DFX Intelligence

Data Factory

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 10b 100b

1ST GLOBAL ADVISORS INC

CRD 111133

DALLAS, TX

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:cb6b2d4f-6f48-7b74-274f-d20aa041b86a

Data as of Sep 26, 2019 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:33 PM UTC and rebuilt at most every 15 minutes.

Relationships: 999
Dated events: 4
On other graphs: 0
Observed: Nov 14, 2011 to Sep 26, 2019
40 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: $11BItem 5.F on the latest filing (2019-09-26); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $7.9B
Private client RAUM: $8.9BderivedItem 5.D individuals plus high net worth individuals
Private client share: 83%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 976
Advisory employees: 976
Offices: 436Schedule D 1.F, beyond the principal office
Accounts: 30,580
Individual clients: 25,889
High net worth clients: 2,712
SEC number: 801-41517
CRD: 111133
Filings on the tape: 40
First filed: Nov 14, 2011
Latest filed: Sep 26, 2019
Organised: Corporation, Texas

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
1G ACQUISITIONS, LLC	Shareholder	E	yes	05/2019	May 6, 2019	Sep 26, 2019
1ST GLOBAL, INC.	Stockholder	E	yes	08/1994	Nov 14, 2011	Sep 26, 2019
BLUCORA, INC.	Shareholder	E	yes	05/2019	May 6, 2019	Sep 26, 2019
HDV HOLDINGS, INC.	Shareholder	E	yes	05/2019	May 6, 2019	Sep 26, 2019
Mackay, Todd, Christopher	Director	Na	yes	05/2019	May 6, 2019	Sep 26, 2019
MAGSON, JEFFREY, SCOTT	EXECUTIVE VICE PRESIDENT AND CLIENT EXPERIENCE OFFICER	Na	yes	03/2015	Jul 3, 2015	Sep 26, 2019
PAGANO, MICHAEL, ANTHONY	EXECUTIVE VICE PRESIDENT, COMPLIANCE, LEGAL AND RISK ASSESSMENT	Na	yes	12/2015	Nov 14, 2011	Sep 26, 2019
PROJECT BASEBALL SUB, INC.	Shareholder	E	yes	05/2019	May 6, 2019	Sep 26, 2019
SMITH, STEPHEN, GARRETT	ASSISTANT VICE PRESIDENT AND CCO	Na	yes	12/2017	Dec 1, 2015	Sep 26, 2019
STEWART, EVERETT, PAUL	EXECUTIVE VICE PRESIDENT - CHIEF OPERATING OFFICER	Na	yes	03/2015	Nov 14, 2011	Sep 26, 2019
TAXACT HOLDINGS, INC.	Shareholder	E	yes	05/2019	May 6, 2019	Sep 26, 2019
Vasquez, Enrique, Martin	President	Na	yes	07/2019	Jul 22, 2019	Sep 26, 2019

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
AVANTAX ADVISORY SERVICES, INC.	n/a	Former SEC adviser	$46B	N	yes	n/a
GREEN & DECKERT LLC	n/a	Independent wealth	$133M	N	no	n/a
HORIZON FINANCIAL ADVISORS, LLC	n/a	State registered	$18.9M	N	no	n/a
1ST GLOBAL CAPITAL CORP.	n/a	n/a	n/a	N	yes	n/a
1ST GLOBAL INSURANCE SERVICES, INC.	n/a	n/a	n/a	Y	yes	n/a
AVANTAX INVESTMENT SERVICES, INC.	n/a	n/a	n/a	N	yes	n/a
BFJ WEALTH MANAGEMENT, LLC	n/a	n/a	n/a	N	no	n/a
DAVIE KAPLAN WEALTH CARE ADVISORS, LLC	n/a	State registered	n/a	N	no	n/a
DKCB FINANCIAL ADVISORS, LLC	n/a	State registered	n/a	N	no	n/a
GRYPHON FINANCIAL WEALTH ADVISORS, LLC	n/a	n/a	n/a	N	no	n/a
HEADQUARTERS ADVISORY GROUP, LLC	n/a	n/a	n/a	N	no	n/a
HUSAMI, AHMAD BASHIR	n/a	State registered	n/a	N	no	n/a
JACK DONALD BECKER	n/a	n/a	n/a	N	no	n/a
MEADEN & MOORE FINANCIAL SERVICES, LTD.	n/a	n/a	n/a	N	no	n/a
PK FINANCIAL STRATEGIES, LLC	n/a	n/a	n/a	N	no	n/a
REASON FINANCIAL	n/a	Former SEC adviser	n/a	N	no	n/a
STRICKOFF FINANCIAL SERVICES, LLC	n/a	n/a	n/a	N	no	n/a

