DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Gwn Securities Inc.
Latest filing Apr 13, 2026
First filing on the tape Jan 3, 2012 · 37 filings
SEC status approved since Jan 2, 2004
RAUM
$4.8B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$4.7B individuals and HNW
Advisors
447
registered through the firm on IAPD
RAUM per advisor
$10.6M
derived; firm RAUM over IAPD count
Employees
707
448 advisory (5.B.1)
Offices
25
beyond the principal office
Private funds
0
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$4.8B as of Apr 13, 2026
Jan 3, 2012$684M then
HNW client RAUM$850M as of Apr 13, 2026
Mar 24, 2022$195M then
State-registered IARs (5.B.3)448 as of Apr 13, 2026
Jan 3, 20120 then
Employees (5.A)707 as of Apr 13, 2026
Jan 9, 2013200 then
Private funds: no history
RAUM +30% over the last fiscal year+19% a year over threeIARs 434 to 448
Practice profile
derived from the filing of Apr 13, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $10.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 85derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $383,553derivedHNW RAUM over HNW clients
- Average account
- $71,997derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 17.2derived26 offices incl. principal (1.F.5)
- RAUM growth, one year
- +30%derivedbetween the last two annual amendments
- Advisor growth, one year
- +3.2%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.9%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is a broker-dealer (6.A.1)
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$3.9B82%
- High-net-worth individuals$850M18%
- Corporations and businesses$17.0M0.4%
- Individual clients
- 35,546reported
- HNW clients
- 2,217reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 66,025reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=671.0derived
Advisors registered through the firm
446 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Mary Therese Walsh | Palm Beach Gardens, Fl | Jan 29, 2004 | 30 y | 0 |
| Laura Jeanette Bornheimer | Palm Beach Gardens, Fl | Apr 21, 2004 | 29 y | 1 |
| Ralph Stanley Wendell | Palm Beach Gardens, Fl | May 17, 2004 | 43 y | 3 |
| Michael Awad Fahim | Palm Beach Gardens, Fl | Nov 4, 2004 | 37 y | 1 |
| Ramy Awad Fahim | Palm Beach Gardens, Fl | Nov 4, 2004 | 30 y | 1 |
| Gary Dean Hutto | Orange, Ca | Nov 4, 2004 | 38 y | 3 |
| Carl Alexander Neitzel | Palm Beach Gardens, Fl | Dec 2, 2004 | 26 y | 1 |
| Moustapha Nasser Akkari | Palm Beach Gardens, Fl | Jan 7, 2005 | 29 y | 1 |
| Michael John MillerCertified Financial Planner | Palm Beach Gardens, Fl | Jan 18, 2005 | 36 y | 1 |
| Scott Ryan Kuharski | Palm Beach Gardens, Fl | Jan 20, 2005 | 31 y | 2 |
| Jerry Wayne Dunnick | Pewaukee, Wi | Jan 31, 2005 | 32 y | 1 |
| Paul Douglas Moore | Palm Beach Gardens, Fl | Feb 4, 2005 | 50 y | 1 |
| Denton Lane Brooks | Marco Island, Fl | Oct 2, 2006 | 31 y | 1 |
| Philip Andrew Gasser | Palm Beach Gardens, Fl | Oct 5, 2006 | 27 y | 2 |
| Robert Eaton Barton | Palm Beach Gardens, Fl | Jan 10, 2007 | 28 y | 0 |
| Randy Evan Aranowitz | Wayne, Pa | Jan 11, 2007 | 42 y | 0 |
| Randall Leigh Hartzel | Wayne, Pa | Jan 11, 2007 | 31 y | 0 |
| Matthew Henry Cunningham | Wayne, Pa | Jan 11, 2007 | 32 y | 0 |
| Lisa Christine Deporzio | Export, Pa | Jan 17, 2007 | 29 y | 0 |
| Gregory Richard Field | Wayne, Pa | Jan 30, 2007 | 21 y | 0 |
| David Joseph Donovan | Palm Beach Gardens, Fl | Feb 12, 2007 | 20 y | 0 |
| Daniel Tong Myung Choy | Honolulu, Hi | Apr 30, 2007 | 45 y | 0 |
| Gregory Donnell Cleare | Palm Beach Gardens, Fl | Aug 6, 2007 | 22 y | 1 |
| Brian Douglas Dart | Wexford, Pa | Jan 2, 2008 | 20 y | 1 |
| Richard Joseph BeachCertified Financial Planner | Rocky River, Oh | Jan 22, 2008 | 41 y | 1 |
| Gregory Girard Mayernik | Euclid, Oh | Jan 24, 2008 | 39 y | 4 |
| Norman James Merhaut | Cuyahoga Heights, Oh | Mar 6, 2008 | 39 y | 3 |
| Jonathan David Stevens | Cranberry Township, Pa | Mar 20, 2008 | 21 y | 2 |
| Ronald Lester Wenrich | Palm Beach Gardens, Fl | Jul 11, 2008 | 25 y | 1 |
| Stephen Michael Locko | Carlsbad, Ca | Mar 17, 2009 | 39 y | 4 |
| Carlos Eloy Tocabens | Palm Beach Gardens, Fl | May 27, 2009 | 20 y | 0 |
| Jerry Alan Adzima | Chesterfield, Mo | Aug 18, 2009 | 39 y | 1 |
| Gregory James RussellCertified Financial Planner | Kansas City, Mo | Sep 21, 2009 | 23 y | 1 |
| Michael Arthur Pollakowski | Kansas City, Mo | Sep 30, 2009 | 43 y | 1 |
| Wade Norman Murphy | Rolling Hills Estates, Ca | Jan 5, 2010 | 30 y | 2 |
| Daniel James OttoCertified Financial Planner | West Chester, Pa | Jan 11, 2010 | 18 y | 0 |
| Tyler Paul KimballCertified Financial Planner | Palm Beach Gardens, Fl | Jan 15, 2010 | 20 y | 2 |
| Brent Alan Erickson | Palm Beach Gardens, Fl | Feb 1, 2010 | 35 y | 0 |
| Allen Ross Tollett | Palm Beach Gardens, Fl | Feb 16, 2010 | 22 y | 3 |
| Sanford Leigh Warmund | Palm Beach Gardens, Fl | Apr 1, 2010 | 40 y | 1 |
Advisor movement
15 left, 11 joined in 12 months
net -4 in 12 months2 left in 90 days5 joined in 90 daysdeparture rate 3.4% of current headcount60 left over 36 months
Left, latest
- Peter Steven Franco to Calton & Associates, Inc.Aug 21, 2026 · Affiliated broker-dealer or bank to independent RIA
- Jason Kyle Rogers to Schwab Wealth Advisory, Inc.Jul 7, 2026 · Other
- Daniel William Worthington to Stonebridge Financial GroupJun 3, 2026 · Affiliated broker-dealer or bank to independent RIA
- Carter Moffitt to Merrill Lynch, Pierce, Fenner & Smith IncorporatedMay 29, 2026 · Affiliated broker-dealer or bank to wirehouse
- Tyler Eric Zaborsky to Impact Partnership Wealth, LLCMay 1, 2026 · Affiliated broker-dealer or bank to independent RIA
- Julian Carter Driver to Valic Financial Advisors, Inc.Apr 14, 2026 · Affiliated broker-dealer or bank to another
- Andrew John Mcculloch to LPL Financial LLCApr 1, 2026 · Affiliated broker-dealer or bank to another
- Brian Thomas White to Td Private Client Wealth LLCMar 23, 2026 · Affiliated broker-dealer or bank to another
- Ireland Hatch to Strategic Advisers LLCMar 19, 2026 · Affiliated broker-dealer or bank to another
- Riley James Thompson to Strategic Advisers LLCMar 19, 2026 · Affiliated broker-dealer or bank to another
- Haein Choi to Strategic Advisers LLCJan 28, 2026 · Affiliated broker-dealer or bank to another
- Jared M Gruccio to Advice To ThriveJan 27, 2026 · Affiliated broker-dealer or bank to a state-registered adviser
