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M•• I•••••••• S•••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserbroker-dealer affiliated wealth managerSEC registeredRAUM over $100B

M•• I•••••••• S•••••••• L••

CRD 10409

SPRINGFIELD, MA

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:1ce559af-3d44-f89f-c55e-df27e9ea3b8c

Data as of Sep 3, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:06 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10,040
Dated events: 40
On other graphs: 2
Observed: Dec 9, 2011 to Sep 3, 2026
222 observations

Right now

6 signals name this record (all ria / wealth signals)

#1NewDerived metricAdvisor Recruiting Intelligence

4 advisors left M•• I•••••••• S•••••••• L•• (Newtown, CT) for C••••• I••••••••• A••••••• L•• within 5 days

Dated 2026-08-26 (filing); first seen by DFX 2026-09-15.

Exposure: exposure unknown
Who this matters to: RIA aggregators, Advisor recruiters +2
Historical: not a measured predictor

C••••• I••••••••• A••••••• L•• · destination firm

Advisor Recruiting IntelligenceAug 26, 2026 · seen 7 days ago

#2NewDerived metric

Across DFX

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

Private Equityidentity

M•• I•••••••• S•••••••• L••

Intermediary · shared crd

Venture Capitalidentity

M•• I•••••••• S•••••••• I•••

Venture manager · shared crd

Facts

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

Firm class: broker-dealer affiliated wealth managerderivedprivate_client_share=0.97 fund_share=0.0 institutional_share=0.02 related_bd=true related_bank=true bd_reps=6976.0
Regulatory AUM: $116BItem 5.F on the latest filing (2026-09-03); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $71B
Private client RAUM: $112BderivedItem 5.D individuals plus high net worth individuals
Private client share: 97%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 5,082
RAUM per advisor

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first; showing 25 of 5,100

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
J••• W••••• W•••••	Chartered Financial Consultant	HOUSTON, TX \| Houston, TX	41	42	1	yes
D•••• A•••••••• M•••••	n/a	Palm City, FL	36

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
B••••• T••••• K•	CHIEF TECHNOLOGY OFFICER	Na	yes	03/2017	Sep 3, 2026	Sep 3, 2026
B•••••• V••••• C••••••	CHIEF EXECUTIVE OFFICER, PRESIDENT AND CHAIRMAN OF THE BOARD	Na	yes	02/2025	Sep 3, 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
B•••••• L••	n/a	Institutional manager	$393B	N	yes	n/a
B•••••• ••••• L••••••	n/a	n/a	n/a	N	yes

Offices

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

City	State	Country	Employees	Also broker-dealer
NEWTOWN SQUARE	Pa	United States	155	yes
Shelton	Ct	United States	109	yes
EAST HILLS	NY	United States	103	yes
Elmsford	NY	United States	86	yes
NEW YORK	NY

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 15 of 18

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

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
263	294	-31	5.8%	92	55	0	679	940

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	$116B	$90B	28.5%	$59B	25.3%	6,976	7,056	1,093	1,083

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction; showing 20 of 267

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C••••• I••••••••• A••••••• L••	4	Aug 26, 2026	Aug 26, 2026	NEWTOWN, CT	Team lift out	Ibd to ibd	0.1%
C••••• I••••••••• A••••••• L••	2	Aug 19, 2026

Teams in

teams that arrived here from one firm together; showing 20 of 106

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
P••• A••••• S••••••••• L••	5	Aug 14, 2026	Aug 25, 2026	GLENVIEW, IL	Team lift out	Ibd to ibd	0.3%
E•••••••• A•••••••• L••	2	Aug 11, 2026

Relationships

showing 80 of 10,040

Registered with (79)

← Anthony Lewis GutweinAdvisorregistration: current employment
Sep 11, 2026 to presentfactForm ADV
← Brenden Shea SweeneyAdvisorregistration: current employment
Sep 11, 2026 to presentfactForm ADV
← Brett Michael O'HaraAdvisorregistration: current employment
Sep 11, 2026 to presentfactForm ADV
← Joseph Adam Mercier

Dated events

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

Occurred
Sep 1, 2026
Advisor changed firm
Hanwool J Jung left M•• I•••••••• S•••••••• L•• for Trajan Wealth, L.L.C. (registered 2026-09-01)
Form ADVobserved 7 days ago
Occurred
Aug 31, 2026
Advisor changed firm
Benjamin Martin Dubinski left M•• I•••••••• S•••••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2026-08-25)
Form ADVobserved 7 days ago
Occurred
Aug 31, 2026
Advisor changed firm
Joanne Amorosi left M•• I•••••••• S•••••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2026-08-26)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1ce559af-3d44-f89f-c55e-df27e9ea3b8c
First observed: Dec 9, 2011
Last observed: Sep 3, 2026 19 days 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.

