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CRD 6413
FORT MILL, SC
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
Dated 2026-09-16 (filing); first seen by DFX 2026-09-17.
Dated 2026-09-02 (filing); first seen by DFX 2026-09-15.
Dated 2026-09-11 (filing); first seen by DFX 2026-09-16.
Dated 2026-09-16 (filing); first seen by DFX 2026-09-19.
Dated 2026-09-11 (filing); first seen by DFX 2026-09-16.
Dated 2026-09-01 (filing); first seen by DFX 2026-09-15.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| DAVID ALLEN NYQUIST | n/a | CORSICANA, TX | 37 | 46 | n/a | yes |
| DARRYL LEE SCOTT | n/a | FORT STOCKTON, TX | 36 | 39 | n/a | yes |
| MARK KIPLING DURHAM | n/a | DALLAS, TX | 35 | 43 | n/a | yes |
| TODD PORTER ADAMS | Certified Financial Planner | FORT MYERS, FL | 35 | 36 | 1 | yes |
| WILLIAM CLAY LARSON | n/a | SEATTLE, WA | 34 | 38 | n/a | yes |
| JOHN STEVEN OROURKE | n/a | HAMMOND, WI | 34 | 42 | n/a | yes |
| GEARY MARTIN JERDE | Certified Financial Planner | ORO VALLEY, AZ | HAYDEN LAKE, ID | 34 | 42 | n/a | yes |
| JOHN BOURNE MORROW | Certified Financial Planner | PANAMA CITY, FL | 34 | 38 | n/a | yes |
| LISA ANNE CHIRICHILLO | n/a | TOMS RIVER, NJ | 34 | 39 | n/a | yes |
| STANLEY DEE BROWN | n/a | LAYTON, UT | 34 | 45 | n/a | yes |
| PETER CINA | n/a | NAPLES, FL | MILFORD, CT | 33 | 39 | n/a | yes |
| DYWANE ALBERTO HALL | n/a | SPRINGFIELD, VA | 32 | 41 | n/a | yes |
| JAMES RICHARD ODONNELL | n/a | NAUGATUCK, CT | 32 | 36 | n/a | yes |
| DEBORAH LEE DANIELSON | n/a | LAS VEGAS, NV | 32 | 44 | 1 | yes |
| LEO SALBE COPPETA | n/a | MILL VALLEY, CA | 32 | 33 | n/a | yes |
| MARK DOUGLAS QUERY | n/a | LEXINGTON, KY | 32 | 42 | n/a | yes |
| JOHN LOUIS KUNTZ | n/a | FORT THOMAS, KY | 32 | 39 | n/a | yes |
| ROBERT GARY BROCHU | n/a | FARMINGTON, CT | 32 | 41 | n/a | yes |
| JOAN MARIE VALENTI | Certified Financial Planner | AVON, CT | GRANBY, CT | TORRINGTON, CT | NEW HARTFORD, CT | FARMINGTON, CT | MIROMAR LAKES, FL | WINSTED, CT | 31 | 42 | n/a | yes |
| GARY LAWRENCE WAGEMAN | n/a | SHELBY, MT | GLASGOW, MT | SCOBEY, MT | 31 | 38 | n/a | yes |
| LOUIS ANTHONY FOLLO | n/a | SOUTHBURY, CT | 31 | 34 | n/a | yes |
| DWIGHT ALAN ROBINS | n/a | WHITEFISH, MT | 31 | 35 | n/a | yes |
| SIDNEY JOSEPH LORIO | Certified Financial Planner | SOUTHLAKE, TX | BEDFORD, TX | 31 | 44 | n/a | yes |
| WILLIAM PAUL CZAPLEWSKI | n/a | MONONA, WI | MADISON, WI | BELLEVILLE, WI | 31 | 33 | n/a | yes |
| DAVID JOHN WORKMAN | n/a | LOGANSPORT, IN | 31 | 40 | n/a | yes |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | Na | yes | 09/2015 | Aug 19, 2026 | Aug 19, 2026 |
| ENYEDI, MATTHEW KLAUS | GROUP MANAGING DIRECTOR, CHIEF CLIENT OFFICER | Na | yes | 01/2020 | Aug 19, 2026 | Aug 19, 2026 |
