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

LPL Financial LLC

Broker-dealer affiliated wealth managerFort Mill, South CarolinaCRD 6413SEC 801-10970website IAPD

Latest filing Aug 19, 2026

First filing on the tape Dec 14, 2011 · 245 filings

SEC status approved since Aug 25, 1975

RAUM

$819B

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

96%

$784B individuals and HNW

Advisors

23,319

registered through the firm on IAPD

RAUM per advisor

$35.1M

derived; firm RAUM over IAPD count

Employees

41,879

36,280 advisory (5.B.1)

Offices

20,864

beyond the principal office

Private funds

reported on Schedule D

History

245 filings and snapshots on the tape

RAUM$819B as of Aug 19, 2026

Mar 30, 2012$84B then

HNW client RAUM$553B as of Aug 19, 2026

Mar 29, 2018$91B then

State-registered IARs (5.B.3)23,099 as of Aug 19, 2026

Mar 28, 20138,546 then

Employees (5.A)41,879 as of Aug 19, 2026

Mar 28, 201317,499 then

Private funds: no history

RAUM +32% over the last fiscal year+31% a year over threeIARs 19,576 to 23,099offices 18,523 to 20,864

Practice profile

derived from the filing of Aug 19, 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
HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
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)
Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets

RAUM per advisor: $35.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 84derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $823,085derivedHNW RAUM over HNW clients
Average account: $287,310derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 2.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.8derivedItem 5.A over advisors
Advisors per office: 1.1derived20,865 offices incl. principal (1.F.5)
RAUM growth, one year: +32%derivedbetween the last two annual amendments
Advisor growth, one year: +18%derivedItem 5.B.3 between annual amendments
Client growth, one year: +19%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, educational seminars, otherreportedItem 5.G
Financial planning clients: 24,500reportedItem 5.H
Wrap fee program: $599BreportedItem 5.I
Custody: $806B, 1,958,674 clientsreportedItem 9.A
Ownership: no PE, bank or public-company owner found on Schedule Aderived
Firms absorbed, 24 months: 9derivedhalf 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

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)
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)
the adviser acts as qualified custodian (9.D.1)
marketing includes testimonials (5.L.1.c)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$553B67%
Individuals$231B28%
Corporations and businesses$14B1.7%
Pension and profit-sharing plans$13B1.6%
Charitable organizations$7.6B0.9%
State and municipal entities$8.9M0.0%

Individual clients: 1,291,397reported
HNW clients: 671,511reported
Pension plan clients: 10,450reported
Charitable clients: 5,086reported
Accounts: 2,850,994reported
Financial planning clients: 24,500reported
Wrap fee programs: $0 sponsored, $0 managedreported
Custody of client assets: $806B for 1,958,674 clientsreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: private_client_share=0.96 fund_share=0.0 institutional_share=0.03 related_bd=true related_bank=false bd_reps=32010.0derived