Show 35 bookkeeping events

First seen by DFX
Sep 19, 2026
date not stated
Cade Friedhoff no longer holds an investment adviser registration (last listed at M•• I•••••••• S•••••••• L•• on the 2026-09-18 feed)
Occurred
Sep 18, 2026
Jackson Lathrop added a SC registration at M•• I•••••••• S•••••••• L••
Occurred
Sep 18, 2026
Lee Stipp added a TX registration at M•• I•••••••• S•••••••• L••
Occurred
Sep 18, 2026
Miles Jose Fergus registered as an investment adviser representative at M•• I•••••••• S•••••••• L••
Occurred
Sep 18, 2026
Brett Dennis registered as an investment adviser representative at M•• I•••••••• S•••••••• L••
Occurred
Sep 18, 2026
Amy Suzanne King registered as an investment adviser representative at M•• I•••••••• S•••••••• L••
Occurred
Sep 18, 2026
Timothy Adam Grove registered as an investment adviser representative at M•• I•••••••• S•••••••• L••
Occurred
Sep 18, 2026
Jacob Matthew Lafond registered as an investment adviser representative at M•• I•••••••• S•••••••• L••
First seen by DFX
Sep 18, 2026
date not stated
David Snyder no longer holds an investment adviser registration (last listed at M•• I•••••••• S•••••••• L•• on the 2026-09-17 feed)
First seen by DFX
Sep 18, 2026
date not stated
David Lino Samalenge no longer holds an investment adviser registration (last listed at M•• I•••••••• S•••••••• L•• on the 2026-09-17 feed)
First seen by DFX
Sep 18, 2026
date not stated
John Jerome Buckley no longer holds an investment adviser registration (last listed at M•• I•••••••• S•••••••• L•• on the 2026-09-17 feed)
First seen by DFX
Sep 18, 2026
date not stated
Ankur Reddy Vanteru no longer holds an investment adviser registration (last listed at M•• I•••••••• S•••••••• L•• on the 2026-09-17 feed)
Occurred
Sep 17, 2026
Kevin Coronado registered as an investment adviser representative at M•• I•••••••• S•••••••• L••
Occurred
Sep 17, 2026
Daniel Genevick registered as an investment adviser representative at M•• I•••••••• S•••••••• L••
Occurred
Sep 17, 2026
Jay Shawn Hawk registered as an investment adviser representative at M•• I•••••••• S•••••••• L••
First seen by DFX
Sep 17, 2026
date not stated
Christopher Todd Chilcoat no longer holds an investment adviser registration (last listed at M•• I•••••••• S•••••••• L•• on the 2026-09-16 feed)
Occurred
Sep 16, 2026
Benjamin Reilly Marrs registered as an investment adviser representative at M•• I•••••••• S•••••••• L••
Occurred
Sep 16, 2026
Miguel Gerardo Morales Dacones registered as an investment adviser representative at M•• I•••••••• S•••••••• L••
Occurred
Sep 16, 2026
Jennifer A Yapsuga registered as an investment adviser representative at M•• I•••••••• S•••••••• L••
First seen by DFX
Sep 16, 2026
date not stated
Brian Keith Salmonson no longer holds an investment adviser registration (last listed at M•• I•••••••• S•••••••• L•• on the 2026-09-15 feed)
First seen by DFX
Sep 16, 2026
date not stated
Skylar Cook no longer holds an investment adviser registration (last listed at M•• I•••••••• S•••••••• L•• on the 2026-09-15 feed)
Occurred
Sep 15, 2026
Jacob Christopher Engel added a TX registration at M•• I•••••••• S•••••••• L••
Occurred
Sep 15, 2026
Adrienne Elizabeth Vollmer registered as an investment adviser representative at M•• I•••••••• S•••••••• L••
Occurred
Sep 15, 2026
Parker James Higham added a TX registration at M•• I•••••••• S•••••••• L••
Occurred
Sep 15, 2026
Steven Johnson added a TX registration at M•• I•••••••• S•••••••• L••
Occurred
Sep 15, 2026
Roy A Schoenfeld registered as an investment adviser representative at M•• I•••••••• S•••••••• L••
Occurred
Sep 15, 2026
Megan Cordi-Standfest registered as an investment adviser representative at M•• I•••••••• S•••••••• L••
Occurred
Sep 15, 2026
Henry Andrew Vincent added a CT registration at M•• I•••••••• S•••••••• L••
Occurred
Sep 15, 2026
Drake Ryan Kelly registered as an investment adviser representative at M•• I•••••••• S•••••••• L••
Occurred
Sep 15, 2026
Robert Charles Carty added a VA registration at M•• I•••••••• S•••••••• L••
First seen by DFX
Sep 15, 2026
date not stated
Taechan Yang no longer holds an investment adviser registration (last listed at M•• I•••••••• S•••••••• L•• on the 2026-09-14 feed)
Occurred
Sep 14, 2026
Andrew Lawrence Cole registered as an investment adviser representative at M•• I•••••••• S•••••••• L••
Occurred
Sep 14, 2026
John David Skubitz registered as an investment adviser representative at M•• I•••••••• S•••••••• L••
Occurred
Sep 14, 2026
Amir De La Vega added a TX registration at M•• I•••••••• S•••••••• L••
Occurred
Sep 14, 2026
Jacob Berg registered as an investment adviser representative at M•• I•••••••• S•••••••• L••