Offices

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

City	State	Country	Employees	Also broker-dealer
Irving	TX	United States	25	no

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
2019	Sep 26, 2019	$11B	$7.9B	976	976	436	n/a	n/a
2018	Sep 25, 2018	$10.0B	$7.3B	1,049	1,049	436	n/a	n/a
2017	Sep 11, 2017	$8.9B	$6.3B	1,089	1,089	n/a	n/a	n/a
2016	Sep 27, 2016	$7.9B	$5.4B	1,096	1,096	n/a	n/a	n/a
2015	Sep 29, 2015	$7.1B	$4.7B	1,076	1,076	n/a	n/a	n/a
2014	Sep 29, 2014	$6.9B	$4.5B	1,157	1,157	n/a	n/a	n/a
2013	Sep 23, 2013	$5.6B	$3.4B	1,182	1,077	n/a	n/a	n/a
2012	Sep 18, 2012	$4.6B	$2.6B	n/a	n/a	n/a	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
2019	$11B	$10.0B	8.2%	$7.9B	11.0%	976	1,049	436	436

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 21

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
PK FINANCIAL STRATEGIES, LLC	3	Oct 25, 2019	Jun 21, 2010	PHOENIX, AZ	Team lift out	Other	0.6%
HEADQUARTERS ADVISORY GROUP, LLC	3	Oct 25, 2019	Apr 25, 2017	PARSIPPANY, NJ	Team lift out	Other	0.6%
MEADEN & MOORE FINANCIAL SERVICES, LTD.	2	Oct 25, 2019	Aug 2, 2018	CLEVELAND, OH	Team lift out	Other	0.4%
BEALL BARCLAY ADVISORS, LLC	9	Oct 25, 2019	Apr 25, 2008	FORT SMITH, AR	Team lift out	Other	1.7%
I.M. FINANCIAL, LLC	2	Oct 25, 2019	Apr 7, 2014	DENVER, CO	Team lift out	Other	0.4%
GREEN & DECKERT LLC	2	Oct 25, 2019	May 3, 2019	LUBBOCK, TX	Team lift out	Ibd to RIA	0.4%
BFJ WEALTH MANAGEMENT, LLC	2	Oct 25, 2019	Feb 3, 2016	COLUMBIA, MD	Team lift out	Other	0.4%
REASON FINANCIAL	4	Oct 24, 2019	Jan 28, 2016	SAN DIEGO, CA	Team lift out	Ibd to RIA	0.7%
LPL FINANCIAL LLC	2	Oct 2, 2019	Oct 1, 2019	SPARTANBURG, SC	Team lift out	Ibd to ibd	0.4%
I.M. FINANCIAL, LLC	2	Sep 4, 2019	Feb 21, 2017	GREENWOOD VILLAGE, CO	Team lift out	Other	0.4%
WEALTHCARE ADVISORY PARTNERS LLC	2	Feb 8, 2019	Feb 6, 2019	BAYTOWN, TX	Team lift out	Ibd to RIA	0.4%
LPL FINANCIAL LLC	7	Dec 31, 2018	Jan 8, 2019	SPARTA, NJ	Team lift out	Ibd to RIA	1.3%
LPL FINANCIAL LLC	2	Dec 20, 2018	Dec 19, 2018	ROCKVILLE, MD	Team lift out	Ibd to RIA	0.4%
EGP WEALTH MANAGEMENT, LLC	3	Oct 3, 2018	Apr 30, 2024	N LITTLE ROCK, AR	Team lift out	Ibd to state RIA	0.5%
BRIGGS ADVISORY GROUP, INC.	2	Jun 12, 2018	Mar 26, 2018	BOSTON, MA	Team lift out	Ibd to new firm	0.4%
BRIGGS ADVISORY GROUP, INC.	3	Jun 12, 2018	Mar 19, 2018	LINCOLN, RI	Team lift out	Ibd to new firm	0.5%
BENTLEY WEALTH ADVISORS, LLC	2	Jun 12, 2018	Aug 3, 2018	WARWICK, RI	Team lift out	Ibd to state RIA	0.4%
COMMONWEALTH FINANCIAL NETWORK	2	May 11, 2018	May 15, 2018	BEL AIR, MD	Team lift out	Ibd to ibd	0.4%
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	4	Nov 16, 2017	Nov 16, 2017	RICHMOND, VA	Team lift out	Other	0.7%
MUELLER FINANCIAL SERVICES, INC.	4	Mar 30, 2017	Aug 5, 2016	ELGIN, IL	Team lift out	Other	0.7%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
TRUSTEE EMPOWERMENT & PROTECTION, INC.	2	Sep 4, 2018	Oct 16, 2018	LONGWOOD, FL	Team lift out	Other	8.3%
CETERA ADVISORS LLC	2	Mar 17, 2017	Mar 22, 2017	HOUSTON, TX	Team lift out	Other	0.5%
CLEARWATER CAPITAL PARTNERS	2	Nov 30, 2016	Dec 1, 2017	HOFFMAN ESTATES, IL	Team lift out	Other	20.0%