Advisors registered through the firm

22,575 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
David Allen Nyquist	Corsicana, Tx	Jul 18, 1989	46 y	0
Darryl Lee Scott	Fort Stockton, Tx	Feb 2, 1990	39 y	0
Mark Kipling Durham	Dallas, Tx	Jun 14, 1991	43 y	0
Todd Porter AdamsCertified Financial Planner	Fort Myers, Fl	Aug 28, 1991	36 y	1
William Clay Larson	Seattle, Wa	Dec 6, 1991	38 y	0
John Steven Orourke	Hammond, Wi	Jan 8, 1992	42 y	0
Geary Martin JerdeCertified Financial Planner	Oro Valley, Az	Jan 29, 1992	42 y	0
John Bourne MorrowCertified Financial Planner	Panama City, Fl	Feb 4, 1992	38 y	0
Lisa Anne Chirichillo	Toms River, Nj	Jun 1, 1992	39 y	0
Stanley Dee Brown	Layton, Ut	Jun 24, 1992	45 y	0
Peter Cina	Naples, Fl	Jul 13, 1993	39 y	0
Dywane Alberto Hall	Springfield, Va	Oct 12, 1993	41 y	0
James Richard Odonnell	Naugatuck, Ct	Nov 16, 1993	36 y	0
Deborah Lee Danielson	Las Vegas, Nv	Nov 24, 1993	44 y	1
Leo Salbe Coppeta	Mill Valley, Ca	May 6, 1994	33 y	0
Mark Douglas Query	Lexington, Ky	Jun 6, 1994	42 y	0
John Louis Kuntz	Fort Thomas, Ky	Jul 20, 1994	39 y	0
Robert Gary Brochu	Farmington, Ct	Sep 12, 1994	41 y	0
Joan Marie ValentiCertified Financial Planner	Avon, Ct	Sep 23, 1994	42 y	0
Gary Lawrence Wageman	Shelby, Mt	Oct 1, 1994	38 y	0
Louis Anthony Follo	Southbury, Ct	Oct 11, 1994	34 y	0
Dwight Alan Robins	Whitefish, Mt	Oct 13, 1994	35 y	0
Sidney Joseph LorioCertified Financial Planner	Southlake, Tx	Dec 7, 1994	44 y	0
William Paul Czaplewski	Monona, Wi	Jan 3, 1995	33 y	0
David John Workman	Logansport, In	Feb 28, 1995	40 y	0
Richard Wayne SmithChartered Financial Consultant	San Antonio, Tx	Apr 10, 1995	47 y	0
Donald Allen RichCertified Financial Planner	Kalispell, Mt	Jun 14, 1995	46 y	0
Scott Blair Fisher	Jupiter, Fl	Jun 29, 1995	39 y	0
Lawrence Howard Katz	Wayne, Nj	Jul 19, 1995	40 y	0
Richard Lee Pistulka	Edmond, Ok	Jul 25, 1995	39 y	0
Marcella S Haines	Hermiston, Or	Jul 31, 1995	45 y	0
Howard Victor Sloan	Annandale, Va	Aug 3, 1995	41 y	0
James Oneill Lunney	Littleton, Co	Aug 4, 1995	44 y	1
Kent Coleby GriffithsCertified Financial Planner	Sandy, Ut	Aug 14, 1995	31 y	1
Samuel Stephen Henderson	Ft. Myers, Fl	Oct 27, 1995	40 y	0
Ricky Eugene JohnsonChartered Financial Analyst	Hermann, Mo	Oct 31, 1995	35 y	0
David Scott Koenig	Mt. Horeb, Wi	Dec 20, 1995	34 y	1
Brian Patrick Jonas	Laconia, Nh	Dec 21, 1995	40 y	0
Vance Laverne Neal	Zelienople, Pa	Jan 8, 1996	41 y	0
Robert Goodhill Rood	Naples, Fl	Jan 8, 1996	42 y	0

All 22,575 advisors at LPL Financial LLC

Advisor movement

945 left, 1,816 joined in 12 months

net +871 in 12 months209 left in 90 days426 joined in 90 daysdeparture rate 4.1% of current headcount2,575 left over 36 months

Left, latest

Tod Andrew Drury to Raymond James & Associates, Inc.
Sep 16, 2026 · Affiliated broker-dealer or bank to another
John Paul Mollica to Ameriprise Financial Services, LLC
Sep 16, 2026 · Affiliated broker-dealer or bank to another
Susan Adele Knox to Cambridge Investment Research Advisors, Inc.
Sep 16, 2026 · Affiliated broker-dealer or bank to another
Ryan Paul Kelly to Cambridge Investment Research Advisors, Inc.
Sep 16, 2026 · Affiliated broker-dealer or bank to another
Lukas Paul Manger to Fifth Third Securities, Inc.
Sep 16, 2026 · Affiliated broker-dealer or bank to another
Matthew Johnson to Rfg Advisory, LLC
Sep 15, 2026 · Affiliated broker-dealer or bank to independent RIA
Gaven Lee Pinkley to Rsg Investments LLC
Sep 15, 2026 · Affiliated broker-dealer or bank to independent RIA
Jacob Ducharme to J.P. Morgan Securities LLC
Sep 15, 2026 · Affiliated broker-dealer or bank to wirehouse
Noah Mahlon Eberhart to Fisher Investments
Sep 15, 2026 · Affiliated broker-dealer or bank to independent RIA
Bobbie Dean Bascombe to Authentic Wealth Partners LLC
Sep 14, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
Ivana Blagojevic to Raymond James & Associates, Inc.
Sep 11, 2026 · Affiliated broker-dealer or bank to another
Joseph Dennis Schneider to Stonewell Financial Management LLC
Sep 11, 2026 · Affiliated broker-dealer or bank to a state-registered adviser
Kimberly Ann Trimmer to Citigroup Global Markets Inc.
Sep 10, 2026 · Affiliated broker-dealer or bank to another
Ryan Michael Canfield to Victus Wealth Management
Sep 10, 2026 · Affiliated broker-dealer or bank to a state-registered adviser
Daniel Ray Creps to Raymond James Financial Services Advisors, Inc
Sep 10, 2026 · Affiliated broker-dealer or bank to another

