Reading the graph
CRD 8733
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 2026-08-26 (filing); first seen by DFX 2026-09-19.
Dated 2026-08-21 (filing); first seen by DFX 2026-09-15.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| Jesse Joseph Noblett | n/a | FORT MILL, SC | 2 | 11 | 1 | yes |
| ROXANE KAY MILLER | n/a | FORT MILL, SC | COROLLA, NC | 2 | 28 | 4 | yes |
| Trevor John Czerniejewski | n/a | FORT MILL, SC | SAINT LOUIS, MO | Saint Louis, MO | 2 | 11 | 8 | yes |
| Alexandria Trull | n/a | FORT MILL, SC | MOUNT PLEASANT, SC | 2 | 12 | 2 | yes |
| Vanessa Striegel | n/a | FORT MILL, SC | OLLIE, IA | Ollie, IA | 1 | 14 | 1 | yes |
| CLAUDIA AVA BAGGOT | n/a | STATEN ISLAND, NY | FORT MILL, SC | 1 | 13 | n/a | yes |
| ROBERT GARRET | n/a | FORT MILL, SC | MANALAPAN TOWNSHIP, NJ | MANALAPAN, NJ | 1 | 29 | n/a | yes |
| DONNA JEAN CANTY | n/a | Sugar Hill, GA | FORT MILL, SC | SUGAR HILL, GA | 1 | 27 | 1 | yes |
| Diane Marie Enterlein | n/a | FORT MILL, SC | TAMPA, FL | 1 | 38 | n/a | yes |
| DAHMEN M LARIVIERE | Certified Financial Planner | FORT MILL, SC | HOPKINTON, MA | Hopkinton, MA | 1 | 24 | 4 | yes |
| Joann Sacco | n/a | HOWELL, MI | FORT MILL, SC | Hartland Twp, MI | 1 | 13 | 1 | yes |
| Jamie Lanik | n/a | FARMINGTON, MN | FORT MILL, SC | Farmington, MN | 1 | 12 | 2 | yes |
| DANIEL WILLIAMS | n/a | FORT MILL, SC | CLARK, NJ | 1 | 28 | n/a | yes |
| Vincent Mauro | n/a | WARNERS, NY | FORT MILL, SC | 1 | 21 | n/a | yes |
| AUDRA LISOSKI | n/a | FORT MILL, SC | PARLIN, NJ | 1 | 25 | n/a | yes |
| REGINALD MCCALL | n/a | Baldwin, NY | BALDWIN, NY | FORT MILL, SC | 1 | 22 | n/a | yes |
| Mary Romeo | n/a | PALMETTO, FL | FORT MILL, SC | 1 | 22 | n/a | yes |
| DAGMAR ADAMS | n/a | CAVE CREEK, AZ | Cave Creek, AZ | FORT MILL, SC | 1 | 40 | 1 | yes |
| DEBBIE ANN HOMAN | n/a | WYOMISSING, PA | Wyomissing, PA | FORT MILL, SC | 1 | 36 | 1 | yes |
| DARLA K ROSNO | n/a | FORT MILL, SC | GENOA, NE | 1 | 33 | n/a | yes |
| Victoria Lynnette Swanson | n/a | LONE TREE, CO | Littleton, CO | FORT MILL, SC | 1 | 27 | 3 | yes |
| MARY JANE FERRY | n/a | SAINT LOUIS, MO | FORT MILL, SC | 1 | 25 | 4 | yes |
| BRUNO GRENCI | n/a | CARMEL, IN | Carmel, IN | FORT MILL, SC | 1 | 21 | 1 | yes |
| JAHNESE SHANETTE ALSTON | n/a | FORT MILL, SC | CHARLOTTE, NC | 1 | 18 | n/a | yes |
| MICHELE CAHAYLA | n/a | FORT MILL, SC | WAYNE, NJ | Wayne, NJ | 1 | 26 | 1 | yes |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| EVANGELIOU, KIRIAKOS ANDREAS | SVP, CHIEF COMPLIANCE OFFICER | Na | yes | 02/2026 | Jul 15, 2026 | Jul 15, 2026 |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT PRINCIPAL OPERATIONS OFFICER, FINOP | Na | yes | 03/2023 | Jul 15, 2026 | Jul 15, 2026 |
| LPL HOLDINGS, INC. | MANAGING MEMBER | E | yes | 05/2023 | Jul 15, 2026 | Jul 15, 2026 |
| MORNINGSTAR, MATTHEW EDWIN | CHIEF LEGAL OFFICER | Na | yes | 12/2025 | Jul 15, 2026 | Jul 15, 2026 |