- Kevin F Lamberson to Td Private Client Wealth LLCJan 12, 2026 · Affiliated broker-dealer or bank to another
- Sharlene Jamison to Vanderbilt Advisory ServicesDec 16, 2025 · Affiliated broker-dealer or bank to another
- Justin Anthony Baierl to LPL Financial LLCOct 27, 2025 · Affiliated broker-dealer or bank to another
Joined, latest
- Robert Emmet Mullis from Money Concepts Advisory ServiceAug 26, 2026 · Affiliated broker-dealer or bank to another
- Matthew Thomas Bradshaw from Credit Union Investment ServicesAug 20, 2026 · Other
- Sean Greaves from Cetera Investment Advisers LLCAug 14, 2026 · Affiliated broker-dealer or bank to another
- Ryan R Claar from Advice And Planning ServicesJul 16, 2026 · Affiliated broker-dealer or bank to another
- Sean Henry Culbertson from Cambridge Investment Research Advisors, Inc.Jul 10, 2026 · Affiliated broker-dealer or bank to another
- Colin Philip Shannon from MML Investors Services, LLCJun 2, 2026 · Affiliated broker-dealer or bank to another
- Kathie Jeanne Gallagher from Ameritas Advisory ServicesApr 17, 2026 · Affiliated broker-dealer or bank to another
- Bernard Joseph Audet from MML Investors Services, LLCMar 20, 2026 · Affiliated broker-dealer or bank to another
- Brian Thomas White from United Planners' Financial Services Of America A Limited PartnerMar 17, 2026 · RIA to affiliated broker-dealer or bank
- Julian Carter Driver from Secure Investment Management, LLCJan 26, 2026 · RIA to affiliated broker-dealer or bank
- Michael Depaola from Cetera Investment Advisers LLCNov 6, 2025 · Affiliated broker-dealer or bank to another
- Mikell Vincent Admire from Oneamerica Securities, Inc.Sep 12, 2025 · Affiliated broker-dealer or bank to another
- Kenneth Wayne Gutshall from Capital AnalystsAug 14, 2025 · Affiliated broker-dealer or bank to another
- Anthony Michael Romeo from J.P. Morgan Securities LLCJul 1, 2025 · Wirehouse to affiliated broker-dealer or bank
- Elizabeth Werner Cook from Global Emerging Capital Group, LLCJun 27, 2025 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Strategic Advisers LLCMar 19, 2026 · Palm Beach Gardens, Fl
- 2 left for Calton & Associates, Inc.Mar 21, 2025 · Delray Beach, Fl
- 3 left for Planmember Securities CorporationNov 8, 2024 · Palm Beach Gardens, Fl
- 8 left for Catalyst Wealth Management LLCApr 16, 2024 · Palm Beach Gardens, Fl
- 5 left for Catalyst Wealth Management LLCApr 16, 2024 · Houston, Tx
- 2 left for Fidelity Personal And Workplace AdvisorsSep 14, 2021 · Palm Beach Gardens, Fl
- 2 left for Intirety, LLCDec 7, 2020 · Seattle, Wa
- 2 left for Blackridge Asset Management, LLCAug 2, 2019 · Weston, Fl
- 2 joined from Capital AnalystsMay 1, 2025 · Austin, Tx
- 2 joined from Voya Financial Advisors, Inc.Dec 31, 2022 · Tampa, Fl
- 5 joined from Equitable Advisors, LLCJun 27, 2022 · Houston, Tx
- 4 joined from Equitable Advisors, LLCJul 15, 2021 · Los Angeles, Ca
- 11 joined from Equitable Advisors, LLCJun 21, 2021 · Los Angeles, Ca
- 2 joined from SpcJul 17, 2020 · Ann Arbor, Mi
- 4 joined from MML Investors Services, LLCJul 2, 2020 · Princeton, Nj
- 2 joined from Ameritas Advisory ServicesAug 20, 2019 · Greensboro, Ga
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Laura Jeanette Bornheimer · Vice President/Chief Compliance Officer/Rosfpcontrolsince 02/2005 · owns less than 5%
- Brad Jeffrey Corbin · Senior Vice President Of Business Development And Marketingcontrolsince 08/2007 · owns less than 5%
- Barry Richard Rittman · Cfo Finop Vpcontrolsince 07/2008 · owns less than 5%
- Denis Stephen Walsh · Ceo/Exec Director/ Municipal Principal, Presidentcontrolsince 05/2005 · owns less than 5%
- Mary Therese Walsh · Secretarycontrolsince 02/2005 · owns less than 5%
Entity owners
- World Investment Network · Ownerdirect · owns 75% or more
- Win Class A Stock Trust · Trust Holding World Investment Network Stock, Denis Walsh Trusteeindirect · owns 75% or more of World Investment Network
Related persons
Schedule D 7.A
- Abacus Investments, Inc.broker-dealern
- Gwn Marketing, Inc.real estaten
- Money Concepts Advisory Servicebroker-dealerinvestment advisernRAUM $4.1B
- Win Advisors, Incinvestment advisernRAUM $267M
Advisers that list Gwn Securities Inc. as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Palm Beach Gardens, Fl · principal | 446 | 28 | 6 | 1 | |
| Wayne, Pa | 44 | 2 | 0 | ||
| Pasadena, Ca | 39 | 5 | 1 | ||
| Bridgewater, Nj | 38 | 3 | 1 | ||
| Hauppauge, Ny | 16 | 1 | 1 | ||
| Kansas City, Mo | 10 | 0 | 0 | ||
| Lake Mary, Fl | 8 | 0 | 0 | ||
| Torrance, Ca | 7 | 0 | 0 | ||
| Owasso, Ok | 6 | 0 | 0 | ||
| Miami Lakes, Fl | 6 | 1 | 0 | ||
| Bordentown, Nj | 6 | 0 | 1 | ||
| Bluffton, Sc | 5 | 0 | 0 | ||
| Albany, Ny | 5 | 1 | 0 | ||
| Henderson, Nv | 5 | 0 | 0 | ||
| West Palm Beach, Fl | 5 | 1 | 0 | ||
| Mesquite, Tx | 5 | 0 | 0 | ||
| Bardstown, Ky | 5 | 0 | 0 | ||
| Norwalk, Ct | 5 | 0 | 0 | ||
| Adel, Ga | 5 | 1 | 0 | ||
| Austin, Tx | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Iselin, NJ64 employees
- Wayne, PA54 employees
- Pasadena, CA24 employees
- Northbrook, IL23 employees
- Houston, TX18 employees
- Hauppauge, NY18 employees
- Vero Beach, FL12 employees
- Yorkville, IL12 employees
- Hewlett, NY11 employees
- Kansas City, MO10 employees
- Norwalk, CT8 employees
- Henderson, NV7 employees
- Rolling Hills Estates, CA7 employees
- Wytheville, VA7 employees
- West Chester, PA7 employees
- Owasso, OK7 employees
- Altamonte Springs, FL7 employees
- Torrance, CA7 employees
- Mesquite, TX6 employees
- Fort Worth, TX6 employees
- Bordentown, NJ5 employees
- Southfield, MI5 employees
- Adel, GA5 employees
- South Jordan, UT5 employees
- Centennial, CO5 employees
What changed
consecutive filings, newest first
- Accounts · 64,207 to 66,025Apr 11, 2025 to Mar 25, 2026
- Advisory employees · 423 to 448Apr 11, 2025 to Mar 25, 2026
- BD registered reps · 705 to 671Apr 11, 2025 to Mar 25, 2026
- Corporate clients · 42 to 30Apr 11, 2025 to Mar 25, 2026
- HNW clients · 1,103 to 2,217Apr 11, 2025 to Mar 25, 2026
- Individual clients · 35,946 to 35,546Apr 11, 2025 to Mar 25, 2026
- Employees · 744 to 707Apr 11, 2025 to Mar 25, 2026
- Insurance-licensed employees · 91 to 57Apr 11, 2025 to Mar 25, 2026
- State-registered IARs · 434 to 448Apr 11, 2025 to Mar 25, 2026
- Discretionary RAUM · $3.7B to $4.8BApr 11, 2025 to Mar 25, 2026
- HNW RAUM · $362M to $850MApr 11, 2025 to Mar 25, 2026
- Individual RAUM · $3.3B to $3.9BApr 11, 2025 to Mar 25, 2026
- RAUM · $3.7B to $4.8BApr 11, 2025 to Mar 25, 2026
- Accounts · 62,656 to 64,207Mar 27, 2024 to Apr 11, 2025
- Advisory employees · 455 to 423Mar 27, 2024 to Apr 11, 2025
- BD registered reps · 755 to 705Mar 27, 2024 to Apr 11, 2025
- Corporate clients · 67 to 42Mar 27, 2024 to Apr 11, 2025
- HNW clients · 1,216 to 1,103Mar 27, 2024 to Apr 11, 2025
- Individual clients · 32,605 to 35,946Mar 27, 2024 to Apr 11, 2025
- Employees · 755 to 744Mar 27, 2024 to Apr 11, 2025
- Insurance-licensed employees · 3 to 91Mar 27, 2024 to Apr 11, 2025
- Financial planning clients · 26-50 to 51-100Mar 27, 2024 to Apr 11, 2025
- State-registered IARs · 455 to 434Mar 27, 2024 to Apr 11, 2025
- Discretionary RAUM · $3.1B to $3.7BMar 27, 2024 to Apr 11, 2025
- HNW RAUM · $315M to $362MMar 27, 2024 to Apr 11, 2025
- Individual RAUM · $2.8B to $3.3BMar 27, 2024 to Apr 11, 2025
- RAUM · $3.1B to $3.7BMar 27, 2024 to Apr 11, 2025
- Accounts · 58,177 to 62,656Mar 15, 2023 to Mar 27, 2024
- Corporate clients · 78 to 67Mar 15, 2023 to Mar 27, 2024
- HNW clients · 1,253 to 1,216Mar 15, 2023 to Mar 27, 2024
- Individual clients · 30,342 to 32,605Mar 15, 2023 to Mar 27, 2024
- Insurance-licensed employees · 100 to 3Mar 15, 2023 to Mar 27, 2024
- Discretionary RAUM · $2.8B to $3.1BMar 15, 2023 to Mar 27, 2024
- HNW RAUM · $205M to $315MMar 15, 2023 to Mar 27, 2024
- Individual RAUM · $2.6B to $2.8BMar 15, 2023 to Mar 27, 2024
- RAUM · $2.8B to $3.1BMar 15, 2023 to Mar 27, 2024
- Accounts · 54,640 to 58,177May 3, 2022 to Mar 15, 2023
- Advisory employees · 446 to 455May 3, 2022 to Mar 15, 2023
- BD registered reps · 759 to 755May 3, 2022 to Mar 15, 2023
- Corporate clients · 34 to 78May 3, 2022 to Mar 15, 2023
Signals
60 dated events
- Ethan Diego Roberts no longer holds an investment adviser registration (last listed at Gwn Securities Inc. on the 2026-09-15 feed)Sep 15, 2026 · Advisor registration ended · derived
- Peter Steven Franco left Gwn Securities Inc. for Calton & Associates, Inc. (registered 2026-08-28)Aug 21, 2026 · Advisor changed firm · fact
- Jason Kyle Rogers left Gwn Securities Inc. for Schwab Wealth Advisory, Inc. (registered 2026-07-15)Jul 7, 2026 · Advisor changed firm · fact
- Daniel William Worthington left Gwn Securities Inc. for Stonebridge Financial Group (registered 2026-06-25)Jun 3, 2026 · Advisor changed firm · fact
- Carter Moffitt left Gwn Securities Inc. for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2026-06-17)May 29, 2026 · Advisor changed firm · fact
- Tyler Eric Zaborsky left Gwn Securities Inc. for Impact Partnership Wealth, Llc (registered 2026-05-01)May 1, 2026 · Advisor changed firm · fact
- Julian Carter Driver left Gwn Securities Inc. for Valic Financial Advisors, Inc. (registered 2026-05-12)Apr 14, 2026 · Advisor changed firm · fact
- Andrew John Mcculloch left Gwn Securities Inc. for Lpl Financial Llc (registered 2026-03-27)Apr 1, 2026 · Advisor changed firm · fact
- Gwn Securities Inc. reported RAUM $4.8B, up 30% from $3.7B (2025-04-11 to 2026-03-25)Mar 25, 2026 · RAUM change · derived
- Brian Thomas White left Gwn Securities Inc. for Td Private Client Wealth Llc (registered 2026-04-22)Mar 23, 2026 · Advisor changed firm · fact
