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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM over $100B

FIDELITY PERSONAL AND WORKPLACE ADVISORS

FIDELITY PERSONAL AND WORKPLACE ADVISORS LLC, CRD 288590

BOSTON, MA

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Search this name across graphsid dfx:ria:ae01eceb-a80f-d4b1-c616-f2e6ed1032a7

Data as of Feb 14, 2025 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:42 PM UTC and rebuilt at most every 15 minutes.

Relationships: 18,526
Dated events: 40
On other graphs: 0
Observed: Oct 13, 2017 to Feb 14, 2025
68 observations

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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $819BItem 5.F on the latest filing (2025-02-14); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $819B
Private client RAUM: $704BderivedItem 5.D individuals plus high net worth individuals
Private client share: 86%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 15,424
Advisory employees: 15,424
Offices: 2,960Schedule D 1.F, beyond the principal office
Accounts: 1,991,043
Individual clients: 1,103,013
High net worth clients: 549,755
Custody, client assets: $0
SEC number: 801-112027
CRD: 288590
Filings on the tape: 68
First filed: Oct 13, 2017
Latest filed: Feb 14, 2025
Organised: Limited Liability Company, DE

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
COMPSON, RICHARD, GRAY	ELECTED MANAGER/PRESIDENT	Na	yes	11/2022	Oct 13, 2017	Nov 15, 2024
FIDELITY ADVISORY HOLDINGS LLC	Member	E	yes	03/2018	Mar 28, 2018	Nov 15, 2024
FMR LLC	Member	E	yes	03/2018	Oct 13, 2017	Nov 15, 2024
JOHNSON IV, EDWARD, CROSBY	ELECTED MANAGER	F	yes	04/2006	Oct 13, 2017	Nov 15, 2024
JOHNSON, ABIGAIL, PIERREPONT	ELECTED MANAGER	F	yes	05/1994	Oct 13, 2017	Nov 15, 2024
LAMB, BRANDON, LEIGH	CHIEF COMPLIANCE OFFICER	Na	yes	04/2022	Apr 1, 2022	Nov 15, 2024
LYNN, KARIM, GLORIE	CHIEF LEGAL OFFICER/SECRETARY	Na	yes	04/2017	Oct 13, 2017	Nov 15, 2024
MCGRAW, GERARD, JOHN	ELECTED MANAGER	F	yes	10/2014	Oct 13, 2017	Nov 15, 2024
MCLAUGHLIN, KEVIN, MICHAEL	CHIEF FINANCIAL OFFICER	Na	yes	11/2022	Nov 10, 2022	Nov 15, 2024
MOORJANI, SANGEETA, (NMN)	ELECTED MANAGER	Na	yes	10/2019	Mar 28, 2018	Nov 15, 2024
NEFF, STEPHEN, CHARLES	ELECTED MANAGER	F	yes	04/2023	Jun 6, 2023	Nov 15, 2024
OWENS, WILSON, BRECHNER	ELECTED MANAGER	Na	yes	12/2021	Dec 3, 2021	Nov 15, 2024
PETERSON, DAVID, (NMN)	ELECTED MANAGER	Na	yes	01/2019	Feb 7, 2019	Nov 15, 2024
WIEMEYER, PETER, ERIC	ELECTED MANAGER	Na	yes	10/2023	Oct 18, 2023	Nov 15, 2024
WILENS, MICHAEL, ENGBER	ELECTED MANAGER	F	yes	10/2014	Oct 13, 2017	Nov 15, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page; showing 40 of 67

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
FIDELITY MANAGEMENT & RESEARCH COMPANY LLC	n/a	Asset manager	$5685B	N	yes	n/a
STRATEGIC ADVISERS LLC	n/a	National bd RIA	$1370B	N	yes	n/a
FIAM LLC	n/a	Asset manager	$348B	N	yes	n/a
FIDELITY MANAGEMENT & RESEARCH (HONG KONG) LIMITED	n/a	Asset manager	$33B	N	yes	n/a
FMR INVESTMENT MANAGEMENT (UK) LIMITED	n/a	Asset manager	$26B	N	yes	n/a
FIDELITY DIVERSIFYING SOLUTIONS LLC	n/a	Asset manager	$19B	N	yes	n/a
BALLYROCK INVESTMENT ADVISORS LLC	n/a	Asset manager	$11B	N	yes	n/a
FIDELITY INSTITUTIONAL WEALTH ADVISER LLC	n/a	Mixed wealth	$9.4B	N	yes	n/a
FIDELITY MANAGEMENT & RESEARCH (JAPAN) LIMITED	n/a	Asset manager	$2.4B	N	yes	n/a
42 NORTH RESOURCE PARTNERS ADVISORS II LP	n/a	n/a	n/a	N	no	n/a
42 NORTH RESOURCE PARTNERS ADVISORS LP	n/a	n/a	n/a	N	no	n/a
AGILUS VENTURES ADVISORS IV LIMITED PARTNERSHIP	n/a	n/a	n/a	N	yes	n/a
ALIMONT VENTURES ADVISORS V LIMITED PARTNERSHIP	n/a	n/a	n/a	N	yes	n/a
AVON VENTURE ADVISORS FUND I LP	n/a	n/a	n/a	N	no	n/a
AVON VENTURE ADVISORS FUND II LP	n/a	n/a	n/a	N	yes	n/a
DI CONSUMER ADVISORS FUND I LP	n/a	n/a	n/a	N	yes	n/a
DI OPPORTUNITY ADVISORS FUND LP	n/a	n/a	n/a	N	no	n/a
DIGITAL BROKERAGE SERVICES LLC	n/a	n/a	n/a	N	yes	n/a
EMPIRE FIDELITY INVESTMENTS LIFE INSURANCE COMPANY	n/a	n/a	n/a	N	yes	n/a
F-PRIME CAPITAL PARTNERS HEALTHCARE ADVISORS FUND II LP	n/a	n/a	n/a	N	yes	n/a
F-PRIME CAPITAL PARTNERS HEALTHCARE ADVISORS FUND III LP	n/a	n/a	n/a	N	yes	n/a
F-PRIME CAPITAL PARTNERS HEALTHCARE ADVISORS FUND IV LP	n/a	n/a	n/a	N	yes	n/a
F-PRIME CAPITAL PARTNERS HEALTHCARE ADVISORS FUND IV-A LP	n/a	n/a	n/a	N	yes	n/a
F-PRIME CAPITAL PARTNERS HEALTHCARE ADVISORS FUND LP	n/a	n/a	n/a	N	yes	n/a
F-PRIME CAPITAL PARTNERS HEALTHCARE ADVISORS FUND V LP	n/a	n/a	n/a	N	yes	n/a
F-PRIME CAPITAL PARTNERS HITS ADVISORS FUND II LP	n/a	n/a	n/a	N	yes	n/a
F-PRIME CAPITAL PARTNERS HITS ADVISORS FUND III LP	n/a	n/a	n/a	N	yes	n/a
F-PRIME CAPITAL PARTNERS LIFE SCIENCES ADVISORS FUND VI LP	n/a	n/a	n/a	N	yes	n/a
F-PRIME CAPITAL PARTNERS LIFE SCIENCES ADVISORS FUND VII LP	n/a	n/a	n/a	N	yes	n/a
F-PRIME CAPITAL PARTNERS LIFE SCIENCES ADVISORS FUND VIII LP	n/a	n/a	n/a	N	yes	n/a
F-PRIME CAPITAL PARTNERS TECH ADVISORS FUND 2021 LP	n/a	n/a	n/a	N	yes	n/a
F-PRIME CAPITAL PARTNERS TECH ADVISORS FUND II LP	n/a	n/a	n/a	N	yes	n/a
F-PRIME CAPITAL PARTNERS TECH ADVISORS FUND LP	n/a	n/a	n/a	N	yes	n/a
F-PRIME CP HITS ADVISORS FUND LP	n/a	n/a	n/a	N	yes	n/a
FIAM INDEX FUND GP, LLC	n/a	n/a	n/a	N	yes	n/a
FIAM INSTITUTIONAL FUNDS MANAGER, LLC	n/a	n/a	n/a	N	yes	n/a
FIDELITY BROKERAGE SERVICES LLC	n/a	n/a	n/a	N	yes	n/a
FIDELITY BUSINESS SERVICES INDIA PRIVATE LIMITED	n/a	n/a	n/a	N	yes	n/a
FIDELITY CONVERTIBLE ARBITRAGE FUND GP LLC	n/a	n/a	n/a	N	yes	n/a
FIDELITY CRET TRUSTEE LLC	n/a	n/a	n/a	N	yes	n/a

