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CRD 46173
NEW YORK, NY
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
Dated 2026-08-14 (filing); first seen by DFX 2026-09-15.
Dated 2026-07-31 (filing); first seen by DFX 2026-09-19.
Dated 2026-08-06 (filing); first seen by DFX 2026-09-15.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| MARK B CONNELY | Certified Financial Planner | HOUSTON, TX | Houston, TX | 27 | 30 | n/a | yes |
| THOMAS B GOLDFARB | n/a | EL PASO, TX | 26 | 32 | n/a | yes |
| GEORGE C KLIMA | Chartered Financial Consultant | WAYZATA, MN | Scottsdale, AZ | 25 | 41 | n/a | yes |
| GORDON B SMITH | Chartered Financial Consultant | Timonium, MD | Hunt Valley, MD | 25 | 29 | n/a | yes |
| CHARLES E WOODBURY | Chartered Financial Consultant | Hunt Valley, MD | Towson, MD | 25 | 40 | n/a | yes |
| BUNA B CUMBIE | Chartered Financial Consultant | COLUMBIA, MD | 25 | 38 | n/a | yes |
| ROBERT N WORGAFTIK | Certified Financial Planner|Chartered Financial Consultant | FARMINGTON, CT | Avon, CT | 25 | 45 | n/a | yes |
| KEVIN L BELL | Chartered Financial Consultant | INDIANAPOLIS, IN | 25 | 43 | n/a | yes |
| ANTHONY JOSEPH DOMINO | Chartered Financial Consultant | RYE BROOK, NY | 25 | 42 | n/a | yes |
| TERENCE G MCGLYNN | Chartered Financial Consultant | Sleepy Hollow, NY | RYE BROOK, NY | 25 | 38 | n/a | yes |
| KENNETH J SCHROERING | n/a | EVANSVILLE, IN | 25 | 39 | n/a | yes |
| BARRY D ZIMMERMAN | n/a | Norfolk, MA | NEEDHAM, MA | 25 | 32 | n/a | yes |
| STEVEN D LICHTENSTEIN | Chartered Financial Consultant | MELVILLE, NY | BOCA RATON, FL | 25 | 33 | n/a | yes |
| WILLIAM C BERGER | Chartered Financial Consultant | PINETOP, AZ | SAN DIEGO, CA | 25 | 42 | n/a | yes |
| KAREN ANN JESSEY | n/a | GREENWOOD VILLAGE, CO | 25 | 27 | n/a | yes |
| RANDALL T BILLS | n/a | MURRAY, UT | PLEASANT GROVE, UT | 25 | 28 | n/a | yes |
| DAVID L KELLER | Chartered Financial Consultant | GREENWOOD VILLAGE, CO | LITTLETON, CO | 25 | 35 | n/a | yes |
| RICHARD A SHURMER | n/a | CINCINNATI, OH | 25 | 34 | n/a | yes |
| BRIAN J LEEN | n/a | DAYTON, OH | 25 | 19 | n/a | yes |
| GREGORY J MORRIS | n/a | BEACHWOOD, OH | 25 | 38 | 1 | yes |
| GARY JOSEPH PETERS | Chartered Financial Consultant | NEEDHAM, MA | 25 | 42 | n/a | yes |
| STEVEN J TRAVAGLINI | n/a | NASHUA, NH | 25 | 40 | n/a | yes |
| RICHARD L POITRAS | Chartered Financial Consultant | NEEDHAM, MA | 25 | 28 | n/a | yes |
| GWENDOLYN D CHATHAM | Certified Financial Planner | SACRAMENTO, CA | INCLINE VILLAGE, NV | 25 | 43 | n/a | yes |
| DAVID M CULLER | Chartered Financial Consultant | Campbell, CA | Los Gatos, CA | 25 | 38 | 1 | yes |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| BOGGS, ALLEN WARREN | HEAD OF PRODUCT & SUPERVISION | Na | yes | 09/2014 | Sep 8, 2026 | Sep 8, 2026 |
| CASWELL, MARIANNE GRACE | PRESIDENT AND ELECTED MEMBER | Na | yes | 01/2021 | Sep 8, 2026 | Sep 8, 2026 |
| MAHER, CARLY PRITCHARD | ELECTED MEMBER & HEAD OF WEALTH MANAGEMENT STRATEGY AND BUSINESS OPERATIONS | Na | yes | 09/2020 | Sep 8, 2026 | Sep 8, 2026 |
