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.
Former SEC-registered adviser
Osaic Fa, Inc.
Latest filing Nov 18, 2024
First filing on the tape Dec 5, 2011 · 116 filings
SEC status approved since Oct 15, 1992
RAUM
$37B
reported, Item 5.F
Discretionary
27%
of RAUM
Private clients
96%
$36B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1,607
940 advisory (5.B.1)
Offices
412
beyond the principal office
Private funds
0
reported on Schedule D
History
116 filings and snapshots on the tape
RAUM$37B as of Mar 28, 2024
Mar 29, 2012$7.7B then
HNW client RAUM$605M as of Mar 28, 2024
Mar 31, 2018$9.1B then
State-registered IARs (5.B.3)1,173 as of Mar 28, 2024
Mar 28, 20131,419 then
Employees (5.A)1,607 as of Mar 28, 2024
Mar 28, 20131,419 then
Private funds: no history
RAUM +14% over the last fiscal year+6.6% a year over threeIARs 1,219 to 1,173offices 426 to 412
Practice profile
derived from the filing of Nov 18, 2024; every figure names its basis
- RAUM per advisor
- $31.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 87derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $360,303derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 27%derivedof RAUM
- Institutional
- 0.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 2.8derived413 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- -3.8%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.8%derived
- Compensation
- percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, educational seminars, otherreportedItem 5.G
- Financial planning clients
- 4,000reportedItem 5.H
- Wrap fee program
- $6.5BreportedItem 5.I
- Custody
- $13B, 33,707 clientsreportedItem 9.A
- Ownership
- a PE fund or sponsor is a 25 percent or greater owner on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
- 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 securities (9.B.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$35B95%
- Corporations and businesses$1.1B2.9%
- High-net-worth individuals$605M1.6%
- Pension and profit-sharing plans$209M0.6%
- Charitable organizations$92.3M0.2%
- Individual clients
- 101,267reported
- HNW clients
- 253reported
- Pension plan clients
- 401reported
- Charitable clients
- 115reported
- Accounts
- 103,063reported
- Financial planning clients
- 4,000reported
- Wrap fee programs
- $6.5B sponsored, $0 managedreported
- Custody of client assets
- $13B for 33,707 clientsreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- Bradford J. A. Byrns to Commonwealth Financial NetworkJan 27, 2025 · Affiliated broker-dealer or bank to another
- Gary Peter Salva to LPL Financial LLCJan 24, 2025 · Affiliated broker-dealer or bank to another
- Gary William Paul to LPL Financial LLCJan 24, 2025 · Affiliated broker-dealer or bank to another
- Christopher M Scuderi to LPL Financial LLCJan 23, 2025 · Affiliated broker-dealer or bank to another
- William Frank Matzinger to LPL Financial LLCJan 23, 2025 · Affiliated broker-dealer or bank to another
- Demetrius Russell to Cambridge Investment Research Advisors, Inc.Jan 22, 2025 · Affiliated broker-dealer or bank to another
