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CRD 106715
MALVERN, PA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
Dated 2026-08-21 (filing); first seen by DFX 2026-09-19.
Dated 2026-07-27 (filing); first seen by DFX 2026-09-15.
Dated 2026-07-21 (filing); first seen by DFX 2026-09-15.
Dated 2026-08-05 (filing); first seen by DFX 2026-09-15.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| JUDITH ANN MARTINEZ | n/a | MALVERN, PA | 30 | 30 | n/a | yes |
| FRANCIS MICHAEL KINNIRY | Chartered Financial Analyst | MALVERN, PA | 27 | 34 | n/a | yes |
| RAYMOND CORNELIUS QUEREY | n/a | MALVERN, PA | 26 | 32 | n/a | yes |
| JIMMY JOSEPH SILVANO | n/a | MALVERN, PA | 26 | 35 | n/a | yes |
| MATTHEW FRED WRIGHT | Certified Financial Planner | MALVERN, PA | 26 | 31 | n/a | yes |
| SCOTT MATTHEW DRAHZAL | Certified Financial Planner | CHARLOTTE, NC | 24 | 27 | n/a | yes |
| ROBERT GERARD KUBIAK | n/a | MALVERN, PA | 24 | 28 | n/a | yes |
| CHRISTOPHER STUART LUKASEVICS | n/a | MALVERN, PA | 21 | 29 | n/a | yes |
| MARK RAYMOND WALFORD | Certified Financial Planner | SCOTTSDALE, AZ | 21 | 29 | n/a | yes |
| BRYAN TODD PENTZ | n/a | CHARLOTTE, NC | 21 | 28 | n/a | yes |
| TIMOTHY JAMES TRAUT | n/a | VALLEY FORGE, PA | 21 | 28 | n/a | yes |
| ROBERTO GONZALEZ VIGIL | n/a | CHARLOTTE, NC | 21 | 27 | n/a | yes |
| JEREMY ALAN BEIL | n/a | MALVERN, PA | 20 | 24 | n/a | yes |
| KYLE DAVID ROTTHOFF | Certified Financial Planner | CHARLOTTE, NC | 19 | 23 | n/a | yes |
| SHANE PATRICK COLLINS | n/a | SCOTTSDALE, AZ | 19 | 22 | n/a | yes |
| ANTHONY WARREN VIDETTO | n/a | MALVERN, PA | 19 | 21 | n/a | yes |
| CHARLES NELSON RILEY | n/a | MALVERN, PA | 17 | 28 | n/a | yes |
| CRAIG FETTERS MCLANE | Certified Financial Planner | SCOTTSDALE, AZ | 17 | 23 | n/a | yes |
| LUCAS ANDREW ZUBROD | Certified Financial Planner | CHARLOTTE, NC | 17 | 27 | 1 | yes |
| VINCENT RONALD HAM | Certified Financial Planner | MALVERN, PA | 17 | 26 | n/a | yes |
| GEORGE ALBERT CENTENO | Certified Financial Planner | Plano, TX | 16 | 20 | n/a | yes |
| DANIEL P QUINN | Certified Financial Planner | MALVERN, PA | 16 | 21 | n/a | yes |
| BENJAMIN D COHEN | Certified Financial Planner | MALVERN, PA | 16 | 19 | n/a | yes |
| RYAN MICHAEL ADAMS | Certified Financial Planner | MALVERN, PA | 16 | 21 | n/a | yes |
| SARAH ELIZABETH HIND | Certified Financial Planner | CHARLOTTE, NC | 15 | 22 | 1 | yes |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| BENDL, JOHN, WESLEY | Director | Na | yes | 07/2025 | Aug 20, 2026 | Aug 20, 2026 |
| BOATENG, AMMA, ACHEAMPOMAA | Director | Na | yes | 06/2024 | Aug 20, 2026 | Aug 20, 2026 |
| BRANCATO, MATTHEW, CLARK | Director | Na | yes | 05/2020 | Aug 20, 2026 | Aug 20, 2026 |
| ROTENBERG, JOANNA, MICHELLE | CHAIR & DIRECTOR | Na | yes | 12/2025 | Aug 20, 2026 | Aug 20, 2026 |