| RYNIKER, MICHAEL JOHN | PRINCIPAL OPERATIONS OFFICER | Na | yes | 04/2023 | Sep 8, 2026 | Sep 8, 2026 |
| THE GUARDIAN LIFE INSURANCE | Owner | E | yes | 12/2019 | Sep 8, 2026 | Sep 8, 2026 |
| VECCHI, MEG R | ELECTED MEMBER | Na | yes | 06/2026 | Sep 8, 2026 | Sep 8, 2026 |
| BUTSCHER, JEFFREY JOSEPH | INTERIM CHIEF COMPLIANCE OFFICER | Na | yes | 03/2024 | Nov 23, 2016 | Oct 18, 2024 |
| LESINA, LEYLA ADA | ELECTED MEMBER | Na | yes | 05/2019 | Jun 3, 2019 | Oct 18, 2024 |
| THE GUARDIAN LIFE INSURANCE COMPANY OF AMERICA | Owner | E | yes | 12/2019 | Nov 15, 2011 | Oct 18, 2024 |
| DAVARASHVILI, KATE | FINOP/PRINCIPAL FINANCIAL OFFICER. | Na | no | 07/2024 | Sep 8, 2026 | Sep 8, 2026 |
| DESROCHERS, CARL | ELECTED MEMBER | Na | no | 08/2023 | Sep 8, 2026 | Sep 8, 2026 |
| HERGAN, JOSHUA NEIL | GENERAL COUNSEL | Na | no | 10/2019 | Sep 8, 2026 | Sep 8, 2026 |
| FERIK, MICHAEL NICHOLAS | ELECTED MEMBER | Na | no | 02/2014 | Apr 10, 2014 | Oct 18, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| PARK AVENUE INSTITUTIONAL ADVISERS LLC | n/a | Institutional manager | $82B | N | yes | n/a |
| BROADSHORE CAPITAL PARTNERS, LLC | n/a | Other adviser | $982M | N | yes | n/a |
| PARK AVENUE INVESTMENT ADVISORY, LLC | n/a | Independent wealth | $191M | N | yes | n/a |
| THE GUARDIAN INSURANCE & ANNUITY COMPANY, INC | n/a | n/a | n/a | Y | yes | n/a |
| THE GUARDIAN LIFE INSURANCE COMPANY OF AMERICA | n/a | n/a | n/a | Y | no | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| RYE BROOK | NY | United States | 55 | yes |
| Needham | Ma | United States | 51 | yes |
| NEW YORK | NY | United States | 45 | yes |
| Charlotte | Nc | United States | 39 | yes |
| Paramus | Nj | United States | 34 | yes |
| Pittsburgh | Pa | United States | 33 | yes |
| SAN DIEGO | CA | United States | 32 | yes |
| Cincinnati | Oh | United States | 24 | yes |
| Atlanta | Ga | United States | 20 | yes |
| Melville | NY | United States | 20 | yes |
| Beachwood | Oh | United States | 20 | yes |
| Houston | TX | United States | 20 | yes |
| GREENWOOD VILLAGE | Co | United States | 18 | yes |
| FORT MYERS | FL | United States | 17 | yes |
| Tampa | FL | United States | 17 | yes |
| WOODCLIFF LAKE | Nj | United States | 17 | yes |
| Atlanta | Ga | United States | 16 | yes |
| Honolulu | Hi | United States | 16 | yes |
| Holmdel | Nj | United States | 16 | yes |
| Minnetonka | Mn | United States | 15 | yes |
| Wall | Nj | United States | 15 | yes |
| GARDEN CITY | NY | United States | 15 | yes |
| Columbus | Oh | United States | 14 | yes |
| NEW YORK | NY | United States | 13 | yes |
| NEW YORK | NY | United States | 12 | yes |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Apr 27, 2026 | $20B | $18B | 2,073 | 2,054 | 543 | n/a | n/a |
| 2024 | Mar 19, 2025 | $15B | $13B | 1,984 | 1,963 | 427 | n/a | n/a |
| 2023 | Mar 15, 2024 | $12B | $10B | 1,841 | 1,820 | 399 | n/a | n/a |
| 2022 | Mar 15, 2023 | $9.9B | $8.3B | 1,825 | 1,805 | 385 | n/a | n/a |
| 2021 | Mar 16, 2022 | $11B | $8.5B | 1,811 | 1,792 | 86 | n/a | n/a |
| 2020 | Mar 16, 2021 | $7.6B | $5.8B | 1,803 | 1,784 | 86 | n/a | n/a |
| 2019 | Mar 16, 2020 | $5.7B | $4.2B | 1,745 | 1,731 | 86 | n/a | n/a |
