DFX Intelligence

Data Factory

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

GIRARD SECURITIES, INC.

CRD 18697

SAN DIEGO, CA

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:14714256-3c5f-d2d7-1318-983beaa67168

Data as of Sep 11, 2017 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 4:38 AM UTC and rebuilt at most every 15 minutes.

Relationships: 241
Dated events: 1
On other graphs: 2
Observed: Feb 16, 2012 to Sep 11, 2017
31 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

Girard Securities, Inc.

Intermediary · shared crd

Real Estate Fundsidentity

Girard Securities, Inc.

Affiliate · shared crd

Facts

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

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $597MItem 5.F on the latest filing (2017-09-11); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $510M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 126
Advisory employees: 112
Accounts: 2,658
Custody, client assets: $0
SEC number: 801-61470
CRD: 18697
Filings on the tape: 31
First filed: Feb 16, 2012
Latest filed: Sep 11, 2017
Organised: Corporation, California

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
ARETEC GROUP, INC.	SOLE MEMBER	E	yes	03/2015	May 27, 2016	Sep 11, 2017
BALLARD, JAMES DAVID	Vp	Na	yes	08/2016	Aug 11, 2016	Sep 11, 2017
BARRAGAN, JOHN ARTHUR III	PRESIDENT/COO	Na	yes	07/2014	Mar 26, 2013	Sep 11, 2017
CHARGERS ACQUISITION LLC	Shareholder	E	yes	03/2015	Mar 30, 2016	Sep 11, 2017
GRAHAM, LUANNE MARIE	ADVISORY CCO	Na	yes	01/2016	Mar 30, 2016	Sep 11, 2017
HARRISON, BRETT LAMAR	Director	Na	yes	08/2016	Aug 11, 2016	Sep 11, 2017
JACOBSEN, BRYAN K	B-D CCO, SECRETARY	Na	yes	12/2015	Dec 14, 2015	Sep 11, 2017
KLICMAN, SHIRLEY ANNE	Vp	Na	yes	01/2010	Feb 16, 2012	Sep 11, 2017
OLSON, GREGORY ALAN	ASST. SECRETARY	Na	yes	08/2016	Aug 11, 2016	Sep 11, 2017
RCS CAPITAL HOLDINGS, LLC	HOLDING COMPANY	E	yes	04/2014	Apr 2, 2015	Sep 11, 2017
ROGERS, JASON DYLAN	SENIOR EXECUTIVE VP	Na	yes	07/2014	Oct 15, 2014	Sep 11, 2017
SMILEY, STANLEY ROBERT	Vp	Na	yes	08/2016	Aug 11, 2016	Sep 11, 2017
TIETJEN, MARGARET SUSAN	CHIEF EXECUTIVE OFFICER/ DIRECTOR	Na	yes	07/2014	Feb 16, 2012	Sep 11, 2017
SHERROD, TRACI LYNN	Avp	Na	no	05/2013	May 21, 2013	Sep 11, 2017