| LPL FINANCIAL HOLDINGS INC. | PARENT COMPANY | E | yes | 12/2005 | Jul 8, 2024 | Nov 8, 2024 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | Na | yes | 09/2023 | Jul 8, 2024 | Nov 8, 2024 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | Na | yes | 08/2023 | Jul 8, 2024 | Nov 8, 2024 |
| MORRISON, STEVEN PHILIP | Secretary | Na | no | 03/2023 | Jul 8, 2024 | Nov 8, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| LPL FINANCIAL LLC | n/a | Bd affiliated wealth | $819B | N | yes | Sc |
| 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 |
| THE PRIVATE TRUST COMPANY, N.A. | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Tempe | Az | United States | 0 | yes |
| SAN DIEGO | CA | United States | 0 | yes |
| Boston | Ma | United States | 0 | yes |
| Austin | TX | United States | 0 | yes |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 31, 2026 | $25B | $25B | 5,215 | 4,492 | 1,140 | n/a | n/a |
| 2024 | Mar 31, 2025 | $19B | $19B | 4,650 | 3,130 | 1,075 | 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 |
|---|---|---|---|---|---|---|---|---|
| 258 | 278 | -20 | 8.9% | 56 | 56 | 0 | 554 | 532 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $25B | $19B | 32.2% | n/a | n/a | 5,215 | 4,650 | 1,140 | 1,075 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| PRINCIPAL SECURITIES, INC. | 2 | Aug 26, 2026 | Aug 18, 2026 | CHERRY HILL TOWNSHIP, NJ | Team lift out | Ibd to ibd | 0.1% |
| J.P. MORGAN SECURITIES LLC | 2 | Jun 23, 2026 | Jun 25, 2026 | MERCER ISLAND, WA | Team lift out | Ibd to wirehouse | 0.1% |
| WELLS FARGO ADVISORS | 3 | Apr 6, 2026 | Apr 7, 2026 | SAN JOSE, CA | Team lift out | Ibd to wirehouse | 0.1% |
| UHY WEALTH MANAGEMENT RIA LLC | 4 | Apr 6, 2026 | Apr 13, 2026 | AUBURN HILLS, MI | Team lift out | Ibd to RIA | 0.1% |
| UHY WEALTH MANAGEMENT RIA LLC | 3 | Apr 1, 2026 | Apr 20, 2026 | SAN DIEGO, CA | Team lift out | Ibd to RIA | 0.1% |
| J.P. MORGAN SECURITIES LLC | 2 | Mar 6, 2026 | Aug 7, 2026 | VOORHEESVILLE, NY | Team lift out | Ibd to wirehouse | 0.1% |
| FISHER INVESTMENTS | 2 | Dec 24, 2025 | Feb 20, 2026 | MIAMI, FL | Team lift out | Ibd to RIA | 0.1% |
| AMERIPRISE FINANCIAL SERVICES, LLC | 2 | Oct 31, 2025 | Oct 24, 2025 | LITTLETON, CO | Team lift out | Ibd to ibd | 0.1% |
| PNC WEALTH MANAGEMENT | 2 | Sep 23, 2025 | Oct 31, 2025 | TROY, MI | Team lift out | Ibd to ibd | 0.1% |
| J.P. MORGAN SECURITIES LLC | 3 | Aug 19, 2025 | Aug 15, 2025 | ATLANTA, GA | Team lift out | Ibd to wirehouse | 0.1% |
| J.P. MORGAN SECURITIES LLC | 3 | Aug 11, 2025 | Mar 16, 2026 | WHITE PLAINS, NY | Team lift out | Ibd to wirehouse | 0.1% |
| MML INVESTORS SERVICES, LLC | 2 | Jul 29, 2025 | Jul 21, 2025 | GREENVILLE, SC | Team lift out | Ibd to ibd | 0.1% |
| STRATEGIC ADVISERS LLC | 3 | Jul 3, 2025 | Nov 21, 2025 | HOLMDEL, NJ | Team lift out | Ibd to ibd | 0.1% |
| PRUCO SECURITIES, LLC | 3 | Jun 5, 2025 | Jun 26, 2025 | NEWARK, NJ | Team lift out | Other | 0.1% |