2025	Apr 8, 2026	$116B	$71B	6,976	4,961	1,093	n/a	n/a
2024	Mar 28, 2025	$90B	$53B	7,056	4,935	1,083	n/a	n/a
2023	Mar 28, 2024	$73B	$42B	7,130	4,764	1,110	n/a	n/a
2022	Mar 31, 2023	$59B	$32B	7,379	4,951	1,155	n/a	n/a
2021	Mar 31, 2022	$63B	$33B	7,620	4,984	1,155	n/a	n/a
2020	Mar 31, 2021	$49B	$24B	7,955	5,681	1,155	n/a	n/a
2019	Mar 30, 2020	$40B	$18B	7,471	5,219	1,335	n/a	n/a
2018	Mar 26, 2019	$30B	$15B	7,805	5,269	1,335	n/a	n/a
2017	Mar 29, 2018	$29B	$13B	8,095	5,523	1,335	n/a	n/a
2016	Mar 27, 2017	$26B	$8.1B	9,943	5,926	n/a	n/a	n/a
2015	Mar 30, 2016	$666M	$298M	5,217	2,549	n/a	n/a	n/a
2014	Mar 31, 2015	$767M	$316M	5,196	2,436	n/a	n/a	n/a
2013	Mar 28, 2014	$728M	$223M	4,429	2,472	n/a	n/a	n/a
2012	Apr 1, 2013	$757M	$322M	4,806	2,536	n/a	n/a	n/a
2011	Mar 28, 2012	$884M	$461M	n/a	n/a	n/a	n/a	n/a

Data Factory

M•• I•••••••• S•••••••• L••

4 advisors left M•• I•••••••• S•••••••• L•• (Newtown, CT) for C••••• I••••••••• A••••••• L•• within 5 days

4 advisors left M•• I•••••••• S•••••••• L•• (Cleveland, OH) for L•• F•••••••• L•• a day apart

3 advisors left M•• I•••••••• S•••••••• L•• (Tyler, TX) for L•• F•••••••• L•• on the same day

2 advisors left M•• I•••••••• S•••••••• L•• (East Hills, NY) for C••••• I••••••••• A••••••• L•• within 12 days

5 advisors left P••• A••••• S••••••••• L•• (Glenview, IL) for M•• I•••••••• S•••••••• L•• within 5 days

5 advisors left P••• A••••• S••••••••• L•• (MT Pleasant, SC) for M•• I•••••••• S•••••••• L•• within 6 days