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
CETERA INVESTMENT ADVISERS LLC	n/a	Bd affiliated wealth	$257B	N	yes	n/a
CETERA ADVISOR NETWORKS LLC	n/a	Former SEC adviser	$47B	N	yes	n/a
CETERA ADVISORS LLC	n/a	Former SEC adviser	$22B	N	yes	n/a
FIRST ALLIED ADVISORY SERVICES, INC.	n/a	Former SEC adviser	$7.0B	N	yes	n/a
SUMMIT FINANCIAL GROUP INC	n/a	Former SEC adviser	$4.5B	N	yes	n/a
CETERA INVESTMENT SERVICES LLC	n/a	Former SEC adviser	$1.2B	N	yes	n/a
CETERA ADVISORY SERVICES LLC	n/a	No RAUM reported	$0	N	yes	n/a
TOWER SQUARE INVESTMENT MANAGEMENT LLC	n/a	No RAUM reported	$0	N	yes	n/a
ASSOCIATES IN EXCELLENCE, INC.	n/a	n/a	n/a	N	yes	n/a
CETERA ADVISOR NETWORKS INSURANCE SERVICES LLC	n/a	n/a	n/a	N	yes	n/a
CETERA ADVISORS INSURANCE SERVICES LLC	n/a	n/a	n/a	N	yes	n/a
CETERA FINANCIAL SPECIALISTS LLC	n/a	n/a	n/a	N	yes	n/a
CETERA INSURANCE AGENCY LLC	n/a	n/a	n/a	N	yes	n/a
FASI INSURANCE SERVICES	n/a	n/a	n/a	N	yes	n/a
FASI OF TX, INC.	n/a	n/a	n/a	N	yes	n/a
FIRST ALLIED RETIREMENT SERVICES	n/a	n/a	n/a	N	yes	n/a
FIRST ALLIED SECURITIES, INC.	n/a	Former SEC adviser	n/a	N	yes	n/a
SBS INSURANCE AGENCY OF FL, INC.	n/a	n/a	n/a	N	yes	n/a
SBS OF CALIFORNIA INSURANCE AGENCY, INC.	n/a	n/a	n/a	N	yes	n/a
SBSI INSURANCE AGENCY OF TX, INC.	n/a	n/a	n/a	N	yes	n/a
SUMMIT BROKERAGE SERVICES, INC.	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
Arcadia	CA	United States	n/a	no
MISSION VIEJO	CA	United States	n/a	no
SAN DIEGO	CA	United States	n/a	no
Southfield	Mi	United States	n/a	no
SALT LAKE CITY	Ut	United States	n/a	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; showing 5 of 6

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2016	Mar 31, 2017	$597M	$510M	126	112	n/a	n/a	n/a
2015	Mar 30, 2016	$646M	$556M	130	121	n/a	n/a	n/a
2014	Apr 11, 2014	$642M	$518M	23	4	n/a	n/a	n/a
2013	May 21, 2013	$464M	$376M	16	6	n/a	n/a	n/a
2012	Jun 14, 2012	$597M	$477M	n/a	n/a	n/a	n/a	n/a

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
2016	$597M	$646M	-7.7%	$464M	8.8%	126	130	n/a	n/a

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
CETERA INVESTMENT ADVISERS LLC	4	Nov 1, 2017	Jun 29, 2023	SAN DIEGO, CA	Team lift out	Other	5.0%
CETERA INVESTMENT ADVISERS LLC	3	Nov 1, 2017	Jun 29, 2023	GREENWOOD VILLAGE, CO	Team lift out	Other	3.8%
CETERA INVESTMENT ADVISERS LLC	2	Nov 1, 2017	Jun 29, 2023	LANCASTER, PA	Team lift out	Other	2.5%
CETERA INVESTMENT ADVISERS LLC	3	Nov 1, 2017	Jun 29, 2023	MCKINNEY, TX	Team lift out	Other	3.8%
UNITED CAPITAL FINANCIAL ADVISORS	2	Nov 1, 2017	Mar 3, 2006	MCLEAN, VA	Team lift out	Other	2.5%
NEWCASTLE FINANCIAL ADVISORS	3	Nov 1, 2017	Jan 21, 2017	FULLERTON, CA	Team lift out	Other	3.8%
UNITED CAPITAL FINANCIAL ADVISORS	5	Oct 23, 2017	Mar 14, 2021	SAN DIEGO, CA	Team lift out	Other	6.1%
UNITED CAPITAL FINANCIAL ADVISORS	3	Sep 29, 2017	Mar 17, 2008	OXNARD, CA	Team lift out	Other	3.4%
SHUM FINANCIAL GROUP, INC.	2	Apr 11, 2017	Oct 23, 2025	SAN DIEGO, CA	Team lift out	Other	2.2%
QUESTAR ASSET MANAGEMENT, INC.	4	Mar 13, 2015	Apr 10, 2015	COLUMBUS, NE	Team lift out	Other	4.3%
QUESTAR ASSET MANAGEMENT, INC.	3	Feb 19, 2015	Mar 26, 2015	COLUMBUS, NE	Team lift out	Other	3.2%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
UNITED CAPITAL FINANCIAL ADVISORS	3	Oct 13, 2023	Jun 24, 2014	DALLAS, TX	Team lift out	Other	1.1%
ASSET ONE LLC	2	Jul 2, 2017	Jul 2, 2017	MANDEVILLE, LA	Team lift out	Other	66.7%
CENTAURUS FINANCIAL, INC.	2	Dec 2, 2015	Dec 2, 2015	SANTA BARBARA, CA	Team lift out	Other	0.8%