| GATES, GREGORY | GROUP MANAGING DIRECTOR, CHIEF PRODUCT & TECHNOLOGY OFFICER | Na | yes | 07/2021 | Aug 19, 2026 | Aug 19, 2026 |
| JAMBUSARIA, ANERI | GROUP MANAGING DIRECTOR, CHIEF WEALTH OFFICER AND PRINCIPAL FINANCIAL OFFICER | Na | yes | 01/2022 | Aug 19, 2026 | Aug 19, 2026 |
| LPL HOLDINGS, INC. | MANAGING MEMBER | E | yes | 04/1989 | Aug 19, 2026 | Aug 19, 2026 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | Na | yes | 10/2023 | Aug 19, 2026 | Aug 19, 2026 |
| MORNINGSTAR, MATTHEW EDWIN | GROUP MANAGING DIRECTOR, CHIEF LEGAL OFFICER | Na | yes | 12/2025 | Aug 19, 2026 | Aug 19, 2026 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | Na | yes | 11/2020 | Aug 19, 2026 | Aug 19, 2026 |
| SIMONICH, BRENT BLAIN | MANAGING DIRECTOR, CHIEF RISK OFFICER, HEAD OF BUSINESS OPERATIONS | Na | yes | 04/2022 | Aug 19, 2026 | Aug 19, 2026 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | Na | yes | 08/2018 | Aug 19, 2026 | Aug 19, 2026 |
| BROWN, ALTHEA ANN-MARIE | MANAGING DIRECTOR, CHIEF LEGAL OFFICER AND DIRECTOR | Na | yes | 09/2023 | Nov 1, 2023 | Nov 8, 2024 |
| DADYAR, LABKHAND SARA | MANAGING DIRECTOR, CHIEF HUMAN CAPITAL OFFICER | Na | yes | 01/2024 | Jan 19, 2024 | Nov 8, 2024 |
| LPL FINANCIAL HOLDINGS INC. | PARENT COMPANY | E | yes | 12/2005 | Jun 26, 2012 | Nov 8, 2024 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | Na | yes | 09/2023 | Nov 1, 2023 | Nov 8, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| LPL ENTERPRISE, LLC | n/a | Bd affiliated wealth | $25B | N | yes | n/a |
| CADARET, GRANT & CO., INC. | n/a | Former SEC adviser | $7.7B | N | yes | n/a |
| CUSO FINANCIAL SERVICES, L.P. | n/a | Former SEC adviser | $5.4B | N | yes | n/a |
| NEXT FINANCIAL GROUP, INC. | n/a | Former SEC adviser | $3.8B | N | yes | n/a |
| WESTERN INTERNATIONAL SECURITIES, INC. | n/a | Former SEC adviser | $3.5B | N | yes | n/a |
| GROVE POINT ADVISORS, LLC | n/a | Former SEC adviser | $2.5B | N | yes | n/a |
| GROVE POINT INVESTMENTS, LLC | n/a | Former SEC adviser | $2.0B | N | yes | n/a |
| SCF INVESTMENT ADVISORS, INC. | n/a | Former SEC adviser | $1.3B | N | yes | n/a |
| SORRENTO PACIFIC FINANCIAL, LLC | n/a | Former SEC adviser | $222M | N | yes | n/a |
| CFS INSURANCE AND TECHNOLOGY SERVICES, LLC | n/a | n/a | n/a | N | yes | n/a |
| FIDUCIARY TRUST COMPANY OF NEW HAMPSHIRE | n/a | n/a | n/a | N | yes | n/a |
| LPL INSURANCE ASSOCIATES, INC. | n/a | n/a | n/a | N | yes | n/a |
| NEXT FINANCIAL INSURANCE SERVICES COMPANY | n/a | n/a | n/a | N | yes | n/a |
| SCF SECURITIES, INC. | n/a | n/a | n/a | N | yes | n/a |