- Holly Price Mackay to Cetera Investment Advisers LLCJan 16, 2025 · Affiliated broker-dealer or bank to another
- Alejandro Matias Jerez to Cambridge Investment Research Advisors, Inc.Jan 14, 2025 · Affiliated broker-dealer or bank to another
- Lucas Frederick Salerno to Cambridge Investment Research Advisors, Inc.Jan 9, 2025 · Affiliated broker-dealer or bank to another
- Yekaterina Teryokhina to Morgan StanleyJan 9, 2025 · Affiliated broker-dealer or bank to wirehouse
- Daniel F Flynn to Commonwealth Financial NetworkJan 8, 2025 · Affiliated broker-dealer or bank to another
- Matthew Robert Middleton to Cambridge Investment Research Advisors, Inc.Jan 8, 2025 · Affiliated broker-dealer or bank to another
- Brandi J Ames to Lincoln InvestmentJan 8, 2025 · Affiliated broker-dealer or bank to independent RIA
- Eric Michael Boddy to SpcJan 2, 2025 · Affiliated broker-dealer or bank to another
- Richard Scott Karp to Advisory Services NetworkDec 18, 2024 · Affiliated broker-dealer or bank to independent RIA
Joined, latest
- Claire Gracie from J.P. Morgan Securities LLCNov 8, 2024 · Wirehouse to affiliated broker-dealer or bank
- Corbett Atwell Mckinney from Wildes Financial Strategies, IncOct 8, 2024 · RIA to affiliated broker-dealer or bank
- Brian Morton from SeiaSep 20, 2024 · Affiliated broker-dealer or bank to another
- Francesca Milde from Ameriprise Financial Services, LLCSep 10, 2024 · Affiliated broker-dealer or bank to another
- Andrew C Gallik from Merrill Lynch, Pierce, Fenner & Smith IncorporatedAug 13, 2024 · Wirehouse to affiliated broker-dealer or bank
- Madison Rae Smith from MML Investors Services, LLCJul 30, 2024 · Affiliated broker-dealer or bank to another
- Brandon Walter Stukus from Kestra Advisory Services, LLCJul 19, 2024 · Affiliated broker-dealer or bank to another
- Yekaterina Teryokhina from Goldman Sachs Wealth Services, L.P.Jul 19, 2024 · Affiliated broker-dealer or bank to another
- Anthony Vito Berardi from Ameriprise Financial Services, LLCJun 28, 2024 · Affiliated broker-dealer or bank to another
- Evelyn Zuk from Northwestern Mutual Investment Services,LLCJun 14, 2024 · Other
- Rachel Lynn Endres from MML Investors Services, LLCMay 9, 2024 · Other
- Elisabeth Marie Collins from Janney Montgomery Scott LLCApr 29, 2024 · Affiliated broker-dealer or bank to another
- Amina R Gilchrist from Prudential Retirement Brokerage Services, Inc.Apr 12, 2024 · Other
- Steven William Moore from LPL Financial LLCApr 1, 2024 · Affiliated broker-dealer or bank to another
- Brandon Cawley from Campbell Wealth Management, Inc.Mar 8, 2024 · RIA to affiliated broker-dealer or bank
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for LPL Financial LLCJan 23, 2025 · Hartford, Ct
- 2 left for Cambridge Investment Research Advisors, Inc.Jan 14, 2025 · Miami, Fl
- 2 left for Cambridge Investment Research Advisors, Inc.Jan 8, 2025 · Fort Wayne, In
- 4 left for MarinerDec 3, 2024 · Sarasota, Fl
- 2 left for LPL Financial LLCNov 8, 2024 · Mobile, Al
- 4 left for LPL Financial LLCNov 7, 2024 · Westlake Village, Ca
