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.
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SEC-registered adviser
A••••••• A••••••• S•••••••• L••
Latest filing Jul 20, 2026
First filing on the tape Oct 15, 2021 · 27 filings
SEC status approved since Jan 13, 1998
RAUM
$14B
reported, Item 5.F
Discretionary
52%
of RAUM
Private clients
96%
$13B individuals and HNW
Advisors
549
registered through the firm on IAPD
RAUM per advisor
$25.0M
derived; firm RAUM over IAPD count
Employees
797
366 advisory (5.B.1)
Offices
247
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$14B as of Jul 20, 2026
Mar 1, 2022$9.5B then
HNW client RAUM$4.2B as of Jul 20, 2026
Mar 1, 2022$2.3B then
State-registered IARs (5.B.3)426 as of Jul 20, 2026
Mar 1, 2022577 then
Employees (5.A)797 as of Jul 20, 2026
Mar 1, 2022611 then
Private funds: no history
RAUM +19% over the last fiscal year+17% a year over threeIARs 534 to 426offices 254 to 247
Practice profile
derived from the filing of Jul 20, 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
- p••••••• led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- retirement p••• adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $25.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 53derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.6MderivedHNW RAUM over HNW clients
- Average account
- $303,460derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 52%derivedof RAUM
- Institutional
- 1.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 2.2derived248 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- -20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +17%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
- Financial planning clients
- 1,000reportedItem 5.H
- Wrap fee program
- $2.0BreportedItem 5.I
- Custody
- $8.4B, 15,704 clientsreportedItem 9.A
- 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
- 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)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- a related person acts as qualified custodian (9.D.2)
- 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$9.0B65%
- High-net-worth individuals$4.2B30%
- Corporations and businesses$432M3.1%
- Charitable organizations$110M0.8%
- Pension and profit-sharing plans$41.6M0.3%
- Insurance companies$4.9M0.0%
- Individual clients
- 28,459reported
- HNW clients
- 904reported
- Pension plan clients
- 87reported
- Charitable clients
- 65reported
- Accounts
- 45,299reported
- Financial planning clients
- 1,000reported
- Wrap fee programs
- $383M sponsored, $0 managedreported
- Custody of client assets
- $8.4B for 15,704 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.01 related_bd=true related_bank=true bd_reps=422.0derived
Advisors registered through the firm
550 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• J•••••• R•••••• | Dallas, Tx | Nov 1, 2021 | 20 y | 1 |
| S•••• C••••••••• P••••• | Folsom, Ca | Nov 1, 2021 | 20 y | 1 |
| S•••• A•• R•••• | Melville, Ny | Nov 1, 2021 | 20 y | 0 |