| 2018 | Mar 19, 2019 | $4.0B | $2.8B | 1,777 | 1,766 | 86 | n/a | n/a |
| 2017 | Mar 28, 2018 | $3.4B | $2.2B | 1,708 | 1,695 | 86 | n/a | n/a |
| 2016 | Mar 23, 2017 | $7.2B | $1.4B | 1,719 | 1,672 | n/a | n/a | n/a |
| 2015 | Mar 16, 2016 | $6.6B | $984M | 1,663 | 1,650 | n/a | n/a | n/a |
| 2014 | Mar 19, 2015 | $6.1B | $927M | 1,618 | 1,609 | n/a | n/a | n/a |
| 2013 | Mar 20, 2014 | $5.6B | $1.1B | 1,702 | 1,702 | n/a | n/a | n/a |
| 2012 | Mar 28, 2013 | $4.6B | $1.3B | 1,583 | 1,583 | n/a | n/a | n/a |
| 2011 | Mar 30, 2012 | $4.0B | $996M | 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 |
|---|---|---|---|---|---|---|---|---|
| 87 | 140 | -53 | 7.3% | 22 | 45 | 0 | 247 | 374 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $20B | $15B | 30.5% | $9.9B | 25.5% | 2,073 | 1,984 | 543 | 427 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| MML INVESTORS SERVICES, LLC | 5 | Aug 14, 2026 | Aug 25, 2026 | GLENVIEW, IL | Team lift out | Ibd to ibd | 0.3% |
| MORGAN STANLEY | 2 | Aug 6, 2026 | Sep 3, 2026 | RYE BROOK, NY | Team lift out | Ibd to wirehouse | 0.1% |
| MML INVESTORS SERVICES, LLC | 5 | Jul 31, 2026 | Aug 4, 2026 | MT PLEASANT, SC | Team lift out | Ibd to ibd | 0.3% |
| USAA INVESTMENT SERVICES COMPANY | 2 | Jul 24, 2026 | Aug 19, 2026 | TAMPA, FL | Team lift out | Other | 0.1% |
| LPL FINANCIAL LLC | 2 | Jun 30, 2026 | Jun 30, 2026 | LATHAM, NY | Team lift out | Ibd to ibd | 0.1% |
| SCHONFELD WEALTH MANAGEMENT, LLC | 2 | Jun 11, 2026 | Jun 8, 2026 | BROOKLYN, NY | Team lift out | Ibd to new firm | 0.1% |
| MML INVESTORS SERVICES, LLC | 2 | Jun 4, 2026 | Jul 1, 2026 | INDIANAPOLIS, IN | Team lift out | Ibd to ibd | 0.1% |
| MML INVESTORS SERVICES, LLC | 2 | Mar 16, 2026 | Mar 16, 2026 | RYE BROOK, NY | Team lift out | Ibd to ibd | 0.1% |
| TITLEIST ASSET MANAGEMENT, LLC | 2 | Feb 17, 2026 | Feb 2, 2026 | HOUSTON, TX | Team lift out | Ibd to RIA | 0.1% |
| CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | 3 | Aug 6, 2025 | Aug 6, 2025 | ALPHARETTA, GA | Team lift out | Ibd to ibd | 0.2% |
| MML INVESTORS SERVICES, LLC | 2 | Aug 5, 2025 | Aug 1, 2025 | MINNETONKA, MN | Team lift out | Ibd to ibd | 0.1% |
| BULL HARBOR CAPITAL LLC. | 2 | May 15, 2025 | May 18, 2025 | ATLANTA, GA | Team lift out | Ibd to RIA | 0.1% |
| AVANTAX ADVISORY SERVICES | 2 | May 9, 2025 | May 9, 2025 | MELVILLE, NY | Team lift out | Ibd to ibd | 0.1% |
| J.P. MORGAN SECURITIES LLC | 2 | Sep 3, 2024 | Jul 16, 2026 | GREENVILLE, SC | Team lift out | Ibd to wirehouse | 0.1% |
| MML INVESTORS SERVICES, LLC | 2 | Aug 5, 2024 | Aug 2, 2024 | OTTSVILLE, PA | Team lift out | Ibd to ibd | 0.1% |
| HORNOR, TOWNSEND & KENT, LLC | 2 | Jun 4, 2024 | Jun 20, 2024 | SAINT LOUIS, MO | Team lift out | Ibd to ibd | 0.1% |
| MML INVESTORS SERVICES, LLC | 4 | Mar 6, 2024 | Mar 1, 2024 | CEDAR FALLS, IA | Team lift out | Ibd to ibd | 0.3% |
| WELLINGTON WEALTH STRATEGIES, LLC | 6 | Sep 7, 2023 | Sep 1, 2023 | INDIANAPOLIS, IN | Team lift out | Ibd to RIA | 0.4% |
| LION STREET ADVISORS, LLC | 2 | Jul 31, 2023 | Jul 21, 2023 | BEACHWOOD, OH | Team lift out | Ibd to ibd | 0.1% |