Relationships

showing 80 of 241

Affiliated with (13)

→ CETERA ADVISORS LLCRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ CETERA INVESTMENT ADVISERS LLCRegistered adviserother investment adviser, common control
factForm ADV
→ SUMMIT FINANCIAL GROUP INCRegistered adviserother investment adviser, common control
factForm ADV
→ CETERA ADVISOR NETWORKS LLCRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ FIRST ALLIED ADVISORY SERVICES, INC.Registered adviserother investment adviser, common control
factForm ADV
→ CETERA INVESTMENT SERVICES LLCRegistered adviserbroker-dealer, common control
factForm ADV
→ CETERA INVESTMENT MANAGEMENT LLCRegistered adviserother investment adviser, common control
factForm ADV
→ CETERA ADVISORY SERVICES LLCRegistered adviserother investment adviser, common control
factForm ADV
→ FIRST ALLIED SECURITIES, INC.Registered adviserother investment adviser, broker-dealer, common control
factForm ADV
← INVESTORS CAPITAL ADVISORYRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
← VSR ADVISORY SERVICESRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
← J P TURNER & COMPANY CAPITAL MANAGEMENT, LLCRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
← FIRST ALLIED ASSET MANAGEMENT, INC.Registered adviserother investment adviser, broker-dealer, common control
factForm ADV

Controls (13)

← TIETJEN, MARGARET SUSANOwnerCHIEF EXECUTIVE OFFICER/ DIRECTOR, ownership code NA, individual
Feb 16, 2012 to presentfactForm ADV
← BALLARD, JAMES DAVIDOwnerVP, ownership code NA, individual
Aug 11, 2016 to presentfactForm ADV
← KLICMAN, SHIRLEY ANNEOwnerVP, ownership code NA, individual
Feb 16, 2012 to presentfactForm ADV
← GRAHAM, LUANNE MARIEOwnerADVISORY CCO, ownership code NA, individual
Mar 30, 2016 to presentfactForm ADV
← ROGERS, JASON DYLANOwnerSENIOR EXECUTIVE VP, ownership code NA, individual
Oct 15, 2014 to presentfactForm ADV
← OLSON, GREGORY ALANOwnerASST. SECRETARY, ownership code NA, individual
Aug 11, 2016 to presentfactForm ADV
← BARRAGAN, JOHN ARTHUR IIIOwnerPRESIDENT/COO, ownership code NA, individual
Mar 26, 2013 to presentfactForm ADV
← SMILEY, STANLEY ROBERTOwnerVP, ownership code NA, individual
Aug 11, 2016 to presentfactForm ADV
← JACOBSEN, BRYAN KOwnerB-D CCO, SECRETARY, ownership code NA, individual
Dec 14, 2015 to presentfactForm ADV
← HARRISON, BRETT LAMAROwnerDIRECTOR, ownership code NA, individual
Aug 11, 2016 to presentfactForm ADV
← ARETEC GROUP, INC.OwnerSOLE MEMBER, ownership code E, domestic entity
May 27, 2016 to presentfactForm ADV
← CHARGERS ACQUISITION LLCOwnerSHAREHOLDER, ownership code E, domestic entity
Mar 30, 2016 to presentfactForm ADV
← RCS CAPITAL HOLDINGS, LLCOwnerHOLDING COMPANY, ownership code E, domestic entity
Apr 2, 2015 to presentfactForm ADV

Owns (1)

← SHERROD, TRACI LYNNOwnerAVP, ownership code NA, individual
May 21, 2013 to presentfactForm ADV

Moved with (3)