Offices

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

City	State	Country	Employees	Also broker-dealer
Westlake	TX	United States	1,271	yes
SALT LAKE CITY	Ut	United States	1,013	yes
Covington	Ky	United States	892	yes
Merrimack	Nh	United States	757	yes
Jacksonville	FL	United States	714	yes
GREENWOOD VILLAGE	Co	United States	670	yes
Durham	Nc	United States	429	yes
Covington	Ky	United States	267	yes
Boston	Ma	United States	256	yes
Smithfield	Ri	United States	256	yes
Merrimack	Nh	United States	167	yes
Covington	Ky	United States	121	yes
SALT LAKE CITY	Ut	United States	80	yes
Atlanta	Ga	United States	78	yes
Burlington	Ma	United States	77	yes
Sarasota	FL	United States	68	yes
Nashua	Nh	United States	68	yes
Cincinnati	Oh	United States	68	yes
LONE TREE	Co	United States	60	yes
Boston	Ma	United States	59	yes
Framingham	Ma	United States	59	yes
Bellevue	Wa	United States	59	yes
Scottsdale	Az	United States	58	yes
Houston	TX	United States	58	yes
Plano	TX	United States	58	yes

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

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2024	Feb 14, 2025	$819B	$819B	15,424	15,424	2,960	n/a	n/a
2023	Mar 28, 2024	$819B	$819B	15,424	15,424	2,960	n/a	n/a
2022	Mar 28, 2023	$653B	$653B	13,507	13,507	3,093	n/a	n/a
2021	Mar 28, 2022	$727B	$727B	11,220	11,220	3,180	n/a	n/a
2020	Mar 26, 2021	$566B	$566B	9,422	9,235	1,232	n/a	n/a
2019	Mar 27, 2020	$453B	$453B	8,158	8,158	1,138	n/a	n/a
2018	Mar 29, 2019	$338B	$338B	6,722	6,722	25	n/a	n/a
2017	Mar 28, 2018	n/a	n/a	0	0	0	n/a	n/a

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
2024	$819B	$819B	0.0%	$727B	4.1%	15,424	15,424	2,960	2,960