| SCHADL, JOHN, EDWARD | Director | Na | yes | 07/2026 | Aug 20, 2026 | Aug 20, 2026 |
| SIMONS, CARRIE, ANN | CHIEF FINANCIAL OFFICER | Na | yes | 03/2026 | Aug 20, 2026 | Aug 20, 2026 |
| STEWART, MARC, CHRISTOPHER | CHIEF COMPLIANCE OFFICER | Na | yes | 08/2023 | Aug 20, 2026 | Aug 20, 2026 |
| BENCHENER, MATTHEW, JOHN | Director | Na | yes | 12/2020 | Dec 18, 2020 | Dec 19, 2024 |
| BISORDI, JOHN, EDMUND | DIRECTOR AND GENERAL COUNSEL | Na | yes | 02/2022 | Mar 31, 2022 | Dec 19, 2024 |
| GOLIATH, INC, A WHOLLY OWNED SUBSIDIARY OF THE VANGUARD GROUP INC | Stockholder | E | yes | 06/1995 | Mar 29, 2012 | Dec 19, 2024 |
| PETTY, DAVID, BRUCE | CHIEF FINANCIAL OFFICER | Na | yes | 10/2021 | Mar 31, 2022 | Dec 19, 2024 |
| RISI, KARIN, ANN | Director | Na | yes | 05/2015 | Jul 1, 2015 | Dec 19, 2024 |
| ROLLINGS, MICHAEL, THOMAS | Director | Na | yes | 09/2016 | Mar 31, 2017 | Dec 19, 2024 |
| THE VANGUARD GROUP, INC. | Stockholder | E | yes | 06/1995 | Mar 29, 2012 | Dec 19, 2024 |
| VANGUARD INDEX FUNDS | Stockholder | C | yes | 08/1976 | Mar 29, 2012 | Dec 19, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| THE VANGUARD GROUP, INC. | n/a | Asset manager | $11093B | Y | no | Pa |
| VANGUARD GLOBAL ADVISERS, LLC | n/a | Asset manager | $250B | N | yes | n/a |
| VANGUARD PERSONALIZED INDEXING MANAGEMENT | n/a | Asset manager | $11B | N | yes | n/a |
| VANGUARD FIDUCIARY TRUST COMPANY | n/a | n/a | n/a | N | yes | Pa |
| VANGUARD MARKETING CORPORATION | n/a | n/a | n/a | N | yes | Pa |
| VANGUARD NATIONAL TRUST COMPANY, N.A. | n/a | n/a | n/a | N | yes | n/a |
| VGI INSURANCE, INC. | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Scottsdale | Az | United States | 417 | yes |
| Charlotte | Nc | United States | 371 | yes |
| Plano | TX | United States | 110 | yes |
| n/a | n/a | n/a | 1 | yes |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 30, 2026 | $345B | $121B | 2,208 | 1,903 | 2,225 | n/a | n/a |
| 2024 | Apr 30, 2025 | $300B | $108B | 2,225 | 1,567 | 2,225 | n/a | n/a |
| 2023 | Mar 28, 2024 | $333B | $144B | 2,107 | 1,558 | 2,107 | n/a | n/a |
| 2022 | Mar 31, 2023 | $299B | $119B | 2,124 | 1,612 | 2,124 | n/a | n/a |
| 2021 | Mar 31, 2022 | $339B | $141B | 1,932 | 1,306 | 3 | n/a | n/a |
| 2020 | Mar 30, 2021 | $277B | $269B | 1,866 | 1,127 | 3 | n/a | n/a |
| 2019 | Mar 30, 2020 | $221B | $216B | 1,682 | 919 | 3 | n/a | n/a |
| 2018 | Mar 29, 2019 | $161B | $157B | 984 | 937 | 2 | n/a | n/a |
| 2017 | Mar 29, 2018 | $151B | $146B | 878 | 793 | 3 | n/a | n/a |
| 2016 | Mar 31, 2017 | $108B | $103B | 659 | 612 | n/a | n/a | n/a |
| 2015 | Mar 30, 2016 | $80B | $75B | 558 | 506 | n/a | n/a | n/a |
| 2014 | Mar 30, 2015 | $54B | $52B | 295 | 285 | n/a | n/a | n/a |
| 2013 | Mar 31, 2014 | $36B | $34B | 311 | 212 | n/a | n/a | n/a |