| ONE WEALTH INVESTORS | 2 | Jun 30, 2023 | Jul 12, 2023 | EL SEGUNDO, CA | Team lift out | Ibd to RIA | 0.1% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| MML INVESTORS SERVICES, LLC | 3 | Dec 23, 2025 | Jan 14, 2026 | EAST PROVIDENCE, RI | Team lift out | Ibd to ibd | 0.1% |
| GUARDIAN WEALTH PARTNERS, LLC | 2 | Dec 11, 2025 | Dec 11, 2025 | AUSTIN, TX | Team lift out | Ibd to ibd | 13.3% |
| MML INVESTORS SERVICES, LLC | 2 | Jun 4, 2025 | Jun 11, 2025 | LAS VEGAS, NV | Team lift out | Ibd to ibd | 0.0% |
| EAGLE STRATEGIES LLC | 2 | Nov 19, 2024 | Apr 1, 2025 | SAN ANTONIO, TX | Team lift out | Ibd to ibd | 0.1% |
| DOMINION CAPITAL LLC | 2 | Nov 9, 2024 | Sep 26, 2024 | SAN ANTONIO, TX | Team lift out | Other | 100.0% |
| OSAIC WEALTH, INC. | 4 | Oct 30, 2024 | Nov 6, 2024 | NEEDHAM HEIGHTS, MA | Team lift out | Ibd to ibd | 0.1% |
| MML INVESTORS SERVICES, LLC | 2 | Oct 15, 2024 | Oct 17, 2024 | LA JOLLA, CA | Team lift out | Ibd to ibd | 0.0% |
| MML INVESTORS SERVICES, LLC | 2 | Apr 29, 2024 | May 7, 2024 | OVERLAND PARK, KS | Team lift out | Ibd to ibd | 0.0% |
| MML INVESTORS SERVICES, LLC | 2 | Mar 28, 2024 | Apr 18, 2024 | SAN JOSE, CA | Team lift out | Ibd to ibd | 0.0% |
| MUTUAL OF OMAHA INVESTOR SERVICES, INC. | 2 | Dec 19, 2023 | May 17, 2024 | PHOENIX, AZ | Team lift out | RIA to ibd | 0.8% |
| ONEAMERICA SECURITIES, INC. | 3 | Dec 6, 2022 | Jan 13, 2023 | INDIANAPOLIS, IN | Team lift out | Ibd to ibd | 1.1% |
| SECURITIES AMERICA ADVISORS, INC. | 2 | Aug 17, 2021 | Aug 13, 2021 | HONOLULU, HI | Team lift out | Ibd to ibd | 0.1% |
| HORNOR, TOWNSEND & KENT, LLC | 2 | Jan 29, 2021 | Jan 29, 2021 | WOODSTOCK, GA | Team lift out | Ibd to ibd | 0.6% |
| MML INVESTORS SERVICES, LLC | 7 | Nov 30, 2018 | Dec 19, 2018 | SANTA MONICA, CA | Team lift out | Ibd to ibd | 0.2% |
| WADDELL & REED | 2 | Jun 6, 2018 | May 31, 2018 | WAUKESHA, WI | Team lift out | Ibd to ibd | 0.2% |
| SECURIAN FINANCIAL SERVICES, INC. | 2 | Feb 28, 2018 | Mar 11, 2018 | HOUSTON, TX | Team lift out | Other | 0.2% |
| LEVEL FOUR ADVISORY SERVICES | 3 | Jan 4, 2018 | Jan 9, 2018 | DALLAS, TX | Team lift out | Other | 2.6% |
| EQUITABLE ADVISORS, LLC | 2 | Mar 16, 2017 | Apr 19, 2017 | SALT LAKE CITY, UT | Team lift out | Other | 0.1% |
| EQUITABLE ADVISORS, LLC | 2 | Oct 31, 2016 | Jan 26, 2017 | LAKEWOOD, CO | Team lift out | Other | 0.1% |
| EQUITABLE ADVISORS, LLC | 6 | Apr 20, 2016 | May 2, 2016 | SAN DIEGO, CA | Team lift out | Other | 0.3% |
Among 829 advisers with 25 or more registered advisors, the largest net losses of registered advisors between 2025-09-19 and 2026-09-19: Merrill Lynch, Pierce, Fenner & Smith Incorporated -951 (588 in, 1,539 out, 25,468 registered); Commonwealth Financial Network -562 (92 in, 654 out, 2,942 registered); Equitable Advisors, Llc -462 (99 in, 561 out, 4,624 registered); Edward Jones -400 (332 in, 732 out, 24,084 registered); Strategic Advisers Llc -399 (321 in, 720 out, 16,954 registered); Ubs Financial Services Inc. -332 (295 in, 627 out, 9,349 registered). 30,054 firm-to-firm moves in the year across 6,128 firms.