Joined, latest

Charles Wesley Conkling from Cetera Investment Advisers LLC
Sep 16, 2026 · Affiliated broker-dealer or bank to another
Jorge Luis Gonzalez from J.P. Morgan Securities LLC
Sep 16, 2026 · Wirehouse to affiliated broker-dealer or bank
Kayla Thiri Aung Hawco from Merrill Lynch, Pierce, Fenner & Smith Incorporated
Sep 16, 2026 · Wirehouse to affiliated broker-dealer or bank
Thea Ruth Diffendal from Advice And Planning Services
Sep 16, 2026 · Affiliated broker-dealer or bank to another
Jason Li Howard from J.P. Morgan Securities LLC
Sep 16, 2026 · Wirehouse to affiliated broker-dealer or bank
Deyanily Maria Wyckoff from Park Avenue Securities LLC
Sep 15, 2026 · Affiliated broker-dealer or bank to another
Jaymi Lee Dragonetti from First Citizens Investor Services, Inc.
Sep 15, 2026 · Affiliated broker-dealer or bank to another
Allen Paul Gardner Brown from Northwestern Mutual Wealth Management Company
Sep 15, 2026 · Other
Katherine Irene Sullivan from Edward Jones
Sep 15, 2026 · Affiliated broker-dealer or bank to another
Angel Yolanda Roseboro from Wells Fargo Advisors
Sep 15, 2026 · Wirehouse to affiliated broker-dealer or bank
Ryan Phillip Russo from Osaic Wealth, Inc.
Sep 14, 2026 · Affiliated broker-dealer or bank to another
Ronald Richins Hunt from Northwestern Mutual Investment Services,LLC
Sep 14, 2026 · Other
Gaeb Ayden Parry from Equitable Advisors, LLC
Sep 14, 2026 · Affiliated broker-dealer or bank to another
Mark William Giordano from Osaic Wealth, Inc.
Sep 14, 2026 · Affiliated broker-dealer or bank to another
Briggin R Bluemel from Morgan Stanley
Sep 14, 2026 · Wirehouse to affiliated broker-dealer or bank

Every departure Every arrival

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

2 left for Cambridge Investment Research Advisors, Inc.
Sep 16, 2026 · Roseville, Ca
20 left for Cetera Investment Advisers LLC
Sep 11, 2026 · Roseville, Ca
2 left for Cetera Investment Advisers LLC
Sep 11, 2026 · Hales Corners, Wi
2 left for Ameriprise Financial Services, LLC
Sep 2, 2026 · Russellville, Ar
2 left for Raymond James Financial Services Advisors, Inc
Sep 1, 2026 · Stuart, Fl
2 left for Cetera Investment Advisers LLC
Aug 28, 2026 · Westford, Ma
2 left for Maridea Wealth Management
Aug 28, 2026 · New Britain, Pa
2 left for Raymond James Financial Services Advisors, Inc
Aug 24, 2026 · Missoula, Mt

2 joined from Osaic Wealth, Inc.
Sep 16, 2026 · Rye, Ny
2 joined from Cambridge Investment Research Advisors, Inc.
Sep 14, 2026 · Delta, Co
2 joined from Osaic Institutions, Inc.
Sep 11, 2026 · Meriden, Ct
5 joined from Raymond James Financial Services Advisors, Inc
Sep 9, 2026 · Monroe, La
2 joined from RBC Capital Markets, LLC
Sep 4, 2026 · Fresno, Ca
4 joined from Osaic Wealth, Inc.
Sep 2, 2026 · Calabasas, Ca
4 joined from Florida Financial Advisors, LLC
Sep 1, 2026 · Jacksonville, Fl
2 joined from Ameriprise Financial Services, LLC
Aug 28, 2026 · Waxhaw, Nc