| E•••• T• G••••• | Minster, Oh | Nov 1, 2021 | 13 y | 0 |
| J••••• J• P•••••• | Melville, Ny | Nov 1, 2021 | 20 y | 0 |
| P••••••• L•• | P•••O, Tx | Nov 1, 2021 | 20 y | 4 |
| T••••• J••••• G••••••Certified Financial Planner | Chesterfield, Mo | Nov 1, 2021 | 27 y | 0 |
| K•••• B•••• N•••••• | Rural Hall, Nc | Nov 1, 2021 | 21 y | 4 |
| P•••• B••••• C•••• | West Simsbury, Ct | Nov 1, 2021 | 41 y | 5 |
| G•••••• H•••• G••••• | Exeter, Ca | Nov 1, 2021 | 27 y | 2 |
| P•••• S•••••• F•••• | Ames, Ia | Nov 1, 2021 | 22 y | 0 |
| D••••• J• M•••• | Watertown, Ny | Nov 1, 2021 | 21 y | 0 |
| K•••• A• I••••• | Carmel, In | Nov 1, 2021 | 22 y | 0 |
| K•••• L• W••••• | Folsom, Ca | Nov 1, 2021 | 20 y | 0 |
| A••••• W•••••• R••• | Saint Libory, Ne | Nov 1, 2021 | 24 y | 0 |
| S•••• A•••• L•••••• | Boise, Id | Nov 1, 2021 | 32 y | 1 |
| M••••••• W•••••• O••••••Chartered Financial Consultant | White Plains, Ny | Nov 1, 2021 | 45 y | 1 |
| G••••• P•••••• H•••••• | Boise, Id | Nov 1, 2021 | 26 y | 1 |
| D•••• L• S•••••• | Hickman, Ne | Nov 1, 2021 | 26 y | 0 |
| D•••• J•••• L••• | Bridgeville, Pa | Nov 1, 2021 | 24 y | 1 |
| B•••• K•••• M•••• | Dayton, Oh | Nov 1, 2021 | 26 y | 0 |
| B•••• L•••• H•••• | La Vista, Ne | Nov 1, 2021 | 26 y | 1 |
| W•••• D•••• S•••••• | Mandeville, La | Nov 1, 2021 | 24 y | 2 |
| K••••• T••••• C•••• C•••••• | Kalama, Wa | Nov 1, 2021 | 16 y | 1 |
| C•••• J••• R••••Certified Financial Planner | Flagstaff, Az | Nov 1, 2021 | 26 y | 2 |
| J•••••• C•••••• C••• | Brea, Ca | Nov 1, 2021 | 21 y | 3 |
| J••• C•••• S••••• | San Antonio, Tx | Nov 1, 2021 | 26 y | 2 |
| D••••• T••••••• B•••••••Certified Financial Planner | Greensboro, Nc | Nov 1, 2021 | 21 y | 2 |
| M•••••• D••• S••••••• | Flagstaff, Az | Nov 1, 2021 | 26 y | 0 |
| T••• M•••••• H••••••••• | Hickman, Ne | Nov 1, 2021 | 24 y | 1 |
| B•••• J• W••••••••• | Waverly, Ne | Nov 1, 2021 | 25 y | 0 |
| B•••••• R••••• T••••• | San Ramon, Ca | Nov 1, 2021 | 24 y | 0 |
| D••••• J••••• S•••••••• | Worthington, Oh | Nov 1, 2021 | 25 y | 0 |
| D••••• J• D•••••• | Beaufort, Sc | Nov 1, 2021 | 21 y | 0 |
| C••••• L•••• H••••••••• | Omaha, Ne | Nov 1, 2021 | 26 y | 0 |
| J••• M••••• G•••••• | Overland P•••, Ks | Nov 1, 2021 | 24 y | 0 |
| G•••••• J••••• N••••••••• | Matawan, Nj | Nov 1, 2021 | 23 y | 0 |
| J••••• D••••• R••••• | Lincoln, Ne | Nov 1, 2021 | 21 y | 1 |
| S•••• K•• M••• | Lincoln, Ne | Nov 1, 2021 | 27 y | 0 |
| P•••• M••••• T•••••••• | San Rafael, Ca | Nov 1, 2021 | 38 y | 1 |
Advisor movement
38 left, 35 joined in 12 months
net -3 in 12 months5 left in 90 days12 joined in 90 daysdeparture rate 6.9% of current headcount94 left over 36 months
Left, latest
- C••••• H••••• to C••••• C•••••• M•••••••••Sep 10, 2026 · Affiliated broker-dealer or bank to a state-registered adviser
- W•••••• A•••••• G•••••• C••••• to C••••• C•••••• M•••••••••Aug 12, 2026 · Affiliated broker-dealer or bank to a state-registered adviser
- E•••• S•••• A••••• to K•• P•••••• W••••• M•••••••••Aug 4, 2026 · Affiliated broker-dealer or bank to independent RIA