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction; showing 20 of 136

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
WELLS FARGO ADVISORS	2	Jan 31, 2025	Jan 27, 2025	WOODLAND HILLS, CA	Team lift out	Ibd to wirehouse	0.0%
CAPITAL WEALTH, LLC	2	Jan 30, 2025	Mar 12, 2025	SALT LAKE CITY, UT	Team lift out	Ibd to RIA	0.0%
CHARLES SCHWAB & CO., INC.	3	Jan 27, 2025	May 12, 2026	TROPHY CLUB, TX	Team lift out	Ibd to ibd	0.0%
EMPOWER ADVISORY GROUP, LLC	2	Jan 6, 2025	Apr 17, 2026	GREENWOOD VILLAGE, CO	Team lift out	Ibd to ibd	0.0%
EMPOWER ADVISORY GROUP, LLC	2	Jan 6, 2025	Jul 23, 2026	DURHAM, NC	Team lift out	Ibd to ibd	0.0%
MORGAN STANLEY	2	Jan 6, 2025	Jan 27, 2025	JACKSONVILLE, FL	Team lift out	Ibd to wirehouse	0.0%
J.P. MORGAN SECURITIES LLC	2	Jan 6, 2025	Feb 13, 2025	NEW YORK, NY	Team lift out	Ibd to wirehouse	0.0%
MORGAN STANLEY	2	Jan 6, 2025	Jan 29, 2025	AMERICAN FORK, UT	Team lift out	Ibd to wirehouse	0.0%
CHARLES SCHWAB & CO., INC.	2	Dec 23, 2024	Feb 14, 2025	OAK BROOK, IL	Team lift out	Ibd to ibd	0.0%
MORGAN STANLEY	2	Dec 16, 2024	Jan 14, 2025	AMERICAN FORK, UT	Team lift out	Ibd to wirehouse	0.0%
WELLS FARGO ADVISORS	2	Dec 11, 2024	Dec 16, 2024	MONTEREY, CA	Team lift out	Ibd to wirehouse	0.0%
J.P. MORGAN SECURITIES LLC	2	Oct 25, 2024	Jan 8, 2025	SCHAUMBURG, IL	Team lift out	Ibd to wirehouse	0.0%
WELLS FARGO ADVISORS	2	Oct 22, 2024	Nov 27, 2024	BOSTON, MA	Team lift out	Ibd to wirehouse	0.0%
STRATEGIC ADVISERS LLC	2	Oct 15, 2024	Jun 24, 2025	CLEARWATER, FL	Channel change	Ibd to ibd	0.0%
AMERIPRISE FINANCIAL SERVICES, LLC	3	Oct 14, 2024	Dec 2, 2024	WESTLAKE, TX	Team lift out	Ibd to ibd	0.0%
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	2	Oct 4, 2024	Nov 18, 2024	WESTLAKE, TX	Team lift out	Ibd to wirehouse	0.0%
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	2	Sep 4, 2024	Jun 30, 2025	JACKSONVILLE, FL	Team lift out	Ibd to wirehouse	0.0%
EMPOWER ADVISORY GROUP, LLC	2	Aug 28, 2024	Nov 19, 2024	DURHAM, NC	Team lift out	Ibd to ibd	0.0%
MORGAN STANLEY	2	Aug 26, 2024	Sep 26, 2024	SALT LAKE CITY, UT	Team lift out	Ibd to wirehouse	0.0%
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	2	Aug 13, 2024	Jul 1, 2025	GREENWOOD VILLAGE, CO	Team lift out	Ibd to wirehouse	0.0%

Teams in

teams that arrived here from one firm together; showing 20 of 441

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	2	Dec 9, 2024	Feb 3, 2025	SAN JOSE, CA	Team lift out	Wirehouse to ibd	0.0%
LPL FINANCIAL LLC	2	Nov 7, 2024	Feb 4, 2025	MISSOURI CITY, TX	Team lift out	Ibd to ibd	0.0%
CHARLES SCHWAB & CO., INC.	2	Oct 11, 2024	Oct 30, 2024	SAN MATEO, CA	Team lift out	Ibd to ibd	0.0%
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	3	Aug 30, 2024	Oct 25, 2024	ALTA LOMA, CA	Team lift out	Wirehouse to ibd	0.0%
VANGUARD ADVISERS, INC.	2	Aug 22, 2024	Sep 27, 2024	MALVERN, PA	Team lift out	Ibd to ibd	0.1%
MORGAN STANLEY	2	Aug 15, 2024	Oct 18, 2024	NEWPORT BEACH, CA	Team lift out	Wirehouse to ibd	0.0%
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	2	Jul 29, 2024	Dec 4, 2024	EL SEGUNDO, CA	Team lift out	Wirehouse to ibd	0.0%
AMERIPRISE FINANCIAL SERVICES, LLC	2	Jul 25, 2024	Sep 20, 2024	LAS VEGAS, NV	Team lift out	Ibd to ibd	0.0%
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	2	Jul 3, 2024	Dec 12, 2024	GREELEY, CO	Team lift out	Wirehouse to ibd	0.0%
MORGAN STANLEY	2	Jun 12, 2024	Jun 27, 2024	JERSEY CITY, NJ	Team lift out	Wirehouse to ibd	0.0%
PRUCO SECURITIES, LLC	2	Jun 11, 2024	Aug 2, 2024	MARLBOROUGH, MA	Team lift out	Ibd to ibd	0.1%
J.P. MORGAN SECURITIES LLC	2	Jun 4, 2024	Jun 28, 2024	GREENVALE, NY	Team lift out	Wirehouse to ibd	0.0%
UBS FINANCIAL SERVICES INC.	2	May 28, 2024	Jul 16, 2024	WEEHAWKEN, NJ	Team lift out	Wirehouse to ibd	0.0%
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	2	May 22, 2024	Jul 31, 2024	SCOTTSDALE, AZ	Team lift out	Wirehouse to ibd	0.0%
EDWARD JONES	2	May 10, 2024	Jul 25, 2024	WESTLAKE VILLAGE, CA	Team lift out	Ibd to ibd	0.0%
UBS FINANCIAL SERVICES INC.	3	May 6, 2024	May 31, 2024	IRVINE, CA	Team lift out	Wirehouse to ibd	0.0%
MORGAN STANLEY	2	May 3, 2024	Jul 5, 2024	PURCHASE, NY	Team lift out	Wirehouse to ibd	0.0%
LPL FINANCIAL LLC	2	Apr 17, 2024	Jul 18, 2024	SAN JOSE, CA	Team lift out	Ibd to ibd	0.0%
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	2	Apr 12, 2024	Dec 4, 2024	NEW YORK, NY	Team lift out	Wirehouse to ibd	0.0%
PRUCO SECURITIES, LLC	2	Apr 4, 2024	Jun 14, 2024	UNIONTOWN, OH	Team lift out	Ibd to ibd	0.1%

Relationships

showing 80 of 18,526

Affiliated with (24)

