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

Cwm, LLC

Broker-dealer affiliated wealth managerOmaha, NebraskaCRD 155344SEC 801-72037website IAPD

Latest filing Sep 9, 2026

First filing on the tape Jan 17, 2012 · 247 filings

SEC status approved since Jan 3, 2011

RAUM

$51B

reported, Item 5.F

Discretionary

98%

of RAUM

Private clients

91%

$46B individuals and HNW

Advisors

660

registered through the firm on IAPD

RAUM per advisor

$76.6M

derived; firm RAUM over IAPD count

Employees

1,416

472 advisory (5.B.1)

Offices

165

beyond the principal office

Private funds

reported on Schedule D

History

247 filings and snapshots on the tape

RAUM$51B as of Aug 17, 2026

Mar 30, 2012$902M then

HNW client RAUM$22B as of Aug 17, 2026

Mar 29, 2018$1.1B then

State-registered IARs (5.B.3)287 as of Aug 17, 2026

Mar 30, 20120 then

Employees (5.A)1,416 as of Aug 17, 2026

Mar 27, 201314 then

Private funds: no history

RAUM +50% over the last fiscal year+36% a year over threeIARs 545 to 287

Practice profile

derived from the filing of Sep 9, 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)
Consolidator · three or more firms absorbed (half or more of their registered advisors moved to this adviser within 14 days) in 24 months
Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)

RAUM per advisor: $76.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 79derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $3.0MderivedHNW RAUM over HNW clients
Average account: $328,001derivedRAUM over accounts (5.F.2.f)
Discretionary: 98%derivedof RAUM
Institutional: 4.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.1derivedItem 5.A over advisors
Advisors per office: 4.0derived166 offices incl. principal (1.F.5)
RAUM growth, one year: +50%derivedbetween the last two annual amendments
Advisor growth, one year: -47%derivedItem 5.B.3 between annual amendments
Client growth, one year: +21%derived
Compensation: percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 5.G
Financial planning clients: 30,500reportedItem 5.H
Wrap fee program: $2.6MreportedItem 5.I
Custody: $30B, 43,501 clientsreportedItem 9.A
Ownership: no PE, bank or public-company owner found on Schedule Aderived
Firms absorbed, 24 months: 11derivedhalf or more of a firm's advisors moved here within 14 days
Advisor book size: not public; not estimatedreported

Also answered yes on Form ADV

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)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)
has custody of client cash or bank accounts (9.A.1.a)
marketing includes testimonials (5.L.1.c)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Individuals$24B47%
High-net-worth individuals$22B43%
Corporations and businesses$2.5B5.0%
Pension and profit-sharing plans$2.3B4.5%

Individual clients: 45,032reported
HNW clients: 7,231reported
Pension plan clients: 67reported
Charitable clients: n/areported
Accounts: 154,206reported
Financial planning clients: 30,500reported
Wrap fee programs: $0 sponsored, $0 managedreported
Custody of client assets: $30B for 43,501 clientsreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: private_client_share=0.91 fund_share=0.0 institutional_share=0.05 related_bd=true related_bank=false bd_reps=104.0derived

Advisors registered through the firm

615 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
Mark Robert Lookabill	Omaha, Ne	Jul 1, 2011	26 y	1
Jason Donald Comes	Omaha, Ne	Jul 1, 2011	34 y	1
John Edward Saunders	Omaha, Ne	Jul 30, 2012	28 y	4
Scott Douglas Ford	Hagerstown, Md	Jul 30, 2012	30 y	2
Scott Duane Toms	Hagerstown, Md	Jul 30, 2012	25 y	2
Elizabeth A Schanou	Omaha, Ne	Oct 5, 2012	20 y	0
Jamie Marie CarrollCertified Financial Planner	Omaha, Ne	Apr 24, 2013	21 y	3
Daniel Todd Barker	Omaha, Ne	Apr 24, 2013	29 y	5
Jeffrey Wayne Maynard	Omaha, Ne	Apr 24, 2013	23 y	6
Michael Shane David	Omaha, Ne	Apr 24, 2013	29 y	5
Alan Lee Wright	The Woodlands, Tx	May 10, 2013	25 y	4
Bradley Allen Dillon	San Rafael, Ca	Oct 9, 2013	28 y	4
Mark Harvey Schlipman	Quincy, Il	Oct 29, 2013	28 y	1
Neal Anthony Mcgrath	North Canton, Oh	Dec 9, 2013	28 y	2
Thomas Scott Brown	Canonsburg, Pa	Dec 10, 2013	25 y	2
Robert Joe Holdford	Omaha, Ne	Feb 10, 2014	39 y	2
Faron Lee Alan DaugsCertified Financial Planner	Omaha, Ne	Mar 6, 2014	35 y	2
Michael Gary Edwards	Omaha, Ne	Mar 20, 2014	33 y	5
Jeffrey Paul FattigCertified Financial Planner	Lake Jackson, Tx	Jun 13, 2014	21 y	1
Richard Roberts Robie	Lake Jackson, Tx	Jun 16, 2014	41 y	1
Mohamed Sayeed Ali	Quincy, Il	Aug 8, 2014	17 y	1
Jonathan Edward Mullins	Johnson City, Tn	Aug 20, 2014	18 y	4
Paul Michael WestCertified Financial Planner	Omaha, Ne	Sep 23, 2014	27 y	3
Randy W HarrisonChartered Financial Consultant	Omaha, Ne	Nov 21, 2014	23 y	1
Clifford John YorkChartered Financial Consultant	Omaha, Ne	Jan 15, 2015	24 y	5
Ronald Steven Lee	Omaha, Ne	Mar 23, 2015	28 y	1
Debra Helen TaylorPersonal Financial Specialist	Franklin Lakes, Nj	Jun 12, 2015	24 y	3
Michele M Schreck	Omaha, Ne	Aug 21, 2015	33 y	0
Todd Joseph MelerineCertified Financial Planner	Slidell, La	Sep 14, 2015	26 y	1
John Allan McewanCertified Financial Planner	Vancouver, Wa	Oct 13, 2015	38 y	1
Eric John Mcewan	Vancouver, Wa	Oct 16, 2015	20 y	1
Robert Patrick Taylor	Franklin Lakes, Nj	Nov 30, 2015	11 y	0
Derek Anthony PestaCertified Financial Planner	Omaha, Ne	Jan 8, 2016	11 y	1
J. Hunter HartCertified Financial Planner	Bethesda, Md	Jan 27, 2016	14 y	2
Marc Scott SchlieferCertified Financial Planner	Bethesda, Md	Feb 3, 2016	47 y	2
James Ley QuigleyCertified Financial Planner	Omaha, Ne	Mar 17, 2016	34 y	2
Douglas Scott FlukeCertified Financial Planner	Atlanta, Ga	May 11, 2016	28 y	3
Zachary Lawrence Langan	Georgetown, Tx	Jul 25, 2016	15 y	1
Robert Wayne HuntleyCertified Financial Planner, Chartered Financial Consultant	Georgetown, Tx	Jul 26, 2016	41 y	1
Carlas Bradford Allgood	Omaha, Ne	Aug 16, 2016	42 y	3

All 615 advisors at Cwm, LLC

Advisor movement

36 left, 100 joined in 12 months

net +64 in 12 months7 left in 90 days25 joined in 90 daysdeparture rate 5.5% of current headcount135 left over 36 months

Left, latest

Luke Daniel Eberly to Drost Financial
Sep 9, 2026 · Affiliated broker-dealer or bank to a state-registered adviser
Austin James Delery to Entrewealth
Sep 9, 2026 · Affiliated broker-dealer or bank to independent RIA
Leonard Thomas Arthur Hirst to Hirst Financial Independence Planning, Inc.
Aug 18, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
Michael Espinoza to State Farm Investment Management Corp.
Jul 22, 2026 · Other
Paul D Bishop to Exceptional Wealth & Family Office
Jul 14, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
Beth Vivian Walker to Exceptional Wealth & Family Office
Jul 14, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
Nicholas Richard Simonson to Brindle & Bay Financial Advisors, LLC
Jun 23, 2026 · Affiliated broker-dealer or bank to independent RIA
Anna Leigh Green to Wealthcare Advisory Partners LLC
Jun 16, 2026 · Affiliated broker-dealer or bank to another
Kimberly Ann Flynn to Cerity Partners LLC
Jun 11, 2026 · Affiliated broker-dealer or bank to independent RIA
Scott E Grooms to Cetera Investment Advisers LLC
Jun 2, 2026 · Affiliated broker-dealer or bank to another
Halley Maclise Craig to Mercer Global Advisors Inc.
Jun 2, 2026 · Affiliated broker-dealer or bank to independent RIA
Lucas John Thompson to Trillium Wealth LLC
May 1, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
Cherry Gayle Laska to Capital Financial Services LLC
May 1, 2026 · Affiliated broker-dealer or bank to independent RIA
Steven Mitchell Laska to Trillium Wealth LLC
May 1, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
Thomas Avery Skelley to Trillium Wealth LLC
May 1, 2026 · Affiliated broker-dealer or bank to a newly registered adviser

Joined, latest

Natasha Nasha Allen from LPL Financial LLC
Sep 16, 2026 · Affiliated broker-dealer or bank to another
Teal Madison Schoonover from UBS Financial Services Inc.
Aug 25, 2026 · Wirehouse to affiliated broker-dealer or bank
Jeremy Doak Cheatham from Transce3nd LLC
Aug 19, 2026 · RIA to affiliated broker-dealer or bank
Kurt William Mattson from Northwestern Mutual Investment Services,LLC
Aug 17, 2026 · Other
Walter Eric Eaves from Ameriprise Financial Services, LLC
Aug 17, 2026 · Affiliated broker-dealer or bank to another
Olivia Denise Payne from Northwestern Mutual Investment Services,LLC
Aug 17, 2026 · Other
Kristen Laundry from Wells Fargo Advisors
Jul 28, 2026 · Wirehouse to affiliated broker-dealer or bank
Nancy St Aubin from Wells Fargo Advisors
Jul 27, 2026 · Wirehouse to affiliated broker-dealer or bank
Stephen Loughman from Wells Fargo Advisors
Jul 27, 2026 · Wirehouse to affiliated broker-dealer or bank
Jessica Marie Matheson from Wells Fargo Advisors
Jul 27, 2026 · Wirehouse to affiliated broker-dealer or bank
Brian Doyle from Wells Fargo Advisors
Jul 27, 2026 · Wirehouse to affiliated broker-dealer or bank
Michele Mardanes from Wells Fargo Advisors
Jul 27, 2026 · Wirehouse to affiliated broker-dealer or bank
Bradley Ross Michalchuk from Wells Fargo Advisors
Jul 27, 2026 · Wirehouse to affiliated broker-dealer or bank
Thomas Alphonse Wenthen from LPL Financial LLC
Jul 22, 2026 · Affiliated broker-dealer or bank to another
Patricia Rivera from Edward Jones
Jul 21, 2026 · Affiliated broker-dealer or bank to another

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

2 left for Exceptional Wealth & Family Office
Jul 14, 2026 · Colorado Springs, Co
2 left for Trillium Wealth LLC
May 1, 2026 · Yorkville, Il
3 left for Trillium Wealth LLC
May 1, 2026 · Omaha, Ne
2 left for Inspire Advisors, LLC
Dec 31, 2025 · Statesville, Nc
2 left for Newedge Advisors
Dec 15, 2025 · Okemos, Mi
2 left for Mariner Independent
Sep 22, 2025 · Omaha, Ne
2 left for Integrated Wealth Concepts LLC
Apr 1, 2025 · Creve Coeur, Mo
2 left for Cetera Advisor Networks LLC
Oct 17, 2024 · Omaha, Ne

2 joined from Pinnacle Wealth Management, LLC
Sep 9, 2026 · Carmichael, Ca
2 joined from Northwestern Mutual Investment Services,LLC
Aug 17, 2026 · Atlanta, Ga
7 joined from Wells Fargo Advisors
Aug 5, 2026 · Lebanon, Nh
2 joined from LPL Financial LLC
Jun 3, 2026 · Springdale, Ar
2 joined from LPL Financial LLC
Jun 1, 2026 · Edmond, Ok
5 joined from Harbor Wealth Management, LLC
Apr 27, 2026 · Green Bay, Wi · Firm absorbed
3 joined from Crescent Financial Advisors
Mar 30, 2026 · Seneca, Sc · Firm absorbed
13 joined from Total Wealth Planning, LLC
Mar 23, 2026 · Cincinnati, Oh · Firm absorbed

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

Daniel Mark Applegarth · Cfocontrol
since 04/2024 · owns less than 5%
Thomas John Boyle · Svp, Ria Operationscontrol
since 01/2025 · owns less than 5%
Rose Omani Carson · Founder And Chairmancontrol
since 11/2010 · owns less than 5%
James Clements · Chief Compliance Officercontrol
since 09/2020 · owns less than 5%
Lantz Hunt · Svp, Chief Integrations Officercontrol
since 03/2025 · owns less than 5%
Kristin Streff · Chief Compliance Officercontrol
since 04/2026 · owns less than 5%
Burton George White · Ceocontrol
since 10/2023 · owns less than 5%
Lloyd Ronald Carson · Ownercontrol
since 12/1994 · owns 75% or more of Carson Group, Inc.

Entity owners

Carson Group Holdings, LLC · Direct Owner
direct · owns 75% or more
Bcc Blueprint Holdings I, LLC · Direct Owner
indirect · owns 75% or more of Bcc Blueprint Holdings II, LLC
Bcc Blueprint Holdings II, LLC · Direct Owner
indirect · owns 25% to 50% of Carson Group Holdings, LLC
Bcc Blueprint Investments, LP · Direct Owner
indirect · owns 75% or more of Bcc Blueprint Holdings I, LLC
Carson Group, Inc. · Direct Owner
indirect · owns 25% to 50% of Carson Group Holdings, LLC

Related persons

Schedule D 7.A

Carson Group Brokerage, LLC
broker-dealern
Carson Group Investing
investment advisernRAUM $2.0B
Northwest Capital Management Inc.
broker-dealerinvestment adviserreal estatenRAUM $8.5B

Advisers that list Cwm, LLC as a related person

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out
Omaha, Ne · principal	615	140	12	2
Scottsdale, Az	18	2	0
Amarillo, Tx	16	0	0
Baton Rouge, La	15	2	0
Palatine, Il	13	2	0
Southlake, Tx	13	1	0
Overland Park, Ks	12	2	0
Cedar Rapids, Ia	12	1	0
Green Bay, Wi	11	6	0
Cincinnati, Oh	11	11	1
Wichita, Ks	10	0	0
Lake Oswego, Or	10	2	0
Englewood, Co	10	0	0
Yuma, Az	8	0	0
Westport, Ct	8	1	0
Hastings, Ne	8	1	0
Lebanon, Nh	7	7	0
Atlanta, Ga	7	3	0
Arvada, Co	7	2	0
Valparaiso, In	7	0	0

All 60 offices

Post-acquisition retention

advisors of absorbed firms still registered here after the move

Firms absorbed: 21 since 2015, 11 in 24 monthsderived
Advisors acquired: 94derived
Still registered after 90 days: 96% of 94derived
After 180 days: 96% of 73derived
After 365 days: 85% of 55derived
After 730 days: 72% of 36derived
Team lift-outs after: 87derivedteams that left this firm within two years of an absorption

Lower bound: a person who left the industry is on neither side of the tape, and a re-registration to an affiliated CRD of the same group counts as a departure.

Offices

Schedule D 1.F, the 25 largest

Omaha, NE12 employees
Palatine, IL10 employees
Hastings, NE9 employees
Scottsdale, AZ9 employees
Amarillo, TX9 employees
Yuma, AZ8 employees
Baton Rouge, LA8 employees
Lake Oswego, OR8 employees
Cedar Rapids, IA7 employees
Irvine, CA7 employees
Wichita, KS7 employees
Baton Rouge, LA6 employees
Doylestown, PA6 employees
Sioux Falls, SD6 employees
Hagerstown, MD6 employees
Atlanta, GA6 employees
Spokane, WA5 employees
Ann Arbor, MI4 employees
Westport, CT4 employees
Pittsburgh, PA4 employees
Foxborough, MA3 employees
Cockeyseville, MD3 employees
Salem, OR3 employees
Covington, KY3 employees
Indianapolis, IN3 employees

ADV anomalies

4 against comparable advisers; where to look, not conclusions

control person changedChange between filings · filing Sep 9, 2026
BOYLE, JOHN, THOMAS (SVP, RIA OPERATIONS) appeared on Schedule A between the filings of 2024-04-26 and 2026-09-09
peers: affiliated wealth managers, $20B and over (50)
control person changedChange between filings · filing Sep 9, 2026
Streff, Kristin (CHIEF COMPLIANCE OFFICER) appeared on Schedule A between the filings of 2024-04-26 and 2026-09-09
peers: affiliated wealth managers, $20B and over (50)
control person changedChange between filings · filing Sep 9, 2026
Clements, James (CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2024-04-26 and 2026-09-09
peers: affiliated wealth managers, $20B and over (50)
advisor count dropChange between filings · filing Apr 28, 2026
advisory representatives (Item 5.B.3) moved from 545.0 to 287.0 (-47.0%) between the annual amendments of 2025-04-16 and 2026-04-28; the peer median change was +7.0% (49 comparable advisers, 2.0th percentile of changes)
peers: affiliated wealth managers, $20B and over (49) · 2.1% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Financial planning clients · More than 500 to More than 500
Aug 17, 2026 to Sep 9, 2026
Succession · false to unset
Aug 17, 2026 to Sep 9, 2026
Accounts · 124,944 to 154,206
Jan 27, 2026 to Feb 24, 2026
Advisory employees · 456 to 472
Jan 27, 2026 to Feb 24, 2026
BD registered reps · 213 to 104
Jan 27, 2026 to Feb 24, 2026
Corporate clients · 349 to 339
Jan 27, 2026 to Feb 24, 2026
HNW clients · 6,848 to 7,231
Jan 27, 2026 to Feb 24, 2026
Individual clients · 36,441 to 45,032
Jan 27, 2026 to Feb 24, 2026
Pension plan clients · 68 to 67
Jan 27, 2026 to Feb 24, 2026
Assets in custody · $16B to $30B
Jan 27, 2026 to Feb 24, 2026
Employees · 1,314 to 1,416
Jan 27, 2026 to Feb 24, 2026
Insurance-licensed employees · 42 to 38
Jan 27, 2026 to Feb 24, 2026
State-registered IARs · 545 to 287
Jan 27, 2026 to Feb 24, 2026
Discretionary RAUM · $33B to $49B
Jan 27, 2026 to Feb 24, 2026
HNW RAUM · $17B to $22B
Jan 27, 2026 to Feb 24, 2026
Individual RAUM · $13B to $24B
Jan 27, 2026 to Feb 24, 2026
Non-discretionary RAUM · $471M to $1.1B
Jan 27, 2026 to Feb 24, 2026
Pension RAUM · $1.8B to $2.3B
Jan 27, 2026 to Feb 24, 2026
RAUM · $34B to $51B
Jan 27, 2026 to Feb 24, 2026
Financial planning clients · More than 500 to More than 500
Jun 23, 2025 to Jul 30, 2025
Accounts · 110,327 to 124,944
Feb 24, 2025 to Apr 16, 2025
Advisory employees · 354 to 456
Feb 24, 2025 to Apr 16, 2025
BD registered reps · 270 to 213
Feb 24, 2025 to Apr 16, 2025
Corporate clients · 464 to 349
Feb 24, 2025 to Apr 16, 2025
HNW clients · 7,275 to 6,848
Feb 24, 2025 to Apr 16, 2025
Individual clients · 31,916 to 36,441
Feb 24, 2025 to Apr 16, 2025
Pension plan clients · 46 to 68
Feb 24, 2025 to Apr 16, 2025
Assets in custody · $13B to $16B
Feb 24, 2025 to Apr 16, 2025
Employees · 1,111 to 1,314
Feb 24, 2025 to Apr 16, 2025
Insurance-licensed employees · 25 to 42
Feb 24, 2025 to Apr 16, 2025
State-registered IARs · 475 to 545
Feb 24, 2025 to Apr 16, 2025
Discretionary RAUM · $27B to $33B
Feb 24, 2025 to Apr 16, 2025
HNW RAUM · $16B to $17B
Feb 24, 2025 to Apr 16, 2025
Individual RAUM · $8.3B to $13B
Feb 24, 2025 to Apr 16, 2025
Non-discretionary RAUM · $24.3M to $471M
Feb 24, 2025 to Apr 16, 2025
Pension RAUM · $1.2B to $1.8B
Feb 24, 2025 to Apr 16, 2025
RAUM · $27B to $34B
Feb 24, 2025 to Apr 16, 2025
Accounts · 96,956 to 110,327
Mar 11, 2024 to Mar 28, 2024
Corporate clients · 326 to 464
Mar 11, 2024 to Mar 28, 2024
HNW clients · 5,244 to 7,275
Mar 11, 2024 to Mar 28, 2024

Signals

60 dated events

Natasha Nasha Allen registered as an investment adviser representative at Cwm, Llc
Sep 16, 2026 · Advisor registered · fact
Brent Jameson Petty added a TX registration at Cwm, Llc
Sep 16, 2026 · New state registration · fact
Victor Stanley Deane added a TX registration at Cwm, Llc
Sep 15, 2026 · New state registration · fact
Hannah Laura Johnson added a IA registration at Cwm, Llc
Sep 15, 2026 · New state registration · fact
Benjamin Avery Johnson added a TX registration at Cwm, Llc
Sep 15, 2026 · New state registration · fact
Fred Shocket added a TX registration at Cwm, Llc
Sep 14, 2026 · New state registration · fact
Hector Alan Gama added a TX registration at Cwm, Llc
Sep 14, 2026 · New state registration · fact
Scott Andrew Conroy added a AL registration at Cwm, Llc
Sep 14, 2026 · New state registration · fact
Luke Daniel Eberly left Cwm, Llc for Drost Financial (registered 2026-09-10)
Sep 9, 2026 · Advisor changed firm · fact
2 advisors left Pinnacle Wealth Management, LLC (Carmichael, CA) for Cwm, LLC on the same day
Sep 9, 2026 · Team lift-out · derived
Austin James Delery left Cwm, LLC for Entrewealth (registered 2026-09-15)
Sep 9, 2026 · Advisor changed firm · fact
Leonard Thomas Arthur Hirst left Cwm, Llc for Hirst Financial Independence Planning, Inc. (registered 2026-07-23)
Aug 18, 2026 · Advisor changed firm · fact
2 advisors left Northwestern Mutual Investment Services,Llc (Atlanta, GA) for Cwm, LLC within 3 days
Aug 17, 2026 · Team lift-out · derived
7 advisors left Wells Fargo Advisors (Lebanon, NH) for Cwm, LLC on the same day
Aug 5, 2026 · Team lift-out · derived
Beth Vivian Walker left Cwm, Llc for Exceptional Wealth & Family Office (registered 2026-06-30)
Jul 14, 2026 · Advisor changed firm · fact
Paul D Bishop left Cwm, Llc for Exceptional Wealth & Family Office (registered 2026-06-30)
Jul 14, 2026 · Advisor changed firm · fact
2 advisors left Cwm, LLC (Colorado Springs, CO) for Exceptional Wealth & Family Office on the same day
Jul 14, 2026 · Team lift-out · derived
Nicholas Richard Simonson left Cwm, Llc for Brindle & Bay Financial Advisors, Llc (registered 2026-07-10)
Jun 23, 2026 · Advisor changed firm · fact
Anna Leigh Green left Cwm, Llc for Wealthcare Advisory Partners Llc (registered 2026-08-05)
Jun 16, 2026 · Advisor changed firm · fact
Kimberly Ann Flynn left Cwm, Llc for Cerity Partners Llc (registered 2026-09-09)
Jun 11, 2026 · Advisor changed firm · fact
2 advisors left LPL Financial LLC (Springdale, AR) for Cwm, LLC on the same day
Jun 3, 2026 · Team lift-out · derived
Halley Maclise Craig left Cwm, Llc for Mercer Global Advisors Inc. (registered 2026-07-01)
Jun 2, 2026 · Advisor changed firm · fact
Scott E Grooms left Cwm, Llc for Cetera Investment Advisers Llc (registered 2023-06-29)
Jun 2, 2026 · Advisor changed firm · fact
2 advisors left LPL Financial LLC (Edmond, OK) for Cwm, LLC within 2 days
Jun 1, 2026 · Team lift-out · derived
Thomas Avery Skelley left Cwm, Llc for Trillium Wealth Llc (registered 2026-04-30)
May 1, 2026 · Advisor changed firm · fact
Ashley Nicole Janosek left Cwm, Llc for Trillium Wealth Llc (registered 2026-04-30)
May 1, 2026 · Advisor changed firm · fact
Matthew James Gomoll left Cwm, Llc for Trillium Wealth Llc (registered 2026-04-30)
May 1, 2026 · Advisor changed firm · fact
Lucas John Thompson left Cwm, Llc for Trillium Wealth Llc (registered 2026-04-30)
May 1, 2026 · Advisor changed firm · fact
James Henry Smith left Cwm, Llc for Trillium Wealth Llc (registered 2026-05-08)
May 1, 2026 · Advisor changed firm · fact
Cherry Gayle Laska left Cwm, Llc for Capital Financial Services Llc (registered 2023-01-10)
May 1, 2026 · 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

Firm profile: linkedin.com/company/signalwealthreportedpublic record, Form ADV, Sep 17, 2026
Firm profile: linkedin.com/company/carsoncoachingreportedpublic record, Form ADV, Sep 17, 2026
Website: myfortisfp.comreportedpublic record, Form ADV, Sep 17, 2026
Principal office phone: 402-330-0808reportedpublic record, Form ADV, Sep 9, 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: $76.6Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026