Relationships

showing 80 of 999

Affiliated with (7)

→ AVANTAX ADVISORY SERVICESRegistered adviserother investment adviser, common control
factForm ADV
→ DKCB FINANCIAL ADVISORS, LLCRegistered adviserother investment adviser
factForm ADV
→ HORIZON FINANCIAL ADVISORS, LLCRegistered adviserother investment adviser
factForm ADV
→ REASON FINANCIALRegistered adviserother investment adviser
factForm ADV
→ HUSAMI & ASSOCIATESRegistered adviserother investment adviser
factForm ADV
→ DAVIE KAPLAN WEALTH CARE ADVISORS, LLCRegistered adviserother investment adviser
factForm ADV
→ GREEN & DECKERT LLCRegistered adviserother investment adviser
factForm ADV

Controls (12)

← STEWART, EVERETT, PAULOwnerEXECUTIVE VICE PRESIDENT - CHIEF OPERATING OFFICER, ownership code NA, individual
Nov 14, 2011 to presentfactForm ADV
← Vasquez, Enrique, MartinOwnerPRESIDENT, ownership code NA, individual
Jul 22, 2019 to presentfactForm ADV
← MAGSON, JEFFREY, SCOTTOwnerEXECUTIVE VICE PRESIDENT AND CLIENT EXPERIENCE OFFICER, ownership code NA, individual
Jul 3, 2015 to presentfactForm ADV
← PAGANO, MICHAEL, ANTHONYOwnerEXECUTIVE VICE PRESIDENT, COMPLIANCE, LEGAL AND RISK ASSESSMENT, ownership code NA, individual
Nov 14, 2011 to presentfactForm ADV
← Mackay, Todd, ChristopherOwnerDIRECTOR, ownership code NA, individual
May 6, 2019 to presentfactForm ADV
← SMITH, STEPHEN, GARRETTOwnerASSISTANT VICE PRESIDENT AND CCO, ownership code NA, individual
Dec 1, 2015 to presentfactForm ADV
← 1G ACQUISITIONS, LLCOwnerSHAREHOLDER, ownership code E, domestic entity
May 6, 2019 to presentfactForm ADV
← 1ST GLOBAL, INC.OwnerSTOCKHOLDER, ownership code E, domestic entity
Nov 14, 2011 to presentfactForm ADV
← BLUCORA, INC.OwnerSHAREHOLDER, ownership code E, domestic entity
May 6, 2019 to presentfactForm ADV
← HDV HOLDINGS, INC.OwnerSHAREHOLDER, ownership code E, domestic entity
May 6, 2019 to presentfactForm ADV
← PROJECT BASEBALL SUB, INC.OwnerSHAREHOLDER, ownership code E, domestic entity
May 6, 2019 to presentfactForm ADV
← TAXACT HOLDINGS, INC.OwnerSHAREHOLDER, ownership code E, domestic entity
May 6, 2019 to presentfactForm ADV

Moved with (1)

→ EGP WEALTH MANAGEMENT, LLCRegistered adviser3 advisors, team lift out
Oct 3, 2018 to Apr 30, 2024factForm ADV

Registered with (60)