- B•••• M•••••• S•••• to O•••• W•••••• I•••Jul 31, 2026 · Affiliated broker-dealer or bank to another
- T••••• R•••••• H••••• to A•• S•••••••• W•••••Jun 29, 2026 · Affiliated broker-dealer or bank to a state-registered adviser
- L••••• K••••• T••••••• to S••••••••• L••Jun 18, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
- F••• K••••• S••••••• to L•• E••••••••• L••Jun 18, 2026 · Affiliated broker-dealer or bank to another
- P••• W•••••• M••••• to S•••••••• F•••••••• C•••••••• L••Jun 9, 2026 · Affiliated broker-dealer or bank to independent RIA
- R•• A•••••••• N•••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••May 26, 2026 · Affiliated broker-dealer or bank to wirehouse
- K••• T•••••• G••••••• to O••••••• W••••• P•••••••May 20, 2026 · Affiliated broker-dealer or bank to independent RIA
- W•••••• W••••• W•••••• to L•• E••••••••• L••May 19, 2026 · Affiliated broker-dealer or bank to another
- N••••• C•••••• G•••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••May 12, 2026 · Affiliated broker-dealer or bank to another
- C•••• G•••••••• to O••••••• W••••• P•••••••May 6, 2026 · Affiliated broker-dealer or bank to independent RIA
- A••• T•••••• to S•••••• N••••••• • C••••••• I•••••••••May 6, 2026 · Affiliated broker-dealer or bank to another
- P•••• L•••• W•• to P•••••••• S••••••••• I•••Apr 28, 2026 · Affiliated broker-dealer or bank to another
Joined, latest
- S••• C• D•••••• from E••••• J••••Sep 15, 2026 · Affiliated broker-dealer or bank to another
- J•••• C••••••••• S•••••• from A••••••• F•••••••• A•••••••• L••Sep 2, 2026 · Affiliated broker-dealer or bank to another
- J•••• T•••• W••••• from T••••••••• R••••••••• A•••••••• L••Aug 20, 2026 · Affiliated broker-dealer or bank to another
- A•••• D••••• H••••• from A•• F••••••••• L••Aug 11, 2026 · Other
- O••••• M• L••••• from T••••••• A•••••• N••••••• L••Jul 14, 2026 · Affiliated broker-dealer or bank to another
- D•••• M• L•••••••• from P••• A••••• S••••••••• L••Jul 13, 2026 · Affiliated broker-dealer or bank to another
- E••• L•• M••••••• from S•••••••• A••••••• L••Jul 8, 2026 · Affiliated broker-dealer or bank to another
- B•••• K•••• M•••••• from S•••• F••• I••••••••• M••••••••• C••••Jul 1, 2026 · Other
- K••••••• M•••• from M•• I•••••••• S•••••••• L••Jul 1, 2026 · Affiliated broker-dealer or bank to another
- D••••• J• F•••• from U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••Jun 26, 2026 · RIA to affiliated broker-dealer or bank
- R••••• W•••• S••••••••• from M•• I•••••••• S•••••••• L••Jun 25, 2026 · Affiliated broker-dealer or bank to another
- C••••••••• P••••••• from V••• R••••••••• A•••••••• L••Jun 22, 2026 · Other
- G•••• A••• H•••••• from H•••••• I••••••••• I•••Jun 5, 2026 · RIA to affiliated broker-dealer or bank
- R•••••• C••• from L•• F•••••••• L••May 28, 2026 · Affiliated broker-dealer or bank to another
- L••• R•••••• H••••• from L•• E••••••••• L••May 13, 2026 · Affiliated broker-dealer or bank to another
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for O••••••• W••••• P•••••••May 6, 2026 · Presque Isle, Me