- 4 left for LPL Financial LLCOct 21, 2024 · Cincinnati, Oh
- 2 left for MML Investors Services, LLCOct 14, 2024 · Irvine, Ca
- 4 joined from Valic Financial Advisors, Inc.Nov 15, 2023 · Nashua, Nh
- 3 joined from Valic Financial Advisors, Inc.Dec 6, 2022 · Westwood, Ks
- 2 joined from LPL Financial LLCSep 23, 2022 · Bronx, Ny
- 2 joined from Waddell & ReedMar 28, 2019 · Las Vegas, Nv
- 2 joined from Capital One Advisors, LLCJul 31, 2018 · Mclean, Va
- 2 joined from Osaic Institutions, Inc.Dec 19, 2017 · Weymouth, Ma
- 4 joined from Merrill Lynch, Pierce, Fenner & Smith IncorporatedDec 19, 2017 · El Segundo, Ca
- 2 joined from Sii Investments, Inc.Dec 8, 2017 · Williamsville, Ny
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Timothy David Bonisteel · Assistant Vice President And Chief Compliance Officercontrolsince 05/2024 · owns less than 5%
- Claude A. Campbell · Assistant Vice President And Aml Officercontrolsince 06/2018 · owns less than 5%
- Gregory Allen Cornick · Chairman And Directorcontrolsince 05/2024 · owns less than 5%
- John Robert Dimonda · President, Chief Executive Officer And Directorcontrolsince 05/2024 · owns less than 5%
- Matthew Adam Schlueter · Executive Vice President And Directorcontrolsince 05/2024 · owns less than 5%
- David Martin Schmidt · Finop And Treasurercontrolsince 05/2024 · owns less than 5%
- Jeffrey Jude Sheftic · Vice President, Chief Operations Officercontrolsince 03/2021 · owns less than 5%
- Edward Nigel Walters · Senior Vice Presidentcontrolsince 08/2019 · owns less than 5%
- Milton Ralph Berlinski · Investment Membercontrolsince 05/2024 · owns F of Mrb Icbc LLC
- Milton Ralph Berlinski · Membercontrolsince 05/2024 · owns 25% to 50% of Rcp Genpar Holdco LLC
- Milton Ralph Berlinski · General Partnercontrolsince 05/2024 · owns F of Rcp Genpar LP
- Milton Ralph Berlinski · Trusteecontrolsince 05/2024 · owns 25% to 50% of The Berlinski Family 2006 Trust
Entity owners
- Osaic Holdings, Inc. · Shareholderdirect · owns 75% or more
- Ag Artemis Holdings Gp, LLC · General Partnerindirect · owns F of Ag Artemis Holdings, L.P.
- Ag Artemis Holdings, L.P. · Shareholderindirect · owns 75% or more of Ag Intermediate Corporation
- Ag Intermediate Corporation · Shareholderindirect · owns 75% or more of Osaic Financial Services, Inc.
- Ag Parent Corporation · Shareholderindirect · owns 75% or more of Osaic Holdings, Inc.
- Mrb Icbc LLC · Memberindirect · owns 25% to 50% of Rcp Genpar Holdco LLC
- Osaic Financial Services, Inc. · Shareholderindirect · owns 75% or more of Ag Parent Corporation
- Osaic Holdings, Inc. · Shareholderindirect · owns 75% or more of Osaic, Inc.
- Rcp Artemis Co-Invest Gp LLC · General Partnerindirect · owns F of Rcp Artemis Co-Invest, L.P.
- Rcp Artemis Co-Invest, L.P. · Limited Partnerindirect · owns 50% to 75% of Ag Artemis Holdings, L.P.
- Rcp Genpar Holdco LLC · Limited Partnerindirect · owns 75% or more of Rcp Genpar LP
- Rcp Genpar LP · Limited Partnerindirect · owns 75% or more of Rcp Opp Fund II Gp, LP
- Rcp Opp Fund II Gp, LP · Limited Partnerindirect · owns 75% or more of Rcp Artemis Co-Invest Gp, LLC