← FIDELITY DIVERSIFYING SOLUTIONS LLCRegistered adviserother investment adviser, common control
factForm ADV
← FIDELITY MANAGEMENT & RESEARCH COMPANY LLCRegistered adviserother investment adviser, common control
factForm ADV
← BALLYROCK INVESTMENT ADVISORS LLCRegistered adviserother investment adviser, common control
factForm ADV
← FIAM LLCRegistered adviserother investment adviser, common control
factForm ADV
← FMR INVESTMENT MANAGEMENT (UK) LIMITEDRegistered adviserother investment adviser, common control
factForm ADV
← FIDELITY MANAGEMENT & RESEARCH (HONG KONG) LIMITEDRegistered adviserother investment adviser, common control
factForm ADV
← FIDELITY MANAGEMENT & RESEARCH (JAPAN) LIMITEDRegistered adviserother investment adviser, common control
factForm ADV
← IMPRESA MANAGEMENT LLCRegistered adviserother investment adviser, common control
factForm ADV
← STRATEGIC ADVISERS LLCRegistered adviserother investment adviser, common control
factForm ADV
← FIDELITY INSTITUTIONAL WEALTH ADVISER LLCRegistered adviserother investment adviser, common control
factForm ADV
→ STRATEGIC ADVISERS LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
→ FMR INVESTMENT MANAGEMENT (UK) LIMITEDRegistered adviserother investment adviser, bank, common control
factForm ADV
→ FIDELITY MANAGEMENT & RESEARCH COMPANY LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
→ BALLYROCK INVESTMENT ADVISORS LLCRegistered adviserother investment adviser, common control
factForm ADV
→ NATIONAL FINANCIAL SERVICES, LLCRegistered adviserbroker-dealer, custodian, common control
factForm ADV
→ FIAM LLCRegistered adviserother investment adviser, bank, LP sponsor, common control
factForm ADV
→ FIDELITY MANAGEMENT & RESEARCH (HONG KONG) LIMITEDRegistered adviserother investment adviser, bank, common control
factForm ADV
→ FIDELITY MANAGEMENT & RESEARCH (JAPAN) LIMITEDRegistered adviserother investment adviser, bank, common control
factForm ADV
→ FIDELITY INSTITUTIONAL WEALTH ADVISER LLCRegistered adviserother investment adviser, common control
factForm ADV
→ FIDELITY DIVERSIFYING SOLUTIONS LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
← NATIONAL FINANCIAL SERVICES, LLCRegistered adviserother investment adviser, common control
factForm ADV
← FIDELITY INVESTMENTS MONEY MANAGEMENT, INC.Registered adviserother investment adviser, common control
factForm ADV
← FMR CO., INC.Registered adviserother investment adviser, common control
factForm ADV
← FIDELITY SELECTCO, LLCRegistered adviserother investment adviser, common control
factForm ADV

Moved with (7)

→ EMPOWER ADVISORY GROUP, LLCRegistered adviser2 advisors, team lift out, same day
Jan 6, 2025 to Jul 23, 2026factForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviser3 advisors, team lift out
Jan 27, 2025 to May 12, 2026factForm ADV
→ STRATEGIC ADVISERS LLCRegistered adviser2 advisors, team lift out
Apr 23, 2024 to Apr 2, 2026factForm ADV
→ LPL FINANCIAL LLCRegistered adviser2 advisors, team lift out
Jul 12, 2024 to Sep 4, 2025factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviser2 advisors, team lift out
Aug 13, 2024 to Jul 1, 2025factForm ADV
→ ADVICE AND PLANNING SERVICESRegistered adviser2 advisors, team lift out
Jul 3, 2023 to Apr 29, 2025factForm ADV
→ EDWARD JONESRegistered adviser2 advisors, team lift out
Sep 29, 2021 to Apr 2, 2025factForm ADV

Registered with (44)

← JOHN TURNER FRAMEAdvisorregistration: previous registration
Aug 14, 2023 to Mar 31, 2025factForm ADV
← LIANE HANSENAdvisorregistration: previous registration
Feb 2, 2022 to Mar 31, 2025factForm ADV
← REGINA QUIGLEYAdvisorregistration: previous registration
Feb 5, 2021 to Mar 31, 2025factForm ADV
← GERALD A. POLCARIAdvisorregistration: previous registration
Jan 9, 2024 to Mar 31, 2025factForm ADV
← ELIZABETH TREVINOAdvisorregistration: previous registration
Jul 13, 2018 to Mar 31, 2025factForm ADV
← DANIEL R LEVENEAdvisorregistration: previous registration
Feb 18, 2022 to Mar 31, 2025factForm ADV
← KATHY SPENCERAdvisorregistration: previous registration
Apr 26, 2023 to Mar 31, 2025factForm ADV
← CHRISTINE ANN PURCELLAdvisorregistration: previous registration
Mar 1, 2022 to Mar 31, 2025factForm ADV
← LISA POPICK SEHGALAdvisorregistration: previous registration
Jul 13, 2018 to Mar 31, 2025factForm ADV
← CATHERINE A. SEKLECKIAdvisorregistration: previous registration
Mar 30, 2022 to Mar 31, 2025factForm ADV
← PAUL FLOODAdvisorregistration: previous registration
Jan 16, 2023 to Mar 31, 2025factForm ADV
← JACQUELINE D. HURWITZAdvisorregistration: previous registration
Jul 13, 2018 to Mar 31, 2025factForm ADV
← JANET V. BOLDENAdvisorregistration: previous registration
May 18, 2021 to Mar 31, 2025factForm ADV
← WILLIAM JOHN CONNOLLYAdvisorregistration: previous registration
Dec 9, 2021 to Mar 31, 2025factForm ADV
← KATHLEEN SANTOSAdvisorregistration: previous registration
Jul 13, 2018 to Mar 31, 2025factForm ADV
← BRENDA JO KNUDSENAdvisorregistration: previous registration
Feb 3, 2020 to Mar 31, 2025factForm ADV
← DAVID WOOLFAdvisorregistration: previous registration
Jun 2, 2022 to Mar 31, 2025factForm ADV
← MONICA M. JOFFREAdvisorregistration: previous registration
Mar 23, 2021 to Mar 31, 2025factForm ADV
← CHERYL AMATO LIDAWERAdvisorregistration: previous registration
Sep 8, 2022 to Mar 31, 2025factForm ADV
← JOHN WHITEAdvisorregistration: previous registration
Jul 13, 2018 to Mar 31, 2025factForm ADV
← SANDER D. BLEUSTEINAdvisorregistration: previous registration
Jul 13, 2018 to Mar 31, 2025factForm ADV
← DEBORAH DEFELICEAdvisorregistration: previous registration
Jul 13, 2018 to Mar 31, 2025factForm ADV
← ALAN E. SHENKERAdvisorregistration: previous registration
Feb 21, 2023 to Mar 31, 2025factForm ADV
← JEFFREY SHEATSAdvisorregistration: previous registration
Jul 13, 2018 to Mar 31, 2025factForm ADV
← DEREK CHOWAdvisorregistration: previous registration
Nov 24, 2020 to Mar 31, 2025factForm ADV
← COLLEEN R. PEDEYAdvisorregistration: previous registration
Aug 7, 2024 to Mar 31, 2025factForm ADV
← RAYMOND FITZGERALDAdvisorregistration: previous registration
Jul 13, 2018 to Mar 31, 2025factForm ADV
← THOMAS REESE BOWEN BOESCHAdvisorregistration: previous registration
Jul 13, 2018 to Mar 31, 2025factForm ADV
← DANIEL SAAVEDRAAdvisorregistration: previous registration
Jul 13, 2018 to Mar 31, 2025factForm ADV
← DEBRA MOHRAdvisorregistration: previous registration
Jul 13, 2018 to Mar 31, 2025factForm ADV
and 14 more