| 2012 | Mar 28, 2013 | $26B | $25B | 290 | 140 | n/a | n/a | n/a |
| 2011 | Mar 29, 2012 | $22B | $21B | 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 |
|---|---|---|---|---|---|---|---|---|
| 283 | 117 | 166 | 4.8% | 87 | 33 | 0 | 392 | 499 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $345B | $300B | 14.7% | $299B | 4.8% | 2,208 | 2,225 | 2,225 | 2,225 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| EMPOWER ADVISORY GROUP, LLC | 2 | Aug 21, 2026 | Sep 18, 2026 | SCOTTSDALE, AZ | Team lift out | Ibd to ibd | 0.1% |
| SCHWAB WEALTH ADVISORY, INC. | 3 | Jul 27, 2026 | Sep 8, 2026 | SCOTTSDALE, AZ | Team lift out | Other | 0.1% |
| SCHWAB WEALTH ADVISORY, INC. | 2 | Apr 7, 2026 | Apr 28, 2026 | CHARLOTTE, NC | Team lift out | Other | 0.1% |
| SCHWAB WEALTH ADVISORY, INC. | 5 | Nov 26, 2025 | Jun 4, 2026 | SCOTTSDALE, AZ | Team lift out | Other | 0.3% |
| LPL FINANCIAL LLC | 2 | Oct 15, 2025 | Oct 16, 2025 | CHARLOTTE, NC | Team lift out | Ibd to ibd | 0.1% |
| WELLS FARGO ADVISORS | 2 | Sep 5, 2025 | Apr 1, 2026 | CHARLOTTE, NC | Team lift out | Ibd to wirehouse | 0.1% |
| SCHWAB WEALTH ADVISORY, INC. | 2 | May 15, 2025 | Nov 3, 2025 | SCOTTSDALE, AZ | Team lift out | Other | 0.1% |
| LPL FINANCIAL LLC | 2 | Apr 2, 2025 | Apr 22, 2025 | SCOTTSDALE, AZ | Team lift out | Ibd to ibd | 0.1% |
| ADVICE AND PLANNING SERVICES | 2 | Dec 17, 2024 | May 4, 2026 | CHARLOTTE, NC | Team lift out | Ibd to ibd | 0.1% |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | 2 | Dec 2, 2024 | Jan 27, 2025 | CHARLOTTE, NC | Team lift out | Ibd to wirehouse | 0.1% |
| DIMENSIONAL FUND ADVISORS LP | 2 | Nov 13, 2024 | Dec 18, 2024 | CHARLOTTE, NC | Team lift out | Other | 0.1% |
| EDWARD JONES | 2 | Oct 17, 2024 | May 27, 2025 | CHARLOTTE, NC | Team lift out | Ibd to ibd | 0.1% |
| J.P. MORGAN SECURITIES LLC | 2 | Oct 11, 2024 | Sep 26, 2025 | PLANO, TX | Team lift out | Ibd to wirehouse | 0.1% |
| SCHWAB WEALTH ADVISORY, INC. | 2 | Sep 18, 2024 | Oct 24, 2024 | SCOTTSDALE, AZ | Team lift out | Other | 0.1% |
| FISHER INVESTMENTS | 2 | Sep 3, 2024 | Sep 16, 2024 | PLANO, TX | Team lift out | Ibd to RIA | 0.1% |
| LPL FINANCIAL LLC | 2 | Aug 23, 2024 | Aug 26, 2024 | CHARLOTTE, NC | Team lift out | Ibd to ibd | 0.1% |
| FIDELITY PERSONAL AND WORKPLACE ADVISORS | 2 | Aug 22, 2024 | Sep 27, 2024 | MALVERN, PA | Team lift out | Ibd to ibd | 0.1% |
| MORGAN STANLEY | 2 | Aug 8, 2024 | Dec 17, 2024 | PHOENIX, AZ | Team lift out | Ibd to wirehouse | 0.1% |
| PROSPERA CAPITAL MANAGEMENT, LLC | 2 | Jul 10, 2024 | Jun 26, 2024 | SCOTTSDALE, AZ | Team lift out | Ibd to new firm | 0.1% |
| MORGAN STANLEY | 2 | Jul 9, 2024 | Aug 4, 2025 | MALVERN, PA | Team lift out | Ibd to wirehouse | 0.1% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| CHARLES SCHWAB & CO., INC. | 2 | Aug 5, 2026 | Sep 2, 2026 | WESTLAKE, TX | Team lift out | Ibd to ibd | 0.0% |