← STEPHEN PAUL REGOUBYAdvisorregistration: previous registration
Oct 28, 2010 to Oct 25, 2019factForm ADV
← SAMUEL JAMES ANGELOAdvisorregistration: previous registration
May 10, 2006 to Oct 25, 2019factForm ADV
← MARTIN ROBERT DURBINAdvisorregistration: previous registration
Jun 3, 2015 to Oct 25, 2019factForm ADV
← CHARLES BEDINGFIELD LANIERAdvisorregistration: previous registration
Mar 3, 2008 to Oct 25, 2019factForm ADV
← RONALD ANTHONY MANSOAdvisorregistration: previous registration
Apr 7, 2009 to Oct 25, 2019factForm ADV
← EDWIN PAUL STRICKLINGAdvisorregistration: previous registration
May 10, 2002 to Oct 25, 2019factForm ADV
← ROBERT JOSEPH MARCELLAdvisorregistration: previous registration
Aug 23, 2011 to Oct 25, 2019factForm ADV
← James Lawrence WilsonAdvisorregistration: previous registration
Sep 8, 2008 to Oct 25, 2019factForm ADV
← Darrell Eugene RupertAdvisorregistration: previous registration
Feb 3, 2004 to Oct 25, 2019factForm ADV
← DAVID BRYAN BARNETTAdvisorregistration: previous registration
Jul 27, 2005 to Oct 25, 2019factForm ADV
← JOHN A VARAOAdvisorregistration: previous registration
Nov 12, 1998 to Oct 25, 2019factForm ADV
← J MICHAEL CLOYDAdvisorregistration: previous registration
Jan 4, 2017 to Oct 25, 2019factForm ADV
← ROBERT STEPHEN PAULAdvisorregistration: previous registration
Nov 15, 2006 to Oct 25, 2019factForm ADV
← WALTER CORVILLE CHOWNAdvisorregistration: previous registration
Sep 4, 2003 to Oct 25, 2019factForm ADV
← BRADLY EDWARD THARPAdvisorregistration: previous registration
Apr 17, 2006 to Oct 25, 2019factForm ADV
← JOHN J CROWEAdvisorregistration: previous registration
Apr 1, 2002 to Oct 25, 2019factForm ADV
← MONICA LYN LITTLEFIELDAdvisorregistration: previous registration
Jun 22, 1994 to Oct 25, 2019factForm ADV
← RICHARD JOEL WILSONAdvisorregistration: previous registration
Mar 12, 1998 to Oct 25, 2019factForm ADV
← KENNETH KENJI TANAKAAdvisorregistration: previous registration
Aug 22, 2007 to Oct 25, 2019factForm ADV
← BRADLY ALLEN BROADBENTAdvisorregistration: previous registration
Apr 26, 2006 to Oct 25, 2019factForm ADV
← THAD MYRON MIERSAdvisorregistration: previous registration
Aug 3, 2009 to Oct 25, 2019factForm ADV
← JOHN DAVID STROTHERAdvisorregistration: previous registration
Oct 7, 2002 to Oct 25, 2019factForm ADV
← JENNIFER ALLYN MCKINNONAdvisorregistration: previous registration
Jul 1, 2008 to Oct 25, 2019factForm ADV
← MARK JOSEPH BOSSIAdvisorregistration: previous registration
Aug 10, 2006 to Oct 25, 2019factForm ADV
← RICHARD LEE BROWNAdvisorregistration: previous registration
Dec 8, 2006 to Oct 25, 2019factForm ADV
← BERT LEROY FALLEYAdvisorregistration: previous registration
Nov 9, 2007 to Oct 25, 2019factForm ADV
← BRADLEY CLARK SKEETERSAdvisorregistration: previous registration
Aug 7, 2006 to Oct 25, 2019factForm ADV
← MATTHEW TAYLOR ADAMSAdvisorregistration: previous registration
May 16, 2012 to Oct 25, 2019factForm ADV
← TONYA GAY FULCHERAdvisorregistration: previous registration
Sep 17, 2003 to Oct 25, 2019factForm ADV
← KENNETH BARRY GRAVESAdvisorregistration: previous registration
Dec 21, 2007 to Oct 25, 2019factForm ADV
and 30 more