- 2 left for W•••• F•••• A•••••••Mar 31, 2026 · W Des Moines, Ia
- 3 left for L•• F•••••••• L••Feb 24, 2026 · Houston, Tx
- 2 left for I••••••••• F•••••••• G••••• L••Feb 20, 2026 · Everett, Wa
- 2 left for D••••• W••••• G••••Dec 31, 2025 · Ontario, Ca
- 4 left for R•••••• J•••• F•••••••• S••••••• A•••••••• I••Sep 18, 2024 · Toledo, Oh
- 4 left for T•• A•••••••• I•••Jun 6, 2024 · Los Angeles, Ca
- 3 left for E••••••• W••••• A•••••••Nov 21, 2023 · A•••••, Tx
- 2 joined from H•••••• T••••••• • K•••• L••May 2, 2025 · Hauppauge, Ny
- 2 joined from V•••• F•••••••• A•••••••• I•••Apr 1, 2024 · Boca Raton, Fl
- 5 joined from T•• A••••• G••••• L••May 15, 2023 · Homewood, Al
- 2 joined from T•• A••••• G••••• L••May 15, 2023 · Virginia Beach, Va
- 13 joined from 2•••• C•••••• M••••••••• I••Jan 2, 2019 · Costa Mesa, Ca
- 2 joined from A••••••• F•••••••• A•••••••• L••May 23, 2017 · Lincoln, Ne
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• R•••• C•••••• · Member, Board Of Directorscontrolsince 01/2020 · owns less than 5%
- B•••••••• R••••••• A•••• · Vice President, Service & Operationscontrolsince 12/2021 · owns less than 5%
- B•••• R•••••• L••• · Second Vp, Financial Reportingcontrolsince 03/2026 · owns less than 5%
- C•••• O••••••• R••••• · Member, Board Of Directorscontrolsince 03/2026 · owns less than 5%
- D••••• S••••••• M•••• · Second Vice President, Sales Supervisioncontrolsince 06/2022 · owns less than 5%
- H••••••••• K••••• J•• · Member, Board Of Directors Supervisioncontrolsince 08/2024 · owns less than 5%
- K•••••••• M••••••• J••• · Vice President & Chief Compliance Officercontrolsince 06/2022 · owns less than 5%
- K••••• J•••••••• A•• · Vice President, Public Financecontrolsince 01/2022 · owns less than 5%
- K••••• B••••• F•••••• · Member, Board Of Directorscontrolsince 01/2020 · owns less than 5%
- M•••• B••••••• M•••••• · President & Board Of Directorscontrolsince 06/2022 · owns less than 5%
- N••••••••• C••••••••• M••••• · Corporate Secretarycontrolsince 01/2020 · owns less than 5%
- R•••••• J•••••• M•••••• · Presidentcontrolsince 12/2024 · owns less than 5%
- S••••••••• T••••• J••••• · Corporate Secretarycontrolsince 05/2022 · owns less than 5%
- S••••••••• M••••• E•••••••• · Second Vp, Compliancecontrolsince 01/2020 · owns less than 5%
- S••••••••• M••••••• E••••• · Vice President & Managing Director, Public Financecontrolsince 01/2022 · owns less than 5%
- W••••••••• E••••••••• M••••••• · Regional Vp, Sales & Distributioncontrolsince 01/2023 · owns less than 5%
- W•• M••••••• X••••••• · Board Of Directorscontrolsince 01/2024 · owns less than 5%
Entity owners
- A••••••• L••• I•••••••• C•••• · Ownerdirect · owns 75% or more
- A••••••• H•••••• C•••••• · Ownerindirect · owns 75% or more of A••••••• L••• I•••••••• C••••
- A••••••• M••••• H•••••• C•••••• · Ownerindirect · owns 75% or more of A••••••• H•••••• C••••••
Related persons
Schedule D 7.A
- A••••••• A••••••Y Servicesbroker-dealercustodiannRAUM $7.8B