- The Berlinski Family 2006 Trust · Memberindirect · owns 75% or more of Mrb Icbc LLC
Related persons
Schedule D 7.A
- American Portfolios Financial Services, Inc.broker-dealern
- Black Diamond Financial, LLCinvestment advisernRAUM $441M
- California Fringe Benefit And Insurance Marketing Coporationreal estaten
- Highland Capital Brokerage, Inc.real estaten
- Ladenburg Thalmann & Co. Inc.broker-dealern
- Ladenburg Thalmann Asset Management Incinvestment adviserpooled vehicle sponsornRAUM $6.7B
- Lfa, Limited Liability Companyreal estaten
- Osaic Advisory Services, LLCinvestment advisernRAUM $15B
- Osaic Fs, Inc.broker-dealerinvestment adviserreal estatenRAUM $4.5B
- Osaic Institutions, Inc.broker-dealerinvestment adviserreal estatenRAUM $6.5B
- Sagepoint Financial, Inc.broker-dealernRAUM $16B
- Osaic Wealth, Inc.broker-dealerinvestment adviserreal estatenRAUM $235B
- Premier Trust, Inc.n
- Vision2020 Wealth Management Corp.investment advisern
Advisers that list Osaic Fa, Inc. as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Annapolis, Md | 0 | 0 | 0 | ||
| Atlanta, Ga | 0 | 0 | 0 | ||
| Birmingham, Al | 0 | 0 | 0 | ||
| Blue Bell, Pa | 0 | 0 | 0 | ||
| Campbell, Ca | 0 | 0 | 0 | ||
| Casper, Wy | 0 | 0 | 0 | ||
| Charlotte, Nc | 0 | 0 | 0 | ||
| Cherry Hill, Nj | 0 | 0 | 0 | ||
| Chicago, Il | 0 | 0 | 0 | ||
| Cincinnati, Oh | 0 | 0 | 0 | ||
| Clarence, Ny | 0 | 0 | 0 | ||
| Clive, Ia | 0 | 0 | 0 | ||
| Columbus, Oh | 0 | 0 | 0 | ||
| Dallas, Tx | 0 | 0 | 0 | ||
| Denver, Co | 0 | 0 | 0 | ||
| East Amherst, Ny | 0 | 0 | 0 | ||
| Edina, Mn | 0 | 0 | 0 | ||
| Ellicott City, Md | 0 | 0 | 0 | ||
| Ephrata, Pa | 0 | 0 | 0 | ||
| Fort Wayne, In · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Radnor, PA75 employees
- Chicago, IL45 employees
- Orange Village, OH39 employees
- Irvine, CA33 employees
- Hartford, CT32 employees
- Hunt Valley, MD32 employees
- San Ramon, CA29 employees
- Vienna, VA27 employees
- San Ramon, CA24 employees
- Rochester, NY23 employees
- Paramus, NJ22 employees
- Sacramento, CA20 employees
- Columbus, OH19 employees
- Virginia Beach, VA19 employees
- Lutherville, MD17 employees
- Madison, WI17 employees
- Denver, CO17 employees
- Irvine, CA16 employees
- Cincinnati, OH16 employees
- Canonsburg, PA15 employees
- Houston, TX15 employees
- Berwyn, PA14 employees
- Red Bank, NJ14 employees
- Jericho, NY13 employees
- Cherry Hill, NJ12 employees
What changed
consecutive filings, newest first
- Business name · LINCOLN FINANCIAL ADVISORS CORPORATION to OSAIC FA, INC.Jun 6, 2024 to Aug 16, 2024
- Legal name · LINCOLN FINANCIAL ADVISORS CORPORATION to OSAIC FA, INC.Jun 6, 2024 to Aug 16, 2024
- Accounts · 98,199 to 103,063Mar 6, 2024 to Mar 28, 2024
- Advisory employees · 986 to 940Mar 6, 2024 to Mar 28, 2024
- BD registered reps · 1,690 to 1,607Mar 6, 2024 to Mar 28, 2024
- Charity clients · 88 to 115Mar 6, 2024 to Mar 28, 2024
- Corporate clients · 978 to 944Mar 6, 2024 to Mar 28, 2024
- HNW clients · 328 to 253Mar 6, 2024 to Mar 28, 2024
- Individual clients · 96,501 to 101,267Mar 6, 2024 to Mar 28, 2024