Dated events

Occurred
May 2, 2025
Left the SEC roster
Fidelity Personal And Workplace Advisors no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $818.8B)
Form ADVobserved 5 days ago
$818.8B
Occurred
Mar 31, 2025
Advisor changed firm
Michael Aaron Muscato left Fidelity Personal And Workplace Advisors for Voya Financial Advisors, Inc. (registered 2025-03-24)
Form ADVobserved 5 days ago
Occurred
Mar 31, 2025
Advisor changed firm
Chandler Robert Blake left Fidelity Personal And Workplace Advisors for Guidestone Advisors (registered 2025-03-18)
Form ADVobserved 5 days ago
Occurred
Mar 31, 2025
Advisor changed firm
Robert Francis Mammana left Fidelity Personal And Workplace Advisors for Gladstone Wealth Partners (registered 2025-03-26)
Form ADVobserved 5 days ago
Occurred
Mar 31, 2025
Advisor changed firm
David Daniel Paulino left Fidelity Personal And Workplace Advisors for U.S. Bancorp Investments, Inc. (registered 2025-03-25)
Form ADVobserved 5 days ago
Occurred
Mar 31, 2025
Advisor changed firm
Daryl Joseph Martin left Fidelity Personal And Workplace Advisors for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2025-03-26)
Form ADVobserved 5 days ago
Occurred
Mar 31, 2025
Advisor changed firm
Gregory Stafford Tingey left Fidelity Personal And Workplace Advisors for Tingey Financial Group Inc. (registered 2025-04-01)
Form ADVobserved 5 days ago
Occurred
Mar 31, 2025
Advisor changed firm
Justin William Lehkamp left Fidelity Personal And Workplace Advisors for Avantax Advisory Services (registered 2025-04-01)
Form ADVobserved 5 days ago
Occurred
Mar 31, 2025
Advisor changed firm
Parker Mayo left Fidelity Personal And Workplace Advisors for Verum Partners Llc (registered 2025-03-12)
Form ADVobserved 5 days ago
Occurred
Mar 31, 2025
Advisor changed firm
Matthew Jay Jory left Fidelity Personal And Workplace Advisors for Sound Income Strategies, Llc (registered 2025-03-27)
Form ADVobserved 5 days ago
Occurred
Mar 31, 2025
Advisor changed firm
Joshua Sullivan left Fidelity Personal And Workplace Advisors for Td Private Client Wealth Llc (registered 2025-03-27)
Form ADVobserved 5 days ago
Occurred
Mar 31, 2025
Advisor changed firm
Bruno M Cunha left Fidelity Personal And Workplace Advisors for Citizens Securities, Inc. (registered 2025-03-17)
Form ADVobserved 5 days ago
Occurred
Mar 12, 2025
Advisor changed firm
Andrew Gregory Castro left Fidelity Personal And Workplace Advisors for Brookstone Capital Management Llc (registered 2025-04-17)
Form ADVobserved 5 days ago
Occurred
Mar 11, 2025
Advisor changed firm
Andrew John Lichaj left Fidelity Personal And Workplace Advisors for Wells Fargo Advisors (registered 2025-05-19)
Form ADVobserved 5 days ago
Occurred
Mar 11, 2025
Advisor changed firm
Dominick Moscardelli left Fidelity Personal And Workplace Advisors for Charles Schwab & Co., Inc. (registered 2025-03-31)
Form ADVobserved 5 days ago
Occurred
Mar 11, 2025
Advisor changed firm
Elijah Joseph Kaufman left Fidelity Personal And Workplace Advisors for Mml Investors Services, Llc (registered 2025-03-24)
Form ADVobserved 5 days ago
Occurred
Mar 10, 2025
Advisor changed firm
Seth Houston French left Fidelity Personal And Workplace Advisors for Fisher Investments (registered 2025-03-13)
Form ADVobserved 5 days ago
Occurred
Mar 10, 2025
Advisor changed firm
Marcus Elliot Rose left Fidelity Personal And Workplace Advisors for Teeple Snyder Newsome Wealth & Tax Management (registered 2025-03-06)
Form ADVobserved 5 days ago
Occurred
Mar 7, 2025
Advisor changed firm
Brandon Charles Aguilar Gunderson left Fidelity Personal And Workplace Advisors for Wells Fargo Advisors (registered 2025-03-03)
Form ADVobserved 5 days ago
Occurred
Mar 6, 2025
Advisor changed firm
Amanda Clair Lepla left Fidelity Personal And Workplace Advisors for Raymond James Financial Services Advisors, Inc (registered 2025-03-10)
Form ADVobserved 5 days ago
Occurred
Mar 5, 2025
Advisor changed firm
Alyssa M Linn left Fidelity Personal And Workplace Advisors for Morgan Stanley (registered 2025-03-19)
Form ADVobserved 5 days ago
Occurred
Mar 5, 2025
Advisor changed firm
Justin Logan left Fidelity Personal And Workplace Advisors for Empower Advisory Group, Llc (registered 2025-03-06)
Form ADVobserved 5 days ago
Occurred
Mar 5, 2025
Advisor changed firm
Jason Seeger left Fidelity Personal And Workplace Advisors for J.P. Morgan Securities Llc (registered 2025-03-04)
Form ADVobserved 5 days ago
Occurred
Mar 5, 2025
Advisor changed firm
Michael Ronald Messenger left Fidelity Personal And Workplace Advisors for Voya Retirement Advisors, Llc (registered 2025-04-04)
Form ADVobserved 5 days ago
Occurred
Mar 5, 2025
Advisor changed firm
Cameron Lane left Fidelity Personal And Workplace Advisors for Alliancebernstein L.P. (registered 2025-06-03)
Form ADVobserved 5 days ago
Occurred
Mar 4, 2025
Advisor changed firm
Christopher Michael Luciano left Fidelity Personal And Workplace Advisors for Charles Schwab & Co., Inc. (registered 2025-04-02)
Form ADVobserved 5 days ago
Occurred
Mar 3, 2025
Advisor changed firm
Shaun Michael Felber left Fidelity Personal And Workplace Advisors for Principal Advised Services (registered 2026-02-06)
Form ADVobserved 5 days ago
Occurred
Mar 3, 2025
Advisor changed firm
Shaila Griffis left Fidelity Personal And Workplace Advisors for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2025-05-02)
Form ADVobserved 5 days ago
Occurred
Mar 3, 2025
Advisor changed firm
Dillon Manley left Fidelity Personal And Workplace Advisors for Stack Financial Management Inc (registered 2025-03-18)
Form ADVobserved 5 days ago
Occurred
Mar 3, 2025
Advisor changed firm
Patrick Magnuszewski left Fidelity Personal And Workplace Advisors for Q3 Advisors, Llc (registered 2025-03-19)
Form ADVobserved 5 days ago
Occurred
Mar 3, 2025
Advisor changed firm
Parker George Payne left Fidelity Personal And Workplace Advisors for Ubs Financial Services Inc. (registered 2025-03-25)
Form ADVobserved 5 days ago
Occurred
Mar 3, 2025
Advisor changed firm
Kevin J Kunz left Fidelity Personal And Workplace Advisors for Charles Schwab & Co., Inc. (registered 2025-03-21)
Form ADVobserved 5 days ago
Occurred
Feb 28, 2025
Advisor changed firm
Jacob Robert Santel left Fidelity Personal And Workplace Advisors for Edward Jones (registered 2025-02-25)
Form ADVobserved 5 days ago
Occurred
Feb 28, 2025
Advisor changed firm
Jake Stephen Gauruder left Fidelity Personal And Workplace Advisors for Allstate Financial Advisors, Llc (registered 2025-07-03)
Form ADVobserved 5 days ago
Occurred
Feb 28, 2025
Advisor changed firm
Zachary Donald Rumpke left Fidelity Personal And Workplace Advisors for Quotient Wealth Partners, Llc (registered 2025-05-23)
Form ADVobserved 5 days ago
Occurred
Feb 27, 2025
Advisor changed firm
Collin James Clark left Fidelity Personal And Workplace Advisors for Vanguard Advisers, Inc. (registered 2025-06-07)
Form ADVobserved 5 days ago
Occurred
Feb 26, 2025
Advisor changed firm
Kayla Nicole Folts left Fidelity Personal And Workplace Advisors for Ep Wealth Advisors (registered 2025-04-25)
Form ADVobserved 5 days ago
Occurred
Feb 26, 2025
Advisor changed firm
Elise Lee left Fidelity Personal And Workplace Advisors for Charles Schwab & Co., Inc. (registered 2025-03-04)
Form ADVobserved 5 days ago
Occurred
Feb 26, 2025
Advisor changed firm
Thomas P. Schilling left Fidelity Personal And Workplace Advisors for Morgan Stanley (registered 2025-03-24)
Form ADVobserved 5 days ago
Occurred
Feb 25, 2025
Advisor changed firm
Samuel Jordan Clarke left Fidelity Personal And Workplace Advisors for Stifel, Nicolaus & Company, Incorporated (registered 2025-03-04)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ae01eceb-a80f-d4b1-c616-f2e6ed1032a7
First observed: Oct 13, 2017
Last observed: Feb 14, 2025 19 months 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.

FIDELITY PERSONAL AND WORKPLACE ADVISORS

FIDELITY PERSONAL AND WORKPLACE ADVISORS LLC, CRD 288590

BOSTON, MA

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:ae01eceb-a80f-d4b1-c616-f2e6ed1032a7

Data as of Feb 14, 2025 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:42 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

COMPSON, RICHARD, GRAY

ELECTED MANAGER/PRESIDENT

yes

11/2022

Oct 13, 2017

Nov 15, 2024

FIDELITY ADVISORY HOLDINGS LLC

Member

yes

03/2018

Mar 28, 2018

Nov 15, 2024

FMR LLC

Member

yes

03/2018

Oct 13, 2017

Nov 15, 2024

JOHNSON IV, EDWARD, CROSBY

ELECTED MANAGER

yes

04/2006

Oct 13, 2017

Nov 15, 2024

JOHNSON, ABIGAIL, PIERREPONT

ELECTED MANAGER

yes

05/1994

Oct 13, 2017

Nov 15, 2024

LAMB, BRANDON, LEIGH

CHIEF COMPLIANCE OFFICER

yes

04/2022

Apr 1, 2022

Nov 15, 2024

LYNN, KARIM, GLORIE

CHIEF LEGAL OFFICER/SECRETARY

yes

04/2017

Oct 13, 2017

Nov 15, 2024

MCGRAW, GERARD, JOHN

ELECTED MANAGER

yes

10/2014

Oct 13, 2017

Nov 15, 2024

MCLAUGHLIN, KEVIN, MICHAEL

CHIEF FINANCIAL OFFICER

yes

11/2022

Nov 10, 2022

Nov 15, 2024

MOORJANI, SANGEETA, (NMN)

ELECTED MANAGER

yes

10/2019

Mar 28, 2018

Nov 15, 2024

NEFF, STEPHEN, CHARLES

ELECTED MANAGER

yes

04/2023

Jun 6, 2023

Nov 15, 2024

OWENS, WILSON, BRECHNER

ELECTED MANAGER

yes

12/2021

Dec 3, 2021

Nov 15, 2024

PETERSON, DAVID, (NMN)

