Reading the graph
Kestra has taken in 23 group moves and 72 advisors since May 3, 2026, by DFX's count. The latest group is 5 advisors from Ameriprise who left a day apart.
Read full story: 5 Ameriprise advisors move to Kestra, which drew 23 group moves in six months
Five Commonwealth groups took 22 advisors to Kestra in four weeks. DFX's records put that inside a larger flow: 14 months after LPL closed the deal, Commonwealth still loses groups far faster than comparable broker-dealers.
Read full story: Commonwealth groups leave at four times the peer rate as LPL conversion nears
The six left Commonwealth's Lacey office for Kestra within 4 days, registering by Oct 8.
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $199 a month for every name. Every figure, date and source on this page is public either way.
2,879 additional relationships, 75 more dated events, 128 more table rows
Every relationship, event and table row on this record, with the source on each.
7 days of DFX Intelligence free, then $199/month unless canceled. A card is taken when the trial starts.
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
Dated Oct 18, 2026 (filing); first seen by DFX Oct 19, 2026.
2 earlier readings: Oct 8, 2026, Sep 28, 2026
Dated Oct 28, 2026 (filing); first seen by DFX Oct 29, 2026.
Dated Aug 12, 2026 (filing); first seen by DFX Sep 15, 2026.
Dated Oct 28, 2026 (filing); first seen by DFX Oct 29, 2026.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| GEORGE DAVID ALEXANDER | Chartered Financial Consultant | San Diego, CA | 10 | 28.4 | 1 | yes |
| ROLLIN GILBERT SCHUSTER | n/a | West Hartford, CT | 10 | 42.3 | n/a | yes |
| KENNETH DALE ANDERSON | Chartered Financial Consultant | AUSTIN, TX | Greensboro, NC | 10 | 40.7 | 2 | yes |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| AMORE, JOHN, VINCENT | President | Na | yes | 04/2025 | Sep 22, 2026 | Sep 22, 2026 |
| Kant, Vinay | EVP, CHIEF DIGITAL TECHNOLOGY OFFICER | Na | yes | 08/2024 | Sep 22, 2026 | Sep 22, 2026 |
| KESTRA FINANCIAL, INC. | MANAGING MEMBER | E | yes | 10/2014 | Sep 22, 2026 | Sep 22, 2026 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| KESTRA PRIVATE WEALTH SERVICES, LLC | n/a | Bd affiliated wealth | $13B | N | yes | n/a |
| KESTRA INVESTMENT SERVICES, LLC | n/a | Former SEC adviser | $12B | N | yes | n/a |
| SNS FINANCIAL GROUP, LLC | n/a | Independent wealth | $7.8B | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| PT. JEFFERSON | NY | United States | 23 | yes |
| Plymouth | Mn | United States | 22 | yes |
| Charlotte | Nc | United States | 21 | yes |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Apr 8, 2026 | $80B | $62B | 1,359 | 1,359 | 544 | n/a | n/a |
| 2024 | Apr 14, 2025 | $60B | $45B | 1,299 | 1,299 | 544 | n/a | n/a |
| 2023 | Mar 28, 2024 | $48B | $35B | 1,266 | 1,266 | 544 | 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 |
|---|---|---|---|---|---|---|---|---|
| 191 | 101 | 90 | 6.8% | 79 | 14 | 0 | 520 | 310 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $80B | $60B | 32.6% | $42B | 24.1% | 1,359 | 1,299 | 544 | 544 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| LPL FINANCIAL LLC | 2 | Oct 28, 2026 | Oct 27, 2026 | AUSTIN, TX | Team lift out | Ibd to ibd | 0.1% |
| MERIT FINANCIAL ADVISORS | 3 | Jul 21, 2026 | Jul 17, 2026 | TOWSON, MD | Team lift out | Ibd to ibd | 0.2% |
| Corient | 3 | Jul 14, 2026 | Aug 18, 2026 | DALLAS, TX | Team lift out | Ibd to RIA | 0.2% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| COMMONWEALTH FINANCIAL NETWORK | 3 | Oct 29, 2026 | Oct 27, 2026 | MONTEREY, CA | Team lift out | Ibd to ibd | 0.1% |
| AMERIPRISE FINANCIAL SERVICES, LLC | 5 | Oct 28, 2026 | Oct 28, 2026 | PLANO, TX | Team lift out | Ibd to ibd | 0.0% |
| COMMONWEALTH FINANCIAL NETWORK | 2 | Oct 20, 2026 | Oct 13, 2026 | FINDLAY, OH | Team lift out | Ibd to ibd | 0.1% |
Only bookkeeping events name this entity; they are folded below.
Named in 2 current findings, the first: PE-owned wealth platforms added 1,857 advisors and lost 1,021 in twelve months; 19 platforms net positive, 3 net negative
Across 23 of the 40 largest (by RAUM) wealth managers whose Schedule A owner resolves to a private equity sponsor, IAPD registration spans between 2025-11-05 and 2026-11-05 show 1,857 advisors joining and 1,021 leaving (net +836). Largest movers: Wealth Enhancement Advisory Services, Llc +149 (176 in, 27 out; TA Associates on Schedule A since 2019-10-07); Rockefeller Capital Management +120 (153 in, 33 out; Viking Global Investors LP on Schedule A since 2018-08-23); Mercer Global Advisors Inc. +118 (139 in, 21 out; APH III GP LP on Schedule A since 2023-09-22); and 2 more. L.P. on Schedule A since 2022-02-03); and 3 more.
Form ADV Schedule A and B name the owners of each adviser. 566 owner rows on 325 advisers resolve by identifier to a sponsor on the private equity graph (precision 1.00 on track Z's labels); 98 of those advisers are wealth managers with 37,401 registered advisors and $3.62T of RAUM as filed. Largest sponsors by wealth platforms: Clayton, Dubilier & Rice, LLC 34 (Ancora Private Wealth Advisors, Llc, Ars Wealth Advisors, Asset Advisors, Badgley Phelps Wealth Managers, ...); and 3 more.