| THE PRIVATE TRUST COMPANY, N.A. | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| SAN DIEGO | CA | United States | 1,871 | yes |
| FORT MILL | Sc | United States | 80 | yes |
| Pittsburgh | Pa | United States | 67 | yes |
| Beachwood | Oh | United States | 64 | yes |
| Syracuse | NY | United States | 55 | yes |
| Golden | Co | United States | 48 | yes |
| DES PERES | Mo | United States | 48 | yes |
| Lakeland | FL | United States | 46 | yes |
| Fresno | CA | United States | 45 | yes |
| Atlanta | Ga | United States | 45 | yes |
| Morristown | Nj | United States | 45 | yes |
| Leesburg | Va | United States | 43 | yes |
| SAN DIEGO | CA | United States | 38 | yes |
| Waltham | Ma | United States | 37 | yes |
| Boston | Ma | United States | 36 | yes |
| Annapolis | Md | United States | 36 | yes |
| Paramus | Nj | United States | 36 | yes |
| Cheektowaga | NY | United States | 36 | yes |
| Glastonbury | Ct | United States | 35 | yes |
| Olympia | Wa | United States | 35 | yes |
| Sacramento | CA | United States | 34 | yes |
| DOWNERS GROVE | IL | United States | 34 | yes |
| Bridgeport | Ct | United States | 32 | yes |
| Southfield | Mi | United States | 31 | yes |
| n/a | n/a | n/a | 29 | yes |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Apr 23, 2026 | $819B | $818B | 41,879 | 36,280 | 20,864 | n/a | n/a |
| 2024 | Apr 7, 2025 | $619B | $618B | 37,893 | 28,347 | 18,523 | n/a | n/a |
| 2023 | Mar 28, 2024 | $463B | $463B | 35,841 | 27,045 | 17,453 | n/a | n/a |
| 2022 | Mar 31, 2023 | $368B | $367B | 31,366 | 25,961 | 9,898 | n/a | n/a |
| 2021 | Mar 31, 2022 | $404B | $403B | 28,744 | 20,469 | 9,898 | n/a | n/a |
| 2020 | Mar 31, 2021 | $269B | $268B | 24,427 | 16,527 | 9,898 | n/a | n/a |
| 2019 | Mar 30, 2020 | $208B | $207B | 23,035 | 15,637 | 9,519 | n/a | n/a |
| 2018 | Mar 29, 2019 | $159B | $159B | 22,790 | 15,717 | 9,519 | n/a | n/a |
| 2017 | Mar 29, 2018 | $153B | $149B | 22,703 | 14,079 | 8,011 | n/a | n/a |
| 2016 | Mar 31, 2017 | $117B | $115B | 20,199 | 11,439 | n/a | n/a | n/a |
| 2015 | Mar 30, 2016 | $112B | $110B | 20,529 | 12,524 | n/a | n/a | n/a |
| 2014 | Mar 31, 2015 | $117B | $114B | 20,311 | 11,675 | n/a | n/a | n/a |
| 2013 | Mar 31, 2014 | $110B | $106B | 19,916 | 11,476 | n/a | n/a | n/a |
| 2012 | Mar 28, 2013 | $95B | $92B | 17,499 | 11,485 | n/a | n/a | n/a |
| 2011 | Mar 30, 2012 | $84B | $80B | n/a | n/a | n/a | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 1,816 | 947 | 869 | 4.1% | 431 | 211 | 0 | 5,804 | 2,579 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $819B | $619B | 32.3% | $368B | 30.6% | 41,879 | 37,893 | 20,864 | 18,523 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | 2 | Sep 16, 2026 | Sep 4, 2026 | ROSEVILLE, CA | Team lift out | Ibd to ibd | 0.0% |
| AMERIPRISE FINANCIAL SERVICES, LLC | 3 | Sep 16, 2026 | Sep 1, 2026 | POUGHKEEPSIE, NY | Team lift out | Ibd to ibd | 0.0% |
| CETERA INVESTMENT ADVISERS LLC | 20 | Sep 11, 2026 | Aug 19, 2026 | ROSEVILLE, CA | Team lift out | Ibd to ibd | 0.1% |
| CETERA INVESTMENT ADVISERS LLC | 2 | Sep 11, 2026 | Aug 14, 2026 | HALES CORNERS, WI | Team lift out | Ibd to ibd | 0.0% |
| AMERIPRISE FINANCIAL SERVICES, LLC | 2 | Sep 2, 2026 | Aug 14, 2026 | RUSSELLVILLE, AR | Team lift out | Ibd to ibd | 0.0% |
| RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | 2 | Sep 1, 2026 | Aug 20, 2026 | STUART, FL | Team lift out | Ibd to ibd | 0.0% |
| CETERA INVESTMENT ADVISERS LLC | 2 | Aug 28, 2026 | Aug 12, 2026 | WESTFORD, MA | Team lift out | Ibd to ibd | 0.0% |
| MARIDEA WEALTH MANAGEMENT | 2 | Aug 28, 2026 | Aug 17, 2026 | NEW BRITAIN, PA | Team lift out | Ibd to RIA | 0.0% |
| RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | 2 | Aug 24, 2026 | Aug 20, 2026 | MISSOULA, MT | Team lift out | Ibd to ibd | 0.0% |
| RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | 3 | Aug 21, 2026 | Aug 17, 2026 | OAKLAND, ME | Team lift out | Ibd to ibd | 0.0% |
| J. W. COLE ADVISORS, INC. | 2 | Aug 19, 2026 | Aug 20, 2026 | DOUSMAN, WI | Team lift out | Ibd to ibd | 0.0% |
| CALIFORNIA CORPORATE ADVISORS | 2 | Aug 12, 2026 | Sep 22, 1999 | POWAY, CA | Team lift out | Other | 0.0% |
| THE AMERIFLEX GROUP | 3 | Aug 11, 2026 | Aug 3, 2026 | JEFFERSON CITY, MO | Team lift out | Ibd to ibd | 0.0% |
| RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | 2 | Aug 5, 2026 | Jul 23, 2026 | FORT GIBSON, OK | Team lift out | Ibd to ibd | 0.0% |
| WELLS FARGO ADVISORS | 2 | Aug 5, 2026 | Aug 5, 2026 | MONROE, LA | Team lift out | Ibd to wirehouse | 0.0% |
| AMERIPRISE FINANCIAL SERVICES, LLC | 3 | Jul 24, 2026 | Aug 3, 2026 | INDIANA, PA | Team lift out | Ibd to ibd | 0.0% |
| WELLS FARGO ADVISORS | 3 | Jul 22, 2026 | Jul 7, 2026 | HATTIESBURG, MS | Team lift out | Ibd to wirehouse | 0.0% |
| WELLS FARGO ADVISORS | 2 | Jul 10, 2026 | Jun 23, 2026 | WESTFIELD, NJ | Team lift out | Ibd to wirehouse | 0.0% |
| WELLS FARGO ADVISORS | 4 | Jun 30, 2026 | Jun 16, 2026 | FORT COLLINS, CO | Team lift out | Ibd to wirehouse | 0.0% |
| CETERA INVESTMENT ADVISERS LLC | 2 | Jun 25, 2026 | Jun 23, 2026 | YARMOUTH, ME | Team lift out | Ibd to ibd | 0.0% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | 2 | Sep 18, 2026 | Sep 9, 2026 | ANN ARBOR, MI | Team lift out | Ibd to ibd | 0.1% |
| RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | 4 | Sep 18, 2026 | Sep 18, 2026 | AMARILLO, TX | Team lift out | Ibd to ibd | 0.1% |