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

Matthew Jon Audette · President And Chief Financial Officercontrol
since 09/2015 · owns less than 5%
Althea Ann-Marie Brown · Managing Director, Chief Legal Officer And Directorcontrol
since 09/2023 · owns less than 5%
Labkhand Sara Dadyar · Managing Director, Chief Human Capital Officercontrol
since 01/2024 · owns less than 5%
Matthew Klaus Enyedi · Group Managing Director, Chief Client Officercontrol
since 01/2020 · owns less than 5%
Gregory Gates · Group Managing Director, Chief Product & Technology Officercontrol
since 07/2021 · owns less than 5%
Aneri Jambusaria · Group Managing Director, Chief Wealth Officer And Principal Financial Officercontrol
since 01/2022 · owns less than 5%
Steven Thomas Malfitano · Svp, Finance Capital Management And Principal Financial Officercontrol
since 09/2023 · owns less than 5%
James Mchale · Executive Vice President, Chief Compliance Officercontrol
since 10/2023 · owns less than 5%
Matthew Edwin Morningstar · Group Managing Director, Chief Legal Officercontrol
since 12/2025 · owns less than 5%
Judith Kohoskie Ricketts · Executive Vice President, Operations And Principal Operations Officercontrol
since 11/2020 · owns less than 5%
Brent Blain Simonich · Managing Director, Chief Risk Officer, Head Of Business Operationscontrol
since 04/2022 · owns less than 5%
Richard C Steinmeier · Chief Executive Officer And Directorcontrol
since 08/2018 · owns less than 5%

Entity owners

LPL Holdings, Inc. · Managing Member
direct · owns 75% or more
LPL Financial Holdings Inc. · Parent Company
indirect · owns 75% or more of LPL Holdings, Inc. · public reporting company

Related persons

Schedule D 7.A

Cadaret Grant & Co Inc
broker-dealerinvestment adviserreal estatenRAUM $7.7B
Cfs Insurance And Technology Services, LLC
real estaten
Cuso Financial Services, L.P.
broker-dealerinvestment adviserreal estatenRAUM $5.4B
Fiduciary Trust Company Of New Hampshire
n
Grove Point Advisors, LLC
investment advisernRAUM $2.5B
H. Beck, Inc.
broker-dealerreal estatenRAUM $2.0B
LPL Enterprise, LLC
broker-dealerinvestment adviserreal estatenRAUM $25B
LPL Insurance Associates, Inc.
real estaten
Next Financial Group, Inc.
broker-dealerinvestment adviserreal estatenRAUM $3.8B
Next Financial Insurance Services Company
real estaten
Scf Investment Advisors, Inc.
investment advisernRAUM $1.3B
Scf Securities, Inc.
broker-dealerreal estaten
Sorrento Pacific Financial, LLC
broker-dealerinvestment adviserreal estatenRAUM $222M
The Private Trust Company, N.A.
n
Western International Securities
broker-dealerinvestment adviserreal estatenRAUM $3.5B

Advisers that list LPL Financial LLC as a related person

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out
San Diego, Ca	1,957	526	55	4
Fort Mill, Sc · principal	731	156	28	1
Charlotte, Nc	204	39	11
Houston, Tx	175	26	3
Chicago, Il	165	17	3
Scottsdale, Az	160	23	5
Austin, Tx	157	46	5
Las Vegas, Nv	123	21	3
San Antonio, Tx	114	10	1
Tampa, Fl	111	14	4
Denver, Co	110	18	9	2
Dallas, Tx	106	28	4	1
Phoenix, Az	105	29	1
Honolulu, Hi	105	14	1
Seattle, Wa	100	18	3
Irvine, Ca	97	10	1
Fresno, Ca	97	8	1
Newport Beach, Ca	92	9	7
Rochester, Ny	91	17	0
Albany, Ny	87	17	0

All 60 offices

Post-acquisition retention

advisors of absorbed firms still registered here after the move

Firms absorbed: 33 since 2015, 9 in 24 monthsderived
Advisors acquired: 185derived
Still registered after 90 days: 94% of 185derived
After 180 days: 95% of 185derived
After 365 days: 93% of 154derived
After 730 days: 91% of 129derived
Team lift-outs after: 3,834derivedteams 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

San Diego, CA1,871 employees
Fort Mill, SC80 employees
Pittsburgh, PA67 employees
Beachwood, OH64 employees
Syracuse, NY55 employees
Golden, CO48 employees
Des Peres, MO48 employees
Lakeland, FL46 employees
Morristown, NJ45 employees
Fresno, CA45 employees
Atlanta, GA45 employees
Leesburg, VA43 employees
San Diego, CA38 employees
Waltham, MA37 employees
Paramus, NJ36 employees
Cheektowaga, NY36 employees
Boston, MA36 employees
Annapolis, MD36 employees
Olympia, WA35 employees
Glastonbury, CT35 employees
Downers Grove, IL34 employees
Sacramento, CA34 employees
Bridgeport, CT32 employees
Southfield, MI31 employees
, 29 employees