- A••••••• I••••••••• P•••••••• I•••investment adviserbankLP sponsornRAUM $29B
- A••••••• L••• I•••••••• C••••real estatey
- A••••••• L••• I•••••••• C•••• O• N•• Y•••real estaten
- V••••••• C••••••• A•••••• L••real estaten
Advisers that list A••••••• A••••••• S•••••••• L•• as a related person
- 109381 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Lincoln, Ne · principal | 69 | 7 | 1 | ||
| Folsom, Ca | 18 | 5 | 1 | ||
| Omaha, Ne | 16 | 1 | 1 | ||
| Toledo, Oh | 15 | 2 | 2 | ||
| San Ramon, Ca | 15 | 1 | 1 | ||
| Pittsburgh, Pa | 14 | 3 | 0 | ||
| Cincinnati, Oh | 13 | 2 | 1 | ||
| San F••••••Co, Ca | 12 | 0 | 0 | ||
| Dallas, Tx | 11 | 1 | 1 | ||
| Exeter, Ca | 10 | 3 | 1 | ||
| Melville, Ny | 9 | 0 | 1 | ||
| Homewood, Al | 9 | 1 | 0 | ||
| Roseville, Ca | 8 | 1 | 0 | ||
| Perrysburg, Oh | 8 | 2 | 1 | ||
| Carmel, In | 8 | 0 | 0 | ||
| Iowa City, Ia | 7 | 0 | 0 | ||
| Kearney, Ne | 7 | 1 | 0 | ||
| Rockville, Md | 6 | 0 | 0 | ||
| Boca Raton, Fl | 6 | 1 | 0 | ||
| Worthington, Oh | 6 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Lincoln, NE35 employees
- Iowa City, IA16 employees
- San F••••••Co, CA11 employees
- Melville, NY10 employees
- San Ramon, CA10 employees
- Folsom, CA9 employees
- Lincoln, NE9 employees
- Perrysburg, OH8 employees
- Dallas, TX8 employees
- Carmel, IN7 employees
- Cincinnati, OH7 employees
- Homewood, AL7 employees
- Memphis, TN6 employees
- Boca Raton, FL6 employees
- Flagstaff, AZ5 employees
- Watertown, NY5 employees
- Pittsburgh, PA5 employees
- Exeter, CA5 employees
- Roseville, CA5 employees
- Lincoln, NE5 employees
- W Des Moines, IA5 employees
- Lincoln, NE5 employees
- Toledo, OH4 employees
- Toledo, OH4 employees
- Kearney, NE4 employees
ADV anomalies
12 against comparable advisers; where to look, not conclusions
- control person c••••edChange between filings · filing Jul 20, 2026C•••• O••••••• R••••• (MEMBER, BOARD OF DIRECTORS) appeared on Schedule A between the filings of 2024-08-28 and 2026-07-20peers: affiliated wealth managers, $5B to $20B (53)
- control person c••••edChange between filings · filing Jul 20, 2026B•••• R•••••• L••• (SECOND VP, FINANCIAL REPORTING) appeared on Schedule A between the filings of 2024-08-28 and 2026-07-20peers: affiliated wealth managers, $5B to $20B (53)
- control person c••••edChange between filings · filing Jul 20, 2026S••••••••• M••••••• E••••• (VICE PRESIDENT & MANAGING DIRECTOR, PUBLIC FINANCE) left Schedule A between the filings of 2024-08-28 and 2026-07-20peers: affiliated wealth managers, $5B to $20B (53)
- control person c••••edChange between filings · filing Jul 20, 2026D••••• S••••••• M•••• (SECOND VICE PRESIDENT, SALES SUPERVISION) left Schedule A between the filings of 2024-08-28 and 2026-07-20peers: affiliated wealth managers, $5B to $20B (53)
- control person c••••edChange between filings · filing Jul 20, 2026S••••••••• M••••• E•••••••• (SECOND VP, COMPLIANCE) left Schedule A between the filings of 2024-08-28 and 2026-07-20peers: affiliated wealth managers, $5B to $20B (53)