→ SHUM FINANCIAL GROUP, INC.Registered adviser2 advisors, team lift out, same day
Apr 11, 2017 to Oct 23, 2025factForm ADV
→ CETERA INVESTMENT ADVISERS LLCRegistered adviser4 advisors, team lift out, same day
Nov 1, 2017 to Jun 29, 2023factForm ADV
→ UNITED CAPITAL FINANCIAL ADVISORSRegistered adviser5 advisors, team lift out
Oct 23, 2017 to Mar 14, 2021factForm ADV

Registered with (47)

← Timothy James KaiserAdvisorregistration: previous registration
Jun 3, 2014 to Nov 15, 2017factForm ADV
← CHRISTOPHER STEPHEN SCOTTAdvisorregistration: previous registration
Jul 16, 2015 to Nov 1, 2017factForm ADV
← JAMES CHANDLER KUNTZAdvisorregistration: previous registration
Apr 1, 2005 to Nov 1, 2017factForm ADV
← ROBERT FRANCIS WHITMANAdvisorregistration: previous registration
Mar 21, 2014 to Nov 1, 2017factForm ADV
← JAMES ORDELL JUDDAdvisorregistration: previous registration
Feb 1, 2006 to Nov 1, 2017factForm ADV
← MARSHALL SCOTT HUDDLESTONAdvisorregistration: previous registration
Feb 16, 2012 to Nov 1, 2017factForm ADV
← WAYNE EDWARD SPRENGERAdvisorregistration: previous registration
Jun 30, 2015 to Nov 1, 2017factForm ADV
← REGIS EDWARD RUANEAdvisorregistration: previous registration
Nov 10, 2015 to Nov 1, 2017factForm ADV
← KATHLEEN ASHLEY TYLERAdvisorregistration: previous registration
Aug 15, 2008 to Nov 1, 2017factForm ADV
← NOLA VALERIE LEUTHNERAdvisorregistration: previous registration
Mar 20, 2006 to Nov 1, 2017factForm ADV
← PETER MICHAEL DESANTISAdvisorregistration: previous registration
Apr 20, 2004 to Nov 1, 2017factForm ADV
← GARY RENE SAGARNAGAAdvisorregistration: previous registration
May 27, 2004 to Nov 1, 2017factForm ADV
← DANIEL DAVIS RICHARDAdvisorregistration: previous registration
Nov 17, 2016 to Nov 1, 2017factForm ADV
← JOSEPH RICHARD GERTIEAdvisorregistration: previous registration
Oct 2, 2013 to Nov 1, 2017factForm ADV
← JOHN PATRICK ABRIOLAAdvisorregistration: previous registration
Nov 25, 2015 to Nov 1, 2017factForm ADV
← GUY JUDE LANDOLFIAdvisorregistration: previous registration
Dec 2, 2009 to Nov 1, 2017factForm ADV
← MATTHEW JON LUMAdvisorregistration: previous registration
Nov 9, 2004 to Nov 1, 2017factForm ADV
← MARK BILLINGS RULEMANAdvisorregistration: previous registration
Nov 17, 2011 to Nov 1, 2017factForm ADV
← TIMOTHY GLEN REDMONDAdvisorregistration: previous registration
Oct 23, 2009 to Nov 1, 2017factForm ADV
← MICHAEL MURPHY HURTGENAdvisorregistration: previous registration
Mar 8, 2016 to Nov 1, 2017factForm ADV
← JAMES MATTHEW CHANEYAdvisorregistration: previous registration
Sep 16, 2011 to Nov 1, 2017factForm ADV
← WILLIAM LEE SWEARINGENAdvisorregistration: previous registration
Sep 29, 2011 to Nov 1, 2017factForm ADV
← WILLIAM HUGH KELLYAdvisorregistration: previous registration
Feb 9, 2016 to Nov 1, 2017factForm ADV
← JAMES P DONAHUEAdvisorregistration: previous registration
Oct 21, 2011 to Nov 1, 2017factForm ADV
← DWAYNE LAVERNE GRADYAdvisorregistration: previous registration
Oct 10, 2005 to Nov 1, 2017factForm ADV
← REGINALD FRANKLIN MUGGLEYAdvisorregistration: previous registration
Apr 3, 2017 to Nov 1, 2017factForm ADV
← MICHAEL WILLIAM JARVISAdvisorregistration: previous registration
Mar 9, 2009 to Nov 1, 2017factForm ADV
← CHRISTOPHER DOUGLAS GLEASONAdvisorregistration: previous registration
Apr 22, 2004 to Nov 1, 2017factForm ADV
← JOHN HARRISON LINDSEYAdvisorregistration: previous registration
Dec 2, 2015 to Nov 1, 2017factForm ADV
← MARTIN GEDDES HURLBURTAdvisorregistration: previous registration
Jan 19, 2012 to Nov 1, 2017factForm ADV
and 17 more