Dated events

Occurred
Jul 22, 2019
Control person joined
Martin Enrique Vasquez (President) appeared on Schedule A of 1St Global Advisors Inc
Form ADVobserved 6 days ago
Occurred
Jul 22, 2019
Control person left
Christopher David Knoch (President And Ceo) no longer on Schedule A of 1St Global Advisors Inc (listed 2019-05-21, absent 2019-07-22)
Form ADVobserved 6 days ago
Occurred
May 6, 2019
Control person joined
Christopher Todd Mackay (Director) appeared on Schedule A of 1St Global Advisors Inc
Form ADVobserved 6 days ago
Occurred
May 6, 2019
Control person left
Anthony Stephen Batman (Chairman And Ceo) no longer on Schedule A of 1St Global Advisors Inc (listed 2019-03-07, absent 2019-05-06)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cb6b2d4f-6f48-7b74-274f-d20aa041b86a
First observed: Nov 14, 2011
Last observed: Sep 26, 2019 85 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.

1ST GLOBAL ADVISORS INC

CRD 111133

DALLAS, TX

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:cb6b2d4f-6f48-7b74-274f-d20aa041b86a

Data as of Sep 26, 2019 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:33 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

1G ACQUISITIONS, LLC

Shareholder

yes

05/2019

May 6, 2019

Sep 26, 2019

1ST GLOBAL, INC.

Stockholder

yes

08/1994

Nov 14, 2011

Sep 26, 2019

BLUCORA, INC.

Shareholder

yes

05/2019

May 6, 2019

Sep 26, 2019

HDV HOLDINGS, INC.

Shareholder

yes

05/2019

May 6, 2019

Sep 26, 2019

Mackay, Todd, Christopher

Director

yes

05/2019

May 6, 2019

Sep 26, 2019

MAGSON, JEFFREY, SCOTT

EXECUTIVE VICE PRESIDENT AND CLIENT EXPERIENCE OFFICER

yes

03/2015

Jul 3, 2015

Sep 26, 2019

PAGANO, MICHAEL, ANTHONY

EXECUTIVE VICE PRESIDENT, COMPLIANCE, LEGAL AND RISK ASSESSMENT

yes

12/2015

Nov 14, 2011

Sep 26, 2019

PROJECT BASEBALL SUB, INC.

Shareholder

yes

05/2019

May 6, 2019

Sep 26, 2019

SMITH, STEPHEN, GARRETT

ASSISTANT VICE PRESIDENT AND CCO

yes

12/2017

Dec 1, 2015

Sep 26, 2019

STEWART, EVERETT, PAUL

EXECUTIVE VICE PRESIDENT - CHIEF OPERATING OFFICER

yes

03/2015

Nov 14, 2011

Sep 26, 2019

TAXACT HOLDINGS, INC.

Shareholder

yes

05/2019

May 6, 2019

Sep 26, 2019

Vasquez, Enrique, Martin

President

yes

07/2019

Jul 22, 2019

Sep 26, 2019

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

AVANTAX ADVISORY SERVICES, INC.

n/a

Former SEC adviser

$46B

yes

n/a

GREEN & DECKERT LLC

n/a

Independent wealth

$133M

n/a

HORIZON FINANCIAL ADVISORS, LLC

n/a

State registered

$18.9M

n/a

1ST GLOBAL CAPITAL CORP.

n/a

yes

n/a

1ST GLOBAL INSURANCE SERVICES, INC.

n/a

yes

n/a

AVANTAX INVESTMENT SERVICES, INC.

n/a

yes

n/a

BFJ WEALTH MANAGEMENT, LLC

n/a

DAVIE KAPLAN WEALTH CARE ADVISORS, LLC

n/a

State registered

n/a

DKCB FINANCIAL ADVISORS, LLC

n/a

State registered

n/a

GRYPHON FINANCIAL WEALTH ADVISORS, LLC

n/a

HEADQUARTERS ADVISORY GROUP, LLC

n/a

HUSAMI, AHMAD BASHIR

n/a

State registered

n/a

JACK DONALD BECKER

n/a

MEADEN & MOORE FINANCIAL SERVICES, LTD.

n/a

PK FINANCIAL STRATEGIES, LLC

n/a

REASON FINANCIAL

n/a

Former SEC adviser

n/a

STRICKOFF FINANCIAL SERVICES, LLC

n/a

City

State

Country

Employees

Also broker-dealer

Irving

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2019

Sep 26, 2019

$11B

$7.9B

976

436

n/a

2018

Sep 25, 2018

$10.0B

$7.3B

1,049

436

n/a

2017

Sep 11, 2017

$8.9B

$6.3B

1,089

n/a

2016

Sep 27, 2016

$7.9B

$5.4B

1,096

n/a

2015

Sep 29, 2015

$7.1B

$4.7B

1,076

n/a

2014

Sep 29, 2014

$6.9B

$4.5B

1,157

n/a

2013

Sep 23, 2013

$5.6B

$3.4B

1,182

1,077

n/a

2012

Sep 18, 2012

$4.6B

$2.6B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2019

$11B

$10.0B

8.2%

$7.9B

11.0%

976

1,049

436

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

PK FINANCIAL STRATEGIES, LLC

Oct 25, 2019

Jun 21, 2010

PHOENIX, AZ

Team lift out

Other

0.6%

HEADQUARTERS ADVISORY GROUP, LLC

Oct 25, 2019

Apr 25, 2017

PARSIPPANY, NJ

Team lift out

Other

0.6%

MEADEN & MOORE FINANCIAL SERVICES, LTD.

Oct 25, 2019

Aug 2, 2018

CLEVELAND, OH

Team lift out

Other

0.4%

BEALL BARCLAY ADVISORS, LLC

Oct 25, 2019

Apr 25, 2008

FORT SMITH, AR

Team lift out

Other

1.7%

I.M. FINANCIAL, LLC

Oct 25, 2019

Apr 7, 2014

DENVER, CO

Team lift out

Other

0.4%

GREEN & DECKERT LLC

Oct 25, 2019

May 3, 2019

LUBBOCK, TX

Team lift out

Ibd to RIA

0.4%

BFJ WEALTH MANAGEMENT, LLC

Oct 25, 2019

Feb 3, 2016

COLUMBIA, MD

Team lift out

Other

0.4%

REASON FINANCIAL

Oct 24, 2019

Jan 28, 2016

SAN DIEGO, CA

Team lift out

Ibd to RIA

0.7%

LPL FINANCIAL LLC

Oct 2, 2019

Oct 1, 2019

SPARTANBURG, SC

Team lift out

Ibd to ibd

0.4%

I.M. FINANCIAL, LLC

Sep 4, 2019

Feb 21, 2017

GREENWOOD VILLAGE, CO

Team lift out

Other

0.4%

WEALTHCARE ADVISORY PARTNERS LLC

Feb 8, 2019

Feb 6, 2019

BAYTOWN, TX

Team lift out

Ibd to RIA

0.4%

LPL FINANCIAL LLC

Dec 31, 2018

Jan 8, 2019

SPARTA, NJ

Team lift out

Ibd to RIA

1.3%

LPL FINANCIAL LLC

Dec 20, 2018

Dec 19, 2018

ROCKVILLE, MD

Team lift out

Ibd to RIA

0.4%

EGP WEALTH MANAGEMENT, LLC

Oct 3, 2018

Apr 30, 2024

N LITTLE ROCK, AR

Team lift out

Ibd to state RIA

0.5%

BRIGGS ADVISORY GROUP, INC.

Jun 12, 2018

Mar 26, 2018

BOSTON, MA

Team lift out

Ibd to new firm

0.4%

BRIGGS ADVISORY GROUP, INC.

Jun 12, 2018

Mar 19, 2018

LINCOLN, RI

Team lift out

Ibd to new firm

0.5%

BENTLEY WEALTH ADVISORS, LLC

Jun 12, 2018

Aug 3, 2018

WARWICK, RI

Team lift out

Ibd to state RIA

0.4%

COMMONWEALTH FINANCIAL NETWORK

May 11, 2018

May 15, 2018

BEL AIR, MD

Team lift out

Ibd to ibd

0.4%

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Nov 16, 2017

RICHMOND, VA

Team lift out

Other

0.7%

MUELLER FINANCIAL SERVICES, INC.

Mar 30, 2017

Aug 5, 2016

ELGIN, IL

Team lift out

Other

0.7%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

TRUSTEE EMPOWERMENT & PROTECTION, INC.

Sep 4, 2018

Oct 16, 2018

LONGWOOD, FL

Team lift out

Other

8.3%

CETERA ADVISORS LLC

Mar 17, 2017

Mar 22, 2017

HOUSTON, TX

Team lift out

Other

0.5%

CLEARWATER CAPITAL PARTNERS

Nov 30, 2016

Dec 1, 2017

HOFFMAN ESTATES, IL

Team lift out

Other

20.0%