ELECTED MANAGER

yes

01/2019

Feb 7, 2019

Nov 15, 2024

WIEMEYER, PETER, ERIC

ELECTED MANAGER

yes

10/2023

Oct 18, 2023

Nov 15, 2024

WILENS, MICHAEL, ENGBER

ELECTED MANAGER

yes

10/2014

Oct 13, 2017

Nov 15, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

FIDELITY MANAGEMENT & RESEARCH COMPANY LLC

n/a

Asset manager

$5685B

yes

n/a

STRATEGIC ADVISERS LLC

n/a

National bd RIA

$1370B

yes

n/a

FIAM LLC

n/a

Asset manager

$348B

yes

n/a

FIDELITY MANAGEMENT & RESEARCH (HONG KONG) LIMITED

n/a

Asset manager

$33B

yes

n/a

FMR INVESTMENT MANAGEMENT (UK) LIMITED

n/a

Asset manager

$26B

yes

n/a

FIDELITY DIVERSIFYING SOLUTIONS LLC

n/a

Asset manager

$19B

yes

n/a

BALLYROCK INVESTMENT ADVISORS LLC

n/a

Asset manager

$11B

yes

n/a

FIDELITY INSTITUTIONAL WEALTH ADVISER LLC

n/a

Mixed wealth

$9.4B

yes

n/a

FIDELITY MANAGEMENT & RESEARCH (JAPAN) LIMITED

n/a

Asset manager

$2.4B

yes

n/a

42 NORTH RESOURCE PARTNERS ADVISORS II LP

n/a

42 NORTH RESOURCE PARTNERS ADVISORS LP

n/a

AGILUS VENTURES ADVISORS IV LIMITED PARTNERSHIP

n/a

yes

n/a

ALIMONT VENTURES ADVISORS V LIMITED PARTNERSHIP

n/a

yes

n/a

AVON VENTURE ADVISORS FUND I LP

n/a

AVON VENTURE ADVISORS FUND II LP

n/a

yes

n/a

DI CONSUMER ADVISORS FUND I LP

n/a

yes

n/a

DI OPPORTUNITY ADVISORS FUND LP

n/a

DIGITAL BROKERAGE SERVICES LLC

n/a

yes

n/a

EMPIRE FIDELITY INVESTMENTS LIFE INSURANCE COMPANY

n/a

yes

n/a

F-PRIME CAPITAL PARTNERS HEALTHCARE ADVISORS FUND II LP

n/a

yes

n/a

F-PRIME CAPITAL PARTNERS HEALTHCARE ADVISORS FUND III LP

n/a

yes

n/a

F-PRIME CAPITAL PARTNERS HEALTHCARE ADVISORS FUND IV LP

n/a

yes

n/a

F-PRIME CAPITAL PARTNERS HEALTHCARE ADVISORS FUND IV-A LP

n/a

yes

n/a

F-PRIME CAPITAL PARTNERS HEALTHCARE ADVISORS FUND LP

n/a

yes

n/a

F-PRIME CAPITAL PARTNERS HEALTHCARE ADVISORS FUND V LP

n/a

yes

n/a

F-PRIME CAPITAL PARTNERS HITS ADVISORS FUND II LP

n/a

yes

n/a

F-PRIME CAPITAL PARTNERS HITS ADVISORS FUND III LP

n/a

yes

n/a

F-PRIME CAPITAL PARTNERS LIFE SCIENCES ADVISORS FUND VI LP

n/a

yes

n/a

F-PRIME CAPITAL PARTNERS LIFE SCIENCES ADVISORS FUND VII LP

n/a

yes

n/a

F-PRIME CAPITAL PARTNERS LIFE SCIENCES ADVISORS FUND VIII LP

n/a

yes

n/a

F-PRIME CAPITAL PARTNERS TECH ADVISORS FUND 2021 LP

n/a

yes

n/a

F-PRIME CAPITAL PARTNERS TECH ADVISORS FUND II LP

n/a

yes

n/a

F-PRIME CAPITAL PARTNERS TECH ADVISORS FUND LP

n/a

yes

n/a

F-PRIME CP HITS ADVISORS FUND LP

n/a

yes

n/a

FIAM INDEX FUND GP, LLC

n/a

yes

n/a

FIAM INSTITUTIONAL FUNDS MANAGER, LLC

n/a

yes

n/a

FIDELITY BROKERAGE SERVICES LLC

n/a

yes

n/a

FIDELITY BUSINESS SERVICES INDIA PRIVATE LIMITED

n/a

yes

n/a

FIDELITY CONVERTIBLE ARBITRAGE FUND GP LLC

n/a

yes

n/a

FIDELITY CRET TRUSTEE LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Westlake

United States

1,271

yes

SALT LAKE CITY

United States

1,013

yes

Covington

United States

892

yes

Merrimack

United States

757

yes

Jacksonville

United States

714

yes

GREENWOOD VILLAGE

United States

670

yes

Durham

United States

429

yes

Covington

United States

267

yes

Boston

United States

256

yes

Smithfield

United States

256

yes

Merrimack

United States

167

yes

Covington

United States

121

yes

SALT LAKE CITY

United States

yes

Atlanta

United States

yes

Burlington

United States

yes

Sarasota

United States

yes

Nashua

United States

yes

Cincinnati

United States

yes

LONE TREE

United States

yes

Boston

United States

yes

Framingham

United States

yes

Bellevue

United States

yes

Scottsdale

United States

yes

Houston

United States

yes

Plano

United States

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2024

Feb 14, 2025

$819B

15,424

2,960

n/a

2023

Mar 28, 2024

$819B

15,424

2,960

n/a

2022

Mar 28, 2023

$653B

13,507

3,093

n/a

2021

Mar 28, 2022

$727B

11,220

3,180

n/a

2020

Mar 26, 2021

$566B

9,422

9,235

1,232

n/a

2019

Mar 27, 2020

$453B

8,158

1,138

n/a

2018

Mar 29, 2019

$338B

6,722

n/a

2017

Mar 28, 2018

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2024

$819B

0.0%

$727B

4.1%

15,424

2,960

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

WELLS FARGO ADVISORS

Jan 31, 2025

Jan 27, 2025

WOODLAND HILLS, CA

Team lift out

Ibd to wirehouse

0.0%

CAPITAL WEALTH, LLC

Jan 30, 2025

Mar 12, 2025

SALT LAKE CITY, UT

Team lift out

Ibd to RIA

0.0%

CHARLES SCHWAB & CO., INC.