ADV anomalies

4 against comparable advisers; where to look, not conclusions

control person changedChange between filings · filing Aug 19, 2026
MORNINGSTAR, MATTHEW EDWIN (GROUP MANAGING DIRECTOR, CHIEF LEGAL OFFICER) appeared on Schedule A between the filings of 2024-01-19 and 2026-08-19
peers: affiliated wealth managers, $20B and over (50)
control person changedChange between filings · filing Aug 19, 2026
MALFITANO, STEVEN THOMAS (SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER) left Schedule A between the filings of 2024-01-19 and 2026-08-19
peers: affiliated wealth managers, $20B and over (50)
control person changedChange between filings · filing Aug 19, 2026
BROWN, ALTHEA ANN-MARIE (MANAGING DIRECTOR, CHIEF LEGAL OFFICER AND DIRECTOR) left Schedule A between the filings of 2024-01-19 and 2026-08-19
peers: affiliated wealth managers, $20B and over (50)
control person changedChange between filings · filing Aug 19, 2026
DADYAR, LABKHAND SARA (MANAGING DIRECTOR, CHIEF HUMAN CAPITAL OFFICER) left Schedule A between the filings of 2024-01-19 and 2026-08-19
peers: affiliated wealth managers, $20B and over (50)

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 2,369,378 to 2,850,994
Feb 18, 2026 to Mar 31, 2026
Advisory employees · 28,347 to 36,280
Feb 18, 2026 to Mar 31, 2026
Advisory activities · 7 to 5
Feb 18, 2026 to Mar 31, 2026
BD registered reps · 28,977 to 32,010
Feb 18, 2026 to Mar 31, 2026
Charity clients · 4,300 to 5,086
Feb 18, 2026 to Mar 31, 2026
Corporate clients · 7,166 to 8,528
Feb 18, 2026 to Mar 31, 2026
HNW clients · 541,594 to 671,511
Feb 18, 2026 to Mar 31, 2026
Individual clients · 1,113,911 to 1,291,397
Feb 18, 2026 to Mar 31, 2026
Pension plan clients · 9,201 to 10,450
Feb 18, 2026 to Mar 31, 2026
Commission compensation · true to false
Feb 18, 2026 to Mar 31, 2026
Assets in custody · $607B to $806B
Feb 18, 2026 to Mar 31, 2026
Employees · 37,893 to 41,879
Feb 18, 2026 to Mar 31, 2026
Insurance-licensed employees · 6,177 to 9,124
Feb 18, 2026 to Mar 31, 2026
State-registered IARs · 19,576 to 23,099
Feb 18, 2026 to Mar 31, 2026
Other offices · 18,523 to 20,864
Feb 18, 2026 to Mar 31, 2026
Discretionary RAUM · $618B to $818B
Feb 18, 2026 to Mar 31, 2026
HNW RAUM · $402B to $553B
Feb 18, 2026 to Mar 31, 2026
Individual RAUM · $189B to $231B
Feb 18, 2026 to Mar 31, 2026
Non-discretionary RAUM · $624M to $798M
Feb 18, 2026 to Mar 31, 2026
Pension RAUM · $13B to $13B
Feb 18, 2026 to Mar 31, 2026
RAUM · $619B to $819B
Feb 18, 2026 to Mar 31, 2026
Financial planning clients · More than 500 to More than 500
May 28, 2025 to Jul 15, 2025
Accounts · 1,910,545 to 2,369,378
Feb 18, 2025 to Apr 7, 2025
Advisory employees · 27,045 to 28,347
Feb 18, 2025 to Apr 7, 2025
BD registered reps · 27,564 to 28,977
Feb 18, 2025 to Apr 7, 2025
Charity clients · 3,768 to 4,300
Feb 18, 2025 to Apr 7, 2025
Corporate clients · 6,033 to 7,166
Feb 18, 2025 to Apr 7, 2025
HNW clients · 440,642 to 541,594
Feb 18, 2025 to Apr 7, 2025
Individual clients · 916,344 to 1,113,911
Feb 18, 2025 to Apr 7, 2025
Pension plan clients · 8,116 to 9,201
Feb 18, 2025 to Apr 7, 2025
Assets in custody · $454B to $607B
Feb 18, 2025 to Apr 7, 2025
Employees · 35,841 to 37,893
Feb 18, 2025 to Apr 7, 2025
Insurance-licensed employees · 6,076 to 6,177
Feb 18, 2025 to Apr 7, 2025
State-registered IARs · 18,145 to 19,576
Feb 18, 2025 to Apr 7, 2025
Other offices · 17,453 to 18,523
Feb 18, 2025 to Apr 7, 2025
Discretionary RAUM · $463B to $618B
Feb 18, 2025 to Apr 7, 2025
HNW RAUM · $293B to $402B
Feb 18, 2025 to Apr 7, 2025
Individual RAUM · $148B to $189B
Feb 18, 2025 to Apr 7, 2025
Non-discretionary RAUM · $659M to $624M
Feb 18, 2025 to Apr 7, 2025
Pension RAUM · $10.0B to $13B
Feb 18, 2025 to Apr 7, 2025