- Riley James Thompson left Gwn Securities Inc. for Strategic Advisers Llc (registered 2026-08-07)Mar 19, 2026 · Advisor changed firm · fact
- Ireland Hatch left Gwn Securities Inc. for Strategic Advisers Llc (registered 2026-04-23)Mar 19, 2026 · Advisor changed firm · fact
- 2 advisors left Gwn Securities Inc. (Palm Beach Gardens, FL) for Strategic Advisers LLC on the same dayMar 19, 2026 · Team lift-out · derived
- Haein Choi left Gwn Securities Inc. for Strategic Advisers Llc (registered 2026-02-18)Jan 28, 2026 · Advisor changed firm · fact
- Jared M Gruccio left Gwn Securities Inc. for Advice To Thrive (registered 2026-01-23)Jan 27, 2026 · Advisor changed firm · fact
- Kevin F Lamberson left Gwn Securities Inc. for Td Private Client Wealth Llc (registered 2026-07-27)Jan 12, 2026 · Advisor changed firm · fact
- Sharlene Jamison left Gwn Securities Inc. for Vanderbilt Advisory Services (registered 2026-03-19)Dec 16, 2025 · Advisor changed firm · fact
- Justin Anthony Baierl left Gwn Securities Inc. for Lpl Financial Llc (registered 2025-10-24)Oct 27, 2025 · Advisor changed firm · fact
- Cole Taylor Finley left Gwn Securities Inc. for Rbc Capital Markets, Llc (registered 2025-11-03)Aug 26, 2025 · Advisor changed firm · fact
- William Benjamin left Gwn Securities Inc. for Cambridge Investment Research Advisors, Inc. (registered 2025-08-01)Aug 1, 2025 · Advisor changed firm · fact
- Kyle Matthew Farley left Gwn Securities Inc. for Wells Fargo Advisors (registered 2025-08-19)Jul 11, 2025 · Advisor changed firm · fact
- Simona Taurosevicius left Gwn Securities Inc. for A.G.P / Alliance Global Partners (registered 2025-07-08)Jul 1, 2025 · Advisor changed firm · fact
- Ryan Kelsey Roth left Gwn Securities Inc. for Strategic Advisers Llc (registered 2025-09-11)Jun 27, 2025 · Advisor changed firm · fact
- Yuan Yao left Gwn Securities Inc. for Goldman Sachs Wealth Services, L.P. (registered 2025-08-14)Jun 9, 2025 · Advisor changed firm · fact
- Tyson Andrew Pointer left Gwn Securities Inc. for Triad Wealth Partners, Llc (registered 2025-06-04)Jun 5, 2025 · Advisor changed firm · fact
- John Paul Johnson left Gwn Securities Inc. for Triad Wealth Partners, Llc (registered 2025-06-04)Jun 5, 2025 · Advisor changed firm · fact
- Jonah Elias Leppert Simenauer left Gwn Securities Inc. for Strategic Advisers Llc (registered 2025-07-10)May 29, 2025 · Advisor changed firm · fact
- Erica Guadalupe Zaragoza left Gwn Securities Inc. for Prosperitas Financial, Llc (registered 2025-05-12)May 12, 2025 · Advisor changed firm · fact
- 2 advisors left Capital Analysts (Austin, TX) for Gwn Securities Inc. on the same dayMay 1, 2025 · Team lift-out · derived
- Austin John Schrock left Gwn Securities Inc. for Calton & Associates, Inc. (registered 2025-03-21)Mar 21, 2025 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- gwnsecurities.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 561-472-2700reportedpublic record, Form ADV, Apr 13, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Broker-dealer affiliated wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $10.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026