Jan 27, 2025

May 12, 2026

TROPHY CLUB, TX

Team lift out

Ibd to ibd

0.0%

EMPOWER ADVISORY GROUP, LLC

Jan 6, 2025

Apr 17, 2026

GREENWOOD VILLAGE, CO

Team lift out

Ibd to ibd

0.0%

EMPOWER ADVISORY GROUP, LLC

Jan 6, 2025

Jul 23, 2026

DURHAM, NC

Team lift out

Ibd to ibd

0.0%

MORGAN STANLEY

Jan 6, 2025

Jan 27, 2025

JACKSONVILLE, FL

Team lift out

Ibd to wirehouse

0.0%

J.P. MORGAN SECURITIES LLC

Jan 6, 2025

Feb 13, 2025

NEW YORK, NY

Team lift out

Ibd to wirehouse

0.0%

MORGAN STANLEY

Jan 6, 2025

Jan 29, 2025

AMERICAN FORK, UT

Team lift out

Ibd to wirehouse

0.0%

CHARLES SCHWAB & CO., INC.

Dec 23, 2024

Feb 14, 2025

OAK BROOK, IL

Team lift out

Ibd to ibd

0.0%

MORGAN STANLEY

Dec 16, 2024

Jan 14, 2025

AMERICAN FORK, UT

Team lift out

Ibd to wirehouse

0.0%

WELLS FARGO ADVISORS

Dec 11, 2024

Dec 16, 2024

MONTEREY, CA

Team lift out

Ibd to wirehouse

0.0%

J.P. MORGAN SECURITIES LLC

Oct 25, 2024

Jan 8, 2025

SCHAUMBURG, IL

Team lift out

Ibd to wirehouse

0.0%

WELLS FARGO ADVISORS

Oct 22, 2024

Nov 27, 2024

BOSTON, MA

Team lift out

Ibd to wirehouse

0.0%

STRATEGIC ADVISERS LLC

Oct 15, 2024

Jun 24, 2025

CLEARWATER, FL

Channel change

Ibd to ibd

0.0%

AMERIPRISE FINANCIAL SERVICES, LLC

Oct 14, 2024

Dec 2, 2024

WESTLAKE, TX

Team lift out

Ibd to ibd

0.0%

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Oct 4, 2024

Nov 18, 2024

WESTLAKE, TX

Team lift out

Ibd to wirehouse

0.0%

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Sep 4, 2024

Jun 30, 2025

JACKSONVILLE, FL

Team lift out

Ibd to wirehouse

0.0%

EMPOWER ADVISORY GROUP, LLC

Aug 28, 2024

Nov 19, 2024

DURHAM, NC

Team lift out

Ibd to ibd

0.0%

MORGAN STANLEY

Aug 26, 2024

Sep 26, 2024

SALT LAKE CITY, UT

Team lift out

Ibd to wirehouse

0.0%

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Aug 13, 2024

Jul 1, 2025

GREENWOOD VILLAGE, CO

Team lift out

Ibd to wirehouse

0.0%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Dec 9, 2024

Feb 3, 2025

SAN JOSE, CA

Team lift out

Wirehouse to ibd

0.0%

LPL FINANCIAL LLC

Nov 7, 2024

Feb 4, 2025

MISSOURI CITY, TX

Team lift out

Ibd to ibd

0.0%

CHARLES SCHWAB & CO., INC.

Oct 11, 2024

Oct 30, 2024

SAN MATEO, CA

Team lift out

Ibd to ibd

0.0%

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Aug 30, 2024

Oct 25, 2024

ALTA LOMA, CA

Team lift out

Wirehouse to ibd

0.0%

VANGUARD ADVISERS, INC.

Aug 22, 2024

Sep 27, 2024

MALVERN, PA

Team lift out

Ibd to ibd

0.1%

MORGAN STANLEY

Aug 15, 2024

Oct 18, 2024

NEWPORT BEACH, CA

Team lift out

Wirehouse to ibd

0.0%

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Jul 29, 2024

Dec 4, 2024

EL SEGUNDO, CA

Team lift out

Wirehouse to ibd

0.0%

AMERIPRISE FINANCIAL SERVICES, LLC

Jul 25, 2024

Sep 20, 2024

LAS VEGAS, NV

Team lift out

Ibd to ibd

0.0%

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Jul 3, 2024

Dec 12, 2024

GREELEY, CO

Team lift out

Wirehouse to ibd

0.0%

MORGAN STANLEY

Jun 12, 2024

Jun 27, 2024

JERSEY CITY, NJ

Team lift out

Wirehouse to ibd

0.0%

PRUCO SECURITIES, LLC

Jun 11, 2024

Aug 2, 2024

MARLBOROUGH, MA

Team lift out

Ibd to ibd

0.1%

J.P. MORGAN SECURITIES LLC

Jun 4, 2024

Jun 28, 2024

GREENVALE, NY

Team lift out

Wirehouse to ibd

0.0%

UBS FINANCIAL SERVICES INC.

May 28, 2024

Jul 16, 2024

WEEHAWKEN, NJ

Team lift out

Wirehouse to ibd

0.0%

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

May 22, 2024

Jul 31, 2024

SCOTTSDALE, AZ

Team lift out

Wirehouse to ibd

0.0%

EDWARD JONES

May 10, 2024

Jul 25, 2024

WESTLAKE VILLAGE, CA

Team lift out

Ibd to ibd

0.0%

UBS FINANCIAL SERVICES INC.

May 6, 2024

May 31, 2024

IRVINE, CA

Team lift out

Wirehouse to ibd

0.0%

MORGAN STANLEY

May 3, 2024

Jul 5, 2024

PURCHASE, NY

Team lift out

Wirehouse to ibd

0.0%

LPL FINANCIAL LLC

Apr 17, 2024

Jul 18, 2024

SAN JOSE, CA

Team lift out

Ibd to ibd

0.0%

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Apr 12, 2024

Dec 4, 2024

NEW YORK, NY

Team lift out

Wirehouse to ibd

0.0%

PRUCO SECURITIES, LLC

Apr 4, 2024

Jun 14, 2024

UNIONTOWN, OH

Team lift out

Ibd to ibd

0.1%