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S•••••• P••••••• I••••••••• A•••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserbroker-dealer affiliated wealth managerSEC registeredRAUM 10b 100b

S•••••• P••••••• I••••••••• A•••••••• L••

CRD 283004

STAMFORD, CT

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:6832c690-d65e-8cbe-6491-15cad35beda8

Data as of Sep 17, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:23 AM UTC and rebuilt at most every 15 minutes.

Relationships: 648
Dated events: 40
On other graphs: 0
Observed: Mar 8, 2016 to Sep 17, 2026
67 observations

Right now

3 signals name this record (all ria / wealth signals)

#1NewDerived metricAdvisor Recruiting Intelligence

3 advisors left R•••••• J•••• • A••••••••• I••• (Mount Laurel, NJ) for S•••••• P••••••• I••••••••• A•••••••• L•• on the same day

Dated 2026-09-09 (filing); first seen by DFX 2026-09-15.

Exposure: exposure unknown
Who this matters to: RIA aggregators, Advisor recruiters +2
Historical: not a measured predictor

S•••••• P••••••• I••••••••• A•••••••• L•• · destination firm

Advisor Recruiting IntelligenceSep 9, 2026 · seen 6 days ago

#2NewDerived metric

Across DFX

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.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: broker-dealer affiliated wealth managerderivedprivate_client_share=0.94 fund_share=0.0 institutional_share=0.02 related_bd=true related_bank=false bd_reps=471.0
Regulatory AUM: $37BItem 5.F on the latest filing (2026-09-17); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $30B
Private client RAUM: $35BderivedItem 5.D individuals plus high net worth individuals
Private client share: 94%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 473
RAUM per advisor

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first; showing 25 of 477

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
C••••••••• J••• R•••••	Certified Financial Planner	Portsmouth, NH \| STAMFORD, CT	10	32	3	yes
G••• J• W•••••	n/a	Portsmouth, NH \| STAMFORD, CT	10

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••• D••••• V••••••	GENERAL COUNSEL	Na	yes	07/2025	Sep 8, 2026	Sep 8, 2026
F••••• J•••••• S•	CHIEF FINANCIAL OFFICER	Na	yes	09/2022	Sep 8, 2026

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S•••••• P••••••• I••••••••• S••••••••• L••	n/a	Former SEC adviser	$991M	N	yes	n/a
E••• W••••• M••••••••• L•••••	n/a	Former SEC adviser	$135M	Y	yes

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
LAKE OSWEGO	Or	United States	26	yes
C••••WATER	FL	United States	22	yes
Portsmouth	Nh	United States	14	yes
Washington	Dc	United States	12	yes
Paramus	Nj

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 10 of 12

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
73	23	50	4.9%	11	7	0	202	42

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$37B	$25B	48.4%	$12B	44.5%	549	591	86	111

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
L•• F•••••••• L••	2	Jun 29, 2026	Jun 23, 2026	CHESTER, NH	Team lift out	Ibd to ibd	0.4%
L•• F•••••••• L••	3	May 7, 2026

Teams in

teams that arrived here from one firm together; showing 20 of 84

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
R•••••• J•••• • A••••••••• I•••	3	Sep 9, 2026	Sep 10, 2026	MOUNT LAUREL, NJ	Team lift out	Ibd to ibd	0.1%
U•• F•••••••• S••••••• I•••	4	Jun 16, 2026

Relationships

showing 80 of 648

Registered with (78)

← THOMAS CARL O'NEILLAdvisorregistration: current employment
Sep 10, 2026 to presentfactForm ADV
← THOMAS C O'NEILLAdvisorregistration: current employment
Sep 9, 2026 to presentfactForm ADV
← JESSICA C DeLucaAdvisorregistration: current employment
Sep 9, 2026 to presentfactForm ADV
← D••••• MCCLEER DRAPER

Dated events

5 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Sep 9, 2026
Team lift-out
3 advisors left R•••••• J•••• • A••••••••• I••• (Mount Laurel, NJ) for S•••••• P••••••• I••••••••• A•••••••• L•• on the same day
Form ADVobserved 6 days ago
3 advisors
Occurred
Jul 10, 2026
Advisor changed firm
Darren Dequatro left S•••••• P••••••• I••••••••• A•••••••• L•• for Morgan Stanley (registered 2026-07-08)
Form ADVobserved 6 days ago
Occurred
Jul 10, 2026
Advisor changed firm
David Bernacchia left S•••••• P••••••• I••••••••• A•••••••• L•• for Morgan Stanley (registered 2026-07-08)
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6832c690-d65e-8cbe-6491-15cad35beda8
First observed: Mar 8, 2016
Last observed: Sep 17, 2026 5 days ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

2025	Apr 21, 2026	$34B	$25B	549	310	86	n/a	n/a
2024	Apr 4, 2025	$25B	$20B	591	397	111	n/a	n/a
2023	Mar 28, 2024	$15B	$13B	499	327	45	n/a	n/a
2022	Apr 3, 2023	$12B	$11B	363	207	45	n/a	n/a
2021	Mar 31, 2022	$13B	$11B	312	190	41	n/a	n/a
2020	Mar 30, 2021	$9.8B	$8.2B	270	168	37	n/a	n/a
2019	Mar 30, 2020	$7.3B	$6.2B	224	140	25	n/a	n/a
2018	Mar 19, 2019	$5.2B	$4.1B	199	123	25	n/a	n/a
2017	Mar 21, 2018	$3.5B	$2.5B	137	88	17	n/a	n/a
2016	Feb 8, 2017	$1.7B	$685M	67	51	n/a	n/a	n/a

Data Factory

S•••••• P••••••• I••••••••• A•••••••• L••

3 advisors left R•••••• J•••• • A••••••••• I••• (Mount Laurel, NJ) for S•••••• P••••••• I••••••••• A•••••••• L•• on the same day

4 advisors left U•• F•••••••• S••••••• I••• (New York, NY) for S•••••• P••••••• I••••••••• A•••••••• L•• on the same day

4 advisors left U•• F•••••••• S••••••• I••• (Sarasota, FL) for S•••••• P••••••• I••••••••• A•••••••• L•• on the same day