- control person c••••edChange between filings · filing Jul 20, 2026M•••• B••••••• M•••••• (PRESIDENT & BOARD OF DIRECTORS) left Schedule A between the filings of 2024-08-28 and 2026-07-20peers: affiliated wealth managers, $5B to $20B (53)
- control person c••••edChange between filings · filing Jul 20, 2026W••••••••• E••••••••• M••••••• (REGIONAL VP, SALES & DISTRIBUTION) left Schedule A between the filings of 2024-08-28 and 2026-07-20peers: affiliated wealth managers, $5B to $20B (53)
- control person c••••edChange between filings · filing Jul 20, 2026K••••• B••••• F•••••• (MEMBER, BOARD OF DIRECTORS) left Schedule A between the filings of 2024-08-28 and 2026-07-20peers: affiliated wealth managers, $5B to $20B (53)
- control person c••••edChange between filings · filing Jul 20, 2026K••••• J•••••••• A•• (VICE PRESIDENT, PUBLIC FINANCE) left Schedule A between the filings of 2024-08-28 and 2026-07-20peers: affiliated wealth managers, $5B to $20B (53)
- control person c••••edChange between filings · filing Jul 20, 2026S••••••••• T••••• J••••• (CORPORATE SECRETARY) left Schedule A between the filings of 2024-08-28 and 2026-07-20peers: affiliated wealth managers, $5B to $20B (53)
- control person c••••edChange between filings · filing Jul 20, 2026N••••••••• C••••••••• M••••• (CORPORATE SECRETARY) left Schedule A between the filings of 2024-08-28 and 2026-07-20peers: affiliated wealth managers, $5B to $20B (53)
- HNW share shiftChange between filings · filing Mar 27, 2026HNW share of RAUM moved from 14.0% to 30.0% between the annual amendments of 2025-03-25 and 2026-03-27peers: affiliated wealth managers, $5B to $20B (53)
What changed
consecutive filings, newest first
- BD registered reps · 524 to 422Sep 19, 2025 to Mar 27, 2026
- Accounts · 41,501 to 45,299Sep 19, 2025 to Mar 27, 2026
- Advisory employees · 473 to 366Sep 19, 2025 to Mar 27, 2026
- Charity clients · 27 to 65Sep 19, 2025 to Mar 27, 2026
- Corporate clients · 242 to 202Sep 19, 2025 to Mar 27, 2026
- HNW clients · 163 to 904Sep 19, 2025 to Mar 27, 2026
- Individual clients · 24,960 to 28,459Sep 19, 2025 to Mar 27, 2026
- Pension plan clients · 239 to 87Sep 19, 2025 to Mar 27, 2026
- Assets in custody · $6.9B to $8.4BSep 19, 2025 to Mar 27, 2026
- Employees · 560 to 797Sep 19, 2025 to Mar 27, 2026
- State-registered IARs · 534 to 426Sep 19, 2025 to Mar 27, 2026
- Other offices · 254 to 247Sep 19, 2025 to Mar 27, 2026
- Discretionary RAUM · $6.4B to $7.2BSep 19, 2025 to Mar 27, 2026
- HNW RAUM · $1.7B to $4.2BSep 19, 2025 to Mar 27, 2026
- Individual RAUM · $9.2B to $9.0BSep 19, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $5.1B to $6.6BSep 19, 2025 to Mar 27, 2026
- Pension RAUM · $113M to $41.6MSep 19, 2025 to Mar 27, 2026
- RAUM · $12B to $14BSep 19, 2025 to Mar 27, 2026
- Wrap assets (sponsor) · $209M to $383MSep 19, 2025 to Mar 27, 2026
- Financial planning clients · More than 500 to More than 500Mar 25, 2025 to Jun 26, 2025
- Accounts · 39,033 to 41,501Feb 6, 2025 to Mar 25, 2025
- Advisory employees · 470 to 473Feb 6, 2025 to Mar 25, 2025