| J.P. MORGAN SECURITIES LLC | 3 | Jul 21, 2026 | Sep 18, 2026 | FRISCO, TX | Team lift out | Wirehouse to ibd | 0.0% |
| FISHER INVESTMENTS | 2 | Jul 6, 2026 | Aug 12, 2026 | PLANO, TX | Team lift out | RIA to ibd | 0.1% |
| J.P. MORGAN SECURITIES LLC | 2 | Jun 26, 2026 | Jul 29, 2026 | TEMPE, AZ | Team lift out | Wirehouse to ibd | 0.0% |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | 2 | Jun 18, 2026 | Jul 21, 2026 | TYLER, TX | Team lift out | Wirehouse to ibd | 0.0% |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | 2 | Jun 10, 2026 | Jul 13, 2026 | NEW YORK, NY | Team lift out | Wirehouse to ibd | 0.0% |
| MORGAN STANLEY | 2 | Apr 27, 2026 | Jun 11, 2026 | TEMPE, AZ | Team lift out | Wirehouse to ibd | 0.0% |
| FISHER INVESTMENTS | 3 | Apr 22, 2026 | Jul 29, 2026 | PLANO, TX | Team lift out | RIA to ibd | 0.1% |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | 2 | Mar 18, 2026 | May 7, 2026 | CHANDLER, AZ | Team lift out | Wirehouse to ibd | 0.0% |
| FISHER INVESTMENTS | 4 | Mar 5, 2026 | Jun 1, 2026 | PLANO, TX | Team lift out | RIA to ibd | 0.2% |
| WELLS FARGO ADVISORS | 2 | Feb 16, 2026 | Apr 16, 2026 | CHARLOTTE, NC | Team lift out | Wirehouse to ibd | 0.0% |
| FLORIDA FINANCIAL ADVISORS, LLC | 2 | Jan 13, 2026 | May 5, 2026 | PHILADELPHIA, PA | Team lift out | Ibd to ibd | 0.4% |
| ADVICE AND PLANNING SERVICES | 2 | Jan 2, 2026 | Mar 2, 2026 | KANNAPOLIS, NC | Team lift out | Ibd to ibd | 0.1% |
| CHARLES SCHWAB & CO., INC. | 2 | Nov 28, 2025 | Jul 1, 2026 | PHOENIX, AZ | Team lift out | Ibd to ibd | 0.0% |
| WELLS FARGO ADVISORS | 2 | Nov 5, 2025 | Dec 5, 2025 | SCOTTSDALE, AZ | Team lift out | Wirehouse to ibd | 0.0% |
| CETERA INVESTMENT ADVISERS LLC | 2 | Oct 24, 2025 | Dec 22, 2025 | NEWARK, DE | Team lift out | Ibd to ibd | 0.0% |
| STRATEGIC ADVISERS LLC | 3 | Oct 3, 2025 | May 1, 2026 | BOSTON, MA | Team lift out | Ibd to ibd | 0.0% |
| STRATEGIC ADVISERS LLC | 2 | Sep 11, 2025 | Apr 1, 2026 | BOSTON, MA | Team lift out | Ibd to ibd | 0.0% |
| STRATEGIC ADVISERS LLC | 2 | Aug 6, 2025 | Sep 15, 2025 | BOSTON, MA | Team lift out | Ibd to ibd | 0.0% |
| CHARLES SCHWAB & CO., INC. | 2 | Jul 21, 2025 | Feb 5, 2026 | WESTLAKE, TX | Team lift out | Ibd to ibd | 0.0% |
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 +867 (1,818 in, 951 out, 23,319 registered); J.P. Morgan Securities Llc +453 (1,114 in, 661 out, 14,152 registered); Raymond James Financial Services Advisors, Inc +318 (641 in, 323 out, 6,694 registered); Empower Advisory Group, Llc +291 (401 in, 110 out, 1,944 registered); Schwab Wealth Advisory, Inc. +203 (260 in, 57 out, 1,643 registered); Vanguard Advisers, Inc. +166 (283 in, 117 out, 2,422 registered). 30,054 firm-to-firm moves in the year across 6,128 firms.