Dated events

Occurred
Oct 13, 2023
Team lift-out
3 advisors left United Capital Financial Advisors (Dallas, TX) for Girard Securities, Inc. within 14 days
Form ADVobserved 5 days ago
3 advisors

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:14714256-3c5f-d2d7-1318-983beaa67168
First observed: Feb 16, 2012
Last observed: Sep 11, 2017 109 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.

GIRARD SECURITIES, INC.

CRD 18697

SAN DIEGO, CA

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:14714256-3c5f-d2d7-1318-983beaa67168

Data as of Sep 11, 2017 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 4:38 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ARETEC GROUP, INC.

SOLE MEMBER

yes

03/2015

May 27, 2016

Sep 11, 2017

BALLARD, JAMES DAVID

yes

08/2016

Aug 11, 2016

Sep 11, 2017

BARRAGAN, JOHN ARTHUR III

PRESIDENT/COO

yes

07/2014

Mar 26, 2013

Sep 11, 2017

CHARGERS ACQUISITION LLC

Shareholder

yes

03/2015

Mar 30, 2016

Sep 11, 2017

GRAHAM, LUANNE MARIE

ADVISORY CCO

yes

01/2016

Mar 30, 2016

Sep 11, 2017

HARRISON, BRETT LAMAR

Director

yes

08/2016

Aug 11, 2016

Sep 11, 2017

JACOBSEN, BRYAN K

B-D CCO, SECRETARY

yes

12/2015

Dec 14, 2015

Sep 11, 2017

KLICMAN, SHIRLEY ANNE

yes

01/2010

Feb 16, 2012

Sep 11, 2017

OLSON, GREGORY ALAN

ASST. SECRETARY

yes

08/2016

Aug 11, 2016

Sep 11, 2017

RCS CAPITAL HOLDINGS, LLC

HOLDING COMPANY

yes

04/2014

Apr 2, 2015

Sep 11, 2017

ROGERS, JASON DYLAN

SENIOR EXECUTIVE VP

yes

07/2014

Oct 15, 2014

Sep 11, 2017

SMILEY, STANLEY ROBERT

yes

08/2016

Aug 11, 2016

Sep 11, 2017

TIETJEN, MARGARET SUSAN

CHIEF EXECUTIVE OFFICER/ DIRECTOR

yes

07/2014

Feb 16, 2012

Sep 11, 2017

SHERROD, TRACI LYNN

Avp

05/2013

May 21, 2013

Sep 11, 2017

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

CETERA INVESTMENT ADVISERS LLC

n/a

Bd affiliated wealth

$257B

yes

n/a

CETERA ADVISOR NETWORKS LLC

n/a

Former SEC adviser

$47B

yes

n/a

CETERA ADVISORS LLC

n/a

Former SEC adviser

$22B

yes

n/a

FIRST ALLIED ADVISORY SERVICES, INC.

n/a

Former SEC adviser

$7.0B

yes

n/a

SUMMIT FINANCIAL GROUP INC

n/a

Former SEC adviser

$4.5B

yes

n/a

CETERA INVESTMENT SERVICES LLC

n/a

Former SEC adviser

$1.2B

yes

n/a

CETERA ADVISORY SERVICES LLC

n/a

No RAUM reported

yes

n/a

TOWER SQUARE INVESTMENT MANAGEMENT LLC

n/a

No RAUM reported

yes

n/a

ASSOCIATES IN EXCELLENCE, INC.