- BD registered reps · 531 to 524Feb 6, 2025 to Mar 25, 2025
- Charity clients · 48 to 27Feb 6, 2025 to Mar 25, 2025
- Corporate clients · 186 to 242Feb 6, 2025 to Mar 25, 2025
- HNW clients · 114 to 163Feb 6, 2025 to Mar 25, 2025
- Individual clients · 27,530 to 24,960Feb 6, 2025 to Mar 25, 2025
- Pension plan clients · 99 to 239Feb 6, 2025 to Mar 25, 2025
- Assets in custody · $7.6B to $6.9BFeb 6, 2025 to Mar 25, 2025
- Employees · 545 to 560Feb 6, 2025 to Mar 25, 2025
- Insurance-licensed employees · 8 to 0Feb 6, 2025 to Mar 25, 2025
- State-registered IARs · 545 to 534Feb 6, 2025 to Mar 25, 2025
- Other offices · 238 to 254Feb 6, 2025 to Mar 25, 2025
- Discretionary RAUM · $5.2B to $6.4BFeb 6, 2025 to Mar 25, 2025
- HNW RAUM · $1.2B to $1.7BFeb 6, 2025 to Mar 25, 2025
- Individual RAUM · $8.6B to $9.2BFeb 6, 2025 to Mar 25, 2025
- Non-discretionary RAUM · $5.1B to $5.1BFeb 6, 2025 to Mar 25, 2025
- Pension RAUM · $64.9M to $113MFeb 6, 2025 to Mar 25, 2025
- RAUM · $10B to $12BFeb 6, 2025 to Mar 25, 2025
- Wrap assets (sponsor) · $175M to $209MFeb 6, 2025 to Mar 25, 2025
Signals
60 dated events
- Amy Dannis Starkey no longer holds an investment adviser registration (last listed at A••••••• A••••••• S•••••••• L•• on the 2026-09-17 feed)Sep 17, 2026 · a•••••• registration ended · derived
- S••• C• D•••••• registered as an investment adviser representative at A••••••• A••••••• S•••••••• L••Sep 15, 2026 · a•••••• registered · fact
- J••• R••••• Feldman added a OH registration at A••••••• A••••••• S•••••••• L••Sep 15, 2026 · a•••••• state registration added · fact
- C••••• H••••• left A••••••• A••••••• S•••••••• L•• for C••••• C•••••• M••••••••• (registered 2026-09-15)Sep 10, 2026 · a•••••• firm c••••e · fact
- W•••••• A•••••• G•••••• C••••• left A••••••• A••••••• S•••••••• L•• for C••••• C•••••• M••••••••• (registered 2026-08-26)Aug 12, 2026 · a•••••• firm c••••e · fact
- E•••• S•••• A••••• left A••••••• A••••••• S•••••••• L•• for K•• P•••••• W••••• M••••••••• (registered 2026-08-21)Aug 4, 2026 · a•••••• firm c••••e · fact
- B•••• M•••••• S•••• left A••••••• A••••••• S•••••••• L•• for O•••• W•••••• I••• (registered 2026-08-31)Jul 31, 2026 · a•••••• firm c••••e · fact
- T••••• R•••••• H••••• left A••••••• A••••••• S•••••••• L•• for A•• S•••••••• W••••• (registered 2026-06-22)Jun 29, 2026 · a•••••• firm c••••e · fact
- L••••• K••••• T••••••• left A••••••• A••••••• S•••••••• L•• for S••••••••• L•• (registered 2026-07-01)Jun 18, 2026 · a•••••• firm c••••e · fact
- F••• K••••• S••••••• left A••••••• A••••••• S•••••••• L•• for L•• E••••••••• L•• (registered 2026-06-17)Jun 18, 2026 · a•••••• firm c••••e · fact
- P••• W•••••• M••••• left A••••••• A••••••• S•••••••• L•• for S•••••••• F•••••••• C•••••••• L•• (registered 2026-07-22)Jun 9, 2026 · a•••••• firm c••••e · fact
- R•• A•••••••• N•••••••• left A••••••• A••••••• S•••••••• L•• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2026-06-10)May 26, 2026 · a•••••• firm c••••e · fact
- K••• T•••••• G••••••• left A••••••• A••••••• S•••••••• L•• for O••••••• W••••• P••••••• (registered 2026-06-18)May 20, 2026 · a•••••• firm c••••e · fact
- W•••••• W••••• W•••••• left A••••••• A••••••• S•••••••• L•• for L•• E••••••••• L•• (registered 2026-05-11)May 19, 2026 · a•••••• firm c••••e · fact
- N••••• C•••••• G•••••• left A••••••• A••••••• S•••••••• L•• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2026-08-19)May 12, 2026 · a•••••• firm c••••e · fact
- C•••• G•••••••• left A••••••• A••••••• S•••••••• L•• for O••••••• W••••• P••••••• (registered 2026-04-23)May 6, 2026 · a•••••• firm c••••e · fact
- A••• T•••••• left A••••••• A••••••• S•••••••• L•• for S•••••• N••••••• • C••••••• I••••••••• (registered 2026-04-28)May 6, 2026 · a•••••• firm c••••e · fact
- 2 advisors left A••••••• A••••••• S•••••••• L•• (Presque Isle, ME) for O••••••• W••••• P••••••• within 14 daysMay 6, 2026 · Team lift-out · derived
- P•••• L•••• W•• left A••••••• A••••••• S•••••••• L•• for P•••••••• S••••••••• I••• (registered 2026-04-20)Apr 28, 2026 · a•••••• firm c••••e · fact
- T••••• D•••• B•••••• left A••••••• A••••••• S•••••••• L•• for R•••••• A••••••• (registered 2026-04-01)Apr 27, 2026 · a•••••• firm c••••e · fact
- J•••••• A•• S••••••••• left A••••••• A••••••• S•••••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2026-04-16)Apr 17, 2026 · a•••••• firm c••••e · fact
- C••••••••• C•••••• K••••• left A••••••• A••••••• S•••••••• L•• for W•••• F•••• A••••••• (registered 2026-03-23)Apr 13, 2026 · a•••••• firm c••••e · fact
- E••• W•••• R••••• left A••••••• A••••••• S•••••••• L•• for W•••• F•••• A••••••• (registered 2026-03-23)Mar 31, 2026 · a•••••• firm c••••e · fact
- 2 advisors left A••••••• A••••••• S•••••••• L•• (W Des Moines, IA) for W•••• F•••• A••••••• within 13 daysMar 31, 2026 · Team lift-out · derived
- A••••••• A••••••• S•••••••• L•• reported 247 offices beyond its principal office, down from 254 (2025-09-19 to 2026-03-27)Mar 27, 2026 · ria office count c••••e · derived
- A••••••• A••••••• S•••••••• L•• reported 426 state-registered advisory representatives, down from 534 (2025-09-19 to 2026-03-27)Mar 27, 2026 · ria a•••••• headcount c••••e · derived
- A•••••••• J••• B••••• left A••••••• A••••••• S•••••••• L•• for O••••••• W••••• P••••••• (registered 2026-04-03)Mar 23, 2026 · a•••••• firm c••••e · fact
- A••••• B••••• left A••••••• A••••••• S•••••••• L•• for E•• F•••••••• A••••••• (registered 2026-05-08)Mar 9, 2026 · a•••••• firm c••••e · fact
- A•• B•••• R••• left A••••••• A••••••• S•••••••• L•• for L•• F•••••••• L•• (registered 2026-02-22)Mar 6, 2026 · a•••••• firm c••••e · fact
- J••••• V•• H•••• left A••••••• A••••••• S•••••••• L•• for C••••• C•••••• M••••••••• (registered 2026-08-26)Mar 5, 2026 · a•••••• firm c••••e · 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
- a•••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 800-335-9858reportedpublic record, Form ADV, Jul 20, 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
- $25.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026