| OSAIC WEALTH, INC. | 2 | Sep 16, 2026 | Sep 14, 2026 | RYE, NY | Team lift out | Ibd to ibd | 0.0% |
| CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | 2 | Sep 14, 2026 | Sep 1, 2026 | DELTA, CO | Team lift out | Ibd to ibd | 0.1% |
| OSAIC INSTITUTIONS, INC. | 2 | Sep 11, 2026 | Sep 11, 2026 | MERIDEN, CT | Team lift out | Ibd to ibd | 0.4% |
| RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | 5 | Sep 9, 2026 | Sep 8, 2026 | MONROE, LA | Team lift out | Ibd to ibd | 0.1% |
| RBC CAPITAL MARKETS, LLC | 2 | Sep 4, 2026 | Aug 20, 2026 | FRESNO, CA | Team lift out | Ibd to ibd | 0.1% |
| STRATOS WEALTH PARTNERS, LTD | 2 | Sep 2, 2026 | Nov 5, 2025 | BEDFORD, NH | Team lift out | Ibd to ibd | 0.5% |
| OSAIC WEALTH, INC. | 4 | Sep 2, 2026 | Sep 1, 2026 | CALABASAS, CA | Team lift out | Ibd to ibd | 0.0% |
| FLORIDA FINANCIAL ADVISORS, LLC | 4 | Sep 1, 2026 | Aug 31, 2026 | JACKSONVILLE, FL | Team lift out | Ibd to ibd | 0.5% |
| AMERIPRISE FINANCIAL SERVICES, LLC | 2 | Aug 28, 2026 | Sep 1, 2026 | WAXHAW, NC | Team lift out | Ibd to ibd | 0.0% |
| AMERIPRISE FINANCIAL SERVICES, LLC | 4 | Aug 28, 2026 | Aug 27, 2026 | HILLIARD, OH | Team lift out | Ibd to ibd | 0.0% |
| RBC CAPITAL MARKETS, LLC | 3 | Aug 26, 2026 | Aug 18, 2026 | INVER GROVE HEIGHTS, MN | Team lift out | Ibd to ibd | 0.1% |
| AMERIPRISE FINANCIAL SERVICES, LLC | 2 | Aug 26, 2026 | Sep 2, 2026 | TWN AND CNTRY, MO | Team lift out | Ibd to ibd | 0.0% |
| EDWARD JONES | 2 | Aug 25, 2026 | Sep 2, 2026 | YUCAIPA, CA | Team lift out | Ibd to ibd | 0.0% |
| MARINER ADVISOR NETWORK | 2 | Aug 21, 2026 | Jul 31, 2026 | SAN JOSE, CA | Team lift out | Ibd to ibd | 14.3% |
| CAPITAL ANALYSTS | 3 | Aug 21, 2026 | Aug 20, 2026 | INDIANAPOLIS, IN | Team lift out | Ibd to ibd | 0.5% |
| CETERA INVESTMENT ADVISERS LLC | 3 | Aug 17, 2026 | Aug 18, 2026 | STUART, FL | Team lift out | Ibd to ibd | 0.0% |
| OSAIC WEALTH, INC. | 2 | Aug 14, 2026 | Aug 24, 2026 | SCOTTSDALE, AZ | Team lift out | Ibd to ibd | 0.0% |
| OSAIC WEALTH, INC. | 6 | Aug 14, 2026 | Aug 13, 2026 | PORTLAND, ME | Team lift out | Ibd to ibd | 0.1% |
Among 829 advisers with 25 or more registered advisors, the largest net gains of registered advisors between 2025-09-21 and 2026-09-21: Lpl Financial Llc +869 (1,816 in, 947 out, 23,319 registered); J.P. Morgan Securities Llc +454 (1,110 in, 656 out, 14,152 registered); Raymond James Financial Services Advisors, Inc +319 (641 in, 322 out, 6,694 registered); Empower Advisory Group, Llc +290 (400 in, 110 out, 1,944 registered); Schwab Wealth Advisory, Inc. +201 (259 in, 58 out, 1,643 registered); Vanguard Advisers, Inc. +166 (282 in, 116 out, 2,422 registered). 29,970 firm-to-firm moves in the year across 6,116 firms.