Signals

60 dated events

Nichole L King no longer holds an investment adviser registration (last listed at Lpl Financial Llc on the 2026-09-16 feed)
Sep 16, 2026 · Advisor registration ended · derived
Carole Jane Hanson no longer holds an investment adviser registration (last listed at Lpl Financial Llc on the 2026-09-16 feed)
Sep 16, 2026 · Advisor registration ended · derived
Michelle Marie Camren no longer holds an investment adviser registration (last listed at Lpl Financial Llc on the 2026-09-16 feed)
Sep 16, 2026 · Advisor registration ended · derived
Hamy Sharifi no longer holds an investment adviser registration (last listed at Lpl Financial Llc on the 2026-09-16 feed)
Sep 16, 2026 · Advisor registration ended · derived
Adam Eliot Truitt no longer holds an investment adviser registration (last listed at Lpl Financial Llc on the 2026-09-16 feed)
Sep 16, 2026 · Advisor registration ended · derived
Gilbert Ralph Hawkins no longer holds an investment adviser registration (last listed at Lpl Financial Llc on the 2026-09-16 feed)
Sep 16, 2026 · Advisor registration ended · derived
Bettina Thien Tran no longer holds an investment adviser registration (last listed at Lpl Financial Llc on the 2026-09-16 feed)
Sep 16, 2026 · Advisor registration ended · derived
Linda Wise Tucker no longer holds an investment adviser registration (last listed at Lpl Financial Llc on the 2026-09-16 feed)
Sep 16, 2026 · Advisor registration ended · derived
Christine Paige Alexander registered as an investment adviser representative at Lpl Financial Llc
Sep 16, 2026 · Advisor registered · fact
Thea Ruth Diffendal registered as an investment adviser representative at Lpl Financial Llc
Sep 16, 2026 · Advisor registered · fact
Jorge Luis Gonzalez registered as an investment adviser representative at Lpl Financial Llc
Sep 16, 2026 · Advisor registered · fact
Charles Wesley Conkling registered as an investment adviser representative at Lpl Financial Llc
Sep 16, 2026 · Advisor registered · fact
Gregory Mark Cabanos registered as an investment adviser representative at Lpl Financial Llc
Sep 16, 2026 · Advisor registered · fact
Kailey A Bozarth registered as an investment adviser representative at Lpl Financial Llc
Sep 16, 2026 · Advisor registered · fact
Jared Michael Moore registered as an investment adviser representative at Lpl Financial Llc
Sep 16, 2026 · Advisor registered · fact
Kyle Schwery registered as an investment adviser representative at Lpl Financial Llc
Sep 16, 2026 · Advisor registered · fact
Connor Geary registered as an investment adviser representative at Lpl Financial Llc
Sep 16, 2026 · Advisor registered · fact
Kayla Thiri Aung Hawco registered as an investment adviser representative at Lpl Financial Llc
Sep 16, 2026 · Advisor registered · fact
Eldin Hegic registered as an investment adviser representative at Lpl Financial Llc
Sep 16, 2026 · Advisor registered · fact
Jason Li Howard registered as an investment adviser representative at Lpl Financial Llc
Sep 16, 2026 · Advisor registered · fact
Ronald Richins Hunt added a UT registration at Lpl Financial Llc
Sep 16, 2026 · New state registration · fact
Christopher Dwayne Smith added a NC registration at Lpl Financial Llc
Sep 16, 2026 · New state registration · fact
Christopher Dwayne Smith added a SC registration at Lpl Financial Llc
Sep 16, 2026 · New state registration · fact
Christopher Dwayne Smith added a TX registration at Lpl Financial Llc
Sep 16, 2026 · New state registration · fact
Ethan Fischel added a CA registration at Lpl Financial Llc
Sep 16, 2026 · New state registration · fact
Brian Swensen Lