ibd to ibd | 0.1% |
| C••••••••• F•••••••• N•••••• | 2 | May 13, 2025 | May 12, 2025 | NEWPORT BEACH, CA | Team lift out | Ibd to ibd | 0.1% |
| J••• M••••• S••••••••• L•• | 2 | Feb 16, 2025 | Feb 19, 2025 | NEW YORK, NY | Team lift out | Wirehouse to ibd | 0.0% |
| J••• M••••• S••••••••• L•• | 2 | Feb 4, 2025 | Mar 2, 2025 | EAST BRUNSWICK, NJ | Team lift out | Wirehouse to ibd | 0.0% |
| L•• E••••••••• L•• | 2 | Feb 3, 2025 | Feb 24, 2025 | F••••LIN, TN | Team lift out | Other | 0.1% |
| P•••• S••••••••• L•• | 2 | Oct 25, 2024 | Dec 4, 2024 | S•••••• OAKS, CA | Team lift out | Ibd to ibd | 0.1% |
| L•• F•••••••• L•• | 2 | Oct 8, 2024 | Oct 10, 2024 | SANTA MONICA, CA | Team lift out | Ibd to ibd | 0.0% |
| W•••••• S••••••••• I••• | 3 | Oct 7, 2024 | Sep 13, 2024 | LOS ANGELES, CA | Team lift out | Ibd to ibd | 1.5% |
| O•••• W•••••• I••• | 2 | Sep 11, 2024 | Jan 1, 2025 | HONOLULU, HI | Team lift out | Ibd to ibd | 0.0% |
| O•••• F•• I••• | 2 | Aug 20, 2024 | Jan 22, 2026 | WILMINGTON, NC | Team lift out | Ibd to ibd | 0.2% |
| T••••• A••••••• S•••••••• I••• | 4 | May 28, 2024 | Jun 6, 2024 | ROANOKE, VA | Team lift out | Ibd to ibd | 0.2% |
| W•••• F•••• A••••••• | 2 | Jan 26, 2024 | Feb 14, 2024 | LONGVIEW, TX | Team lift out | Wirehouse to ibd | 0.0% |
| P•••• S••••••••• L•• | 2 | Dec 20, 2023 | Jan 11, 2024 | MERCER ISLAND, WA | Team lift out | Ibd to ibd | 0.1% |