- Pension plan clients · 236 to 401Mar 6, 2024 to Mar 28, 2024
- Assets in custody · $11B to $13BMar 6, 2024 to Mar 28, 2024
- Employees · 1,690 to 1,607Mar 6, 2024 to Mar 28, 2024
- State-registered IARs · 1,219 to 1,173Mar 6, 2024 to Mar 28, 2024
- Other offices · 426 to 412Mar 6, 2024 to Mar 28, 2024
- Discretionary RAUM · $8.3B to $10BMar 6, 2024 to Mar 28, 2024
- HNW RAUM · $836M to $605MMar 6, 2024 to Mar 28, 2024
- Individual RAUM · $30B to $35BMar 6, 2024 to Mar 28, 2024
- Non-discretionary RAUM · $24B to $27BMar 6, 2024 to Mar 28, 2024
- Pension RAUM · $149M to $209MMar 6, 2024 to Mar 28, 2024
- RAUM · $33B to $37BMar 6, 2024 to Mar 28, 2024
- Wrap assets (sponsor) · $5.2B to $6.5BMar 6, 2024 to Mar 28, 2024
- Accounts · 111,465 to 98,199Feb 19, 2023 to Mar 30, 2023
- Advisory employees · 1,050 to 986Feb 19, 2023 to Mar 30, 2023
- BD registered reps · 1,710 to 1,690Feb 19, 2023 to Mar 30, 2023
- Charity clients · 250 to 88Feb 19, 2023 to Mar 30, 2023
- Corporate clients · 1,009 to 978Feb 19, 2023 to Mar 30, 2023
- HNW clients · 873 to 328Feb 19, 2023 to Mar 30, 2023
- Individual clients · 109,107 to 96,501Feb 19, 2023 to Mar 30, 2023
- Pension plan clients · 137 to 236Feb 19, 2023 to Mar 30, 2023
- Assets in custody · $13B to $11BFeb 19, 2023 to Mar 30, 2023
- Employees · 1,710 to 1,690Feb 19, 2023 to Mar 30, 2023
- State-registered IARs · 1,198 to 1,219Feb 19, 2023 to Mar 30, 2023
- Other offices · 409 to 426Feb 19, 2023 to Mar 30, 2023
- Discretionary RAUM · $9.2B to $8.3BFeb 19, 2023 to Mar 30, 2023
- HNW RAUM · $1.1B to $836MFeb 19, 2023 to Mar 30, 2023
- Individual RAUM · $34B to $30BFeb 19, 2023 to Mar 30, 2023
- Non-discretionary RAUM · $28B to $24BFeb 19, 2023 to Mar 30, 2023
- Pension RAUM · $77.6M to $149MFeb 19, 2023 to Mar 30, 2023
- RAUM · $37B to $33BFeb 19, 2023 to Mar 30, 2023
- Wrap assets (sponsor) · $6.1B to $5.2BFeb 19, 2023 to Mar 30, 2023
Signals
60 dated events
- Osaic Fa, Inc. no longer on the SEC adviser roster (last listed 2025-01-02, RAUM $37.1B)Feb 3, 2025 · Left the SEC roster · derived
- Bradford J. A. Byrns left Osaic Fa, Inc. for Commonwealth Financial Network (registered 2025-01-24)Jan 27, 2025 · Advisor changed firm · fact
- Gary Peter Salva left Osaic Fa, Inc. for Lpl Financial Llc (registered 2025-01-23)Jan 24, 2025 · Advisor changed firm · fact
- Gary William Paul left Osaic Fa, Inc. for Lpl Financial Llc (registered 2025-01-23)Jan 24, 2025 · Advisor changed firm · fact
- Christopher M Scuderi left Osaic Fa, Inc. for Lpl Financial Llc (registered 2025-01-23)Jan 23, 2025 · Advisor changed firm · fact
- William Frank Matzinger left Osaic Fa, Inc. for Lpl Financial Llc (registered 2025-01-23)Jan 23, 2025 · Advisor changed firm · fact
- 3 advisors left Osaic FA, Inc. (Hartford, CT) for LPL Financial LLC a day apartJan 23, 2025 · Team lift-out · derived
- Demetrius Russell left Osaic Fa, Inc. for Cambridge Investment Research Advisors, Inc. (registered 2025-01-21)Jan 22, 2025 · Advisor changed firm · fact
- Holly Price Mackay left Osaic Fa, Inc. for Cetera Investment Advisers Llc (registered 2025-01-14)Jan 16, 2025 · Advisor changed firm · fact
- Alejandro Matias Jerez left Osaic Fa, Inc. for Cambridge Investment Research Advisors, Inc. (registered 2025-01-08)Jan 14, 2025 · Advisor changed firm · fact
- 2 advisors left Osaic FA, Inc. (Miami, FL) for Cambridge Investment Research Advisors, Inc. within 8 daysJan 14, 2025 · Team lift-out · derived
- Lucas Frederick Salerno left Osaic Fa, Inc. for Cambridge Investment Research Advisors, Inc. (registered 2025-01-06)Jan 9, 2025 · Advisor changed firm · fact
- Yekaterina Teryokhina left Osaic Fa, Inc. for Morgan Stanley (registered 2025-05-05)Jan 9, 2025 · Advisor changed firm · fact
- Matthew Robert Middleton left Osaic Fa, Inc. for Cambridge Investment Research Advisors, Inc. (registered 2025-01-06)Jan 8, 2025 · Advisor changed firm · fact
- Brandi J Ames left Osaic Fa, Inc. for Lincoln Investment (registered 2025-01-08)Jan 8, 2025 · Advisor changed firm · fact
- Daniel F Flynn left Osaic Fa, Inc. for Commonwealth Financial Network (registered 2025-01-07)Jan 8, 2025 · Advisor changed firm · fact
- 2 advisors left Osaic FA, Inc. (Fort Wayne, IN) for Cambridge Investment Research Advisors, Inc. a day apartJan 8, 2025 · Team lift-out · derived
- Eric Michael Boddy left Osaic Fa, Inc. for Spc (registered 2025-03-28)Jan 2, 2025 · Advisor changed firm · fact
- Richard Scott Karp left Osaic Fa, Inc. for Advisory Services Network (registered 2025-01-02)Dec 18, 2024 · Advisor changed firm · fact
- John T Driscoll left Osaic Fa, Inc. for Equitable Advisors, Llc (registered 2025-05-20)Dec 13, 2024 · Advisor changed firm · fact
- Francisco Acevedo left Osaic Fa, Inc. for Park Avenue Securities Llc (registered 2024-12-11)Dec 12, 2024 · Advisor changed firm · fact
- Orion Jeffrey Marx left Osaic Fa, Inc. for Mariner (registered 2024-12-03)Dec 5, 2024 · Advisor changed firm · fact
- Damon Gregory Lee left Osaic Fa, Inc. for Mariner (registered 2024-12-16)Dec 3, 2024 · Advisor changed firm · fact
- Albert Glenn Mcnorton left Osaic Fa, Inc. for Mariner (registered 2024-12-16)Dec 3, 2024 · Advisor changed firm · fact
- Jay Richard Labarre left Osaic Fa, Inc. for Mariner (registered 2024-12-16)Dec 3, 2024 · Advisor changed firm · fact
- Brian Michael Frost left Osaic Fa, Inc. for Lpl Financial Llc (registered 2024-12-03)Dec 3, 2024 · Advisor changed firm · fact
- 4 advisors left Osaic FA, Inc. (Sarasota, FL) for Mariner within 2 daysDec 3, 2024 · Team lift-out · derived
- Francesca Milde left Osaic Fa, Inc. for Ameriprise Financial Services, Llc (registered 2024-12-23)Nov 25, 2024 · Advisor changed firm · fact
- Robert Gerard Kernochan left Osaic Fa, Inc. for Lpl Financial Llc (registered 2024-11-06)Nov 18, 2024 · Advisor changed firm · fact
- Jason S Fitz left Osaic Fa, Inc. for Commonwealth Financial Network (registered 2024-11-13)Nov 15, 2024 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
- Lincoln Financial Advisors Corporation · Private Equityshared crd · intermediary
- Lincoln Financial Advisors Corp. · Venture Capitalshared crd · org
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026