| MML INVESTORS SERVICES, LLC | 2 | May 15, 2025 | May 9, 2025 | MOUNT PLEASANT, SC | Team lift out | Ibd to ibd | 0.1% |
| MML INVESTORS SERVICES, LLC | 2 | Apr 24, 2025 | Apr 4, 2025 | BABYLON, NY | Team lift out | Ibd to ibd | 0.1% |
| MML INVESTORS SERVICES, LLC | 2 | Mar 25, 2025 | Mar 26, 2025 | ORANGE, CA | Team lift out | Other | 0.1% |
| EQUITABLE ADVISORS, LLC | 2 | Feb 3, 2025 | Feb 24, 2025 | FRANKLIN, TN | Team lift out | Other | 0.1% |
| LPL FINANCIAL LLC | 6 | Apr 7, 2023 | Mar 29, 2023 | PITTSBURGH, PA | Firm absorbed | Other | 66.7% |
| LPL FINANCIAL LLC | 3 | Apr 7, 2023 | May 16, 2023 | FORT MILL, SC | Team lift out | Other | 33.3% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| OPPENHEIMER & CO. INC. | 2 | Aug 21, 2026 | Aug 18, 2026 | PORT ORANGE, FL | Team lift out | Ibd to ibd | 0.2% |
| TD PRIVATE CLIENT WEALTH LLC | 2 | Apr 16, 2026 | May 19, 2026 | SCOTCH PLAINS, NJ | Team lift out | Ibd to ibd | 0.5% |
| STRATEGIC ADVISERS LLC | 2 | Apr 10, 2026 | Apr 13, 2026 | BOSTON, MA | Team lift out | Ibd to ibd | 0.0% |
| EDWARD JONES | 2 | Mar 31, 2026 | Jun 10, 2026 | PEORIA, AZ | Team lift out | Ibd to ibd | 0.0% |
| DEMPSEY LORD SMITH, LLC | 2 | Mar 3, 2026 | Mar 2, 2026 | ROME, GA | Team lift out | RIA to ibd | 5.1% |
| ESI FINANCIAL ADVISORS | 2 | Mar 3, 2026 | Mar 3, 2026 | LYNCHBURG, VA | Team lift out | RIA to ibd | 0.4% |
| SMITH MOORE & CO. | 2 | Dec 23, 2025 | Dec 1, 2025 | TOPEKA, KS | Team lift out | Ibd to ibd | 4.4% |
| RAYMOND JAMES & ASSOCIATES, INC. | 4 | Dec 2, 2025 | Dec 1, 2025 | MISHAWAKA, IN | Team lift out | Ibd to ibd | 0.1% |
| MML INVESTORS SERVICES, LLC | 2 | Sep 24, 2025 | Oct 6, 2025 | PERKASIE, PA | Team lift out | Ibd to ibd | 0.0% |
| AMERIPRISE FINANCIAL SERVICES, LLC | 2 | Sep 4, 2025 | Nov 18, 2025 | GROTTOES, VA | Team lift out | Ibd to ibd | 0.0% |
| STRATEGIC ADVISERS LLC | 3 | Jun 6, 2025 | Jul 3, 2025 | BOSTON, MA | Team lift out | Ibd to ibd | 0.0% |
| MML INVESTORS SERVICES, LLC | 4 | Jun 2, 2025 | Jun 6, 2025 | DIX HILLS, NY | Team lift out | Ibd to ibd | 0.1% |
| EQUITABLE ADVISORS, LLC | 2 | May 15, 2025 | May 1, 2026 | NEW YORK, NY | Team lift out | Ibd to ibd | 0.1% |
| CETERA INVESTMENT ADVISERS LLC | 2 | Feb 27, 2025 | Feb 20, 2025 | CAPE GIRARDEAU, MO | Team lift out | Ibd to new firm | 0.0% |
| MML INVESTORS SERVICES, LLC | 2 | Dec 23, 2024 | Apr 22, 2025 | NORTHVALE, NJ | Team lift out | Ibd to new firm | 0.0% |
| PRUCO SECURITIES, LLC | 3 | Dec 6, 2024 | Jan 22, 2025 | SUNNYVALE, CA | Team lift out | Ibd to new firm | 6.0% |
| PRUCO SECURITIES, LLC | 6 | Dec 5, 2024 | Nov 19, 2025 | NEWARK, NJ | Team lift out | Ibd to new firm | 11.8% |
| LPL FINANCIAL LLC | 4 | Oct 11, 2024 | Oct 29, 2024 | SAN DIEGO, CA | Team lift out | Ibd to new firm | 0.0% |
| LPL FINANCIAL LLC | 3 | Oct 11, 2024 | Oct 22, 2024 | FORT MILL, SC | Team lift out | Ibd to new firm | 0.0% |
| FIRST COMMAND ADVISORY SERVICES | 2 | Oct 1, 2024 | Nov 18, 2024 | FLOWER MOUND, TX | Team lift out | Ibd to new firm | 0.3% |