n/a

yes

n/a

CETERA ADVISOR NETWORKS INSURANCE SERVICES LLC

n/a

yes

n/a

CETERA ADVISORS INSURANCE SERVICES LLC

n/a

yes

n/a

CETERA FINANCIAL SPECIALISTS LLC

n/a

yes

n/a

CETERA INSURANCE AGENCY LLC

n/a

yes

n/a

FASI INSURANCE SERVICES

n/a

yes

n/a

FASI OF TX, INC.

n/a

yes

n/a

FIRST ALLIED RETIREMENT SERVICES

n/a

yes

n/a

FIRST ALLIED SECURITIES, INC.

n/a

Former SEC adviser

n/a

yes

n/a

SBS INSURANCE AGENCY OF FL, INC.

n/a

yes

n/a

SBS OF CALIFORNIA INSURANCE AGENCY, INC.

n/a

yes

n/a

SBSI INSURANCE AGENCY OF TX, INC.

n/a

yes

n/a

SUMMIT BROKERAGE SERVICES, INC.

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Arcadia

United States

n/a

MISSION VIEJO

United States

n/a

SAN DIEGO

United States

n/a

Southfield

United States

n/a

SALT LAKE CITY

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2016

Mar 31, 2017

$597M

$510M

126

112

n/a

2015

Mar 30, 2016

$646M

$556M

130

121

n/a

2014

Apr 11, 2014

$642M

$518M

n/a

2013

May 21, 2013

$464M

$376M

n/a

2012

Jun 14, 2012

$597M

$477M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2016

$597M

$646M

-7.7%

$464M

8.8%

126

130

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

CETERA INVESTMENT ADVISERS LLC

Nov 1, 2017

Jun 29, 2023

SAN DIEGO, CA

Team lift out

Other

5.0%

CETERA INVESTMENT ADVISERS LLC

Nov 1, 2017

Jun 29, 2023

GREENWOOD VILLAGE, CO

Team lift out

Other

3.8%

CETERA INVESTMENT ADVISERS LLC

Nov 1, 2017

Jun 29, 2023

LANCASTER, PA

Team lift out

Other

2.5%

CETERA INVESTMENT ADVISERS LLC

Nov 1, 2017

Jun 29, 2023

MCKINNEY, TX

Team lift out

Other

3.8%

UNITED CAPITAL FINANCIAL ADVISORS

Nov 1, 2017

Mar 3, 2006

MCLEAN, VA

Team lift out

Other

2.5%

NEWCASTLE FINANCIAL ADVISORS

Nov 1, 2017

Jan 21, 2017

FULLERTON, CA

Team lift out

Other

3.8%

UNITED CAPITAL FINANCIAL ADVISORS

Oct 23, 2017

Mar 14, 2021

SAN DIEGO, CA

Team lift out

Other

6.1%

UNITED CAPITAL FINANCIAL ADVISORS

Sep 29, 2017

Mar 17, 2008

OXNARD, CA

Team lift out

Other

3.4%

SHUM FINANCIAL GROUP, INC.

Apr 11, 2017

Oct 23, 2025

SAN DIEGO, CA

Team lift out

Other

2.2%

QUESTAR ASSET MANAGEMENT, INC.

Mar 13, 2015

Apr 10, 2015

COLUMBUS, NE

Team lift out

Other

4.3%

QUESTAR ASSET MANAGEMENT, INC.

Feb 19, 2015

Mar 26, 2015

COLUMBUS, NE

Team lift out

Other

3.2%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

UNITED CAPITAL FINANCIAL ADVISORS

Oct 13, 2023

Jun 24, 2014

DALLAS, TX

Team lift out

Other

1.1%

ASSET ONE LLC

Jul 2, 2017

MANDEVILLE, LA

Team lift out

Other

66.7%

CENTAURUS FINANCIAL, INC.

Dec 2, 2015

SANTA BARBARA, CA

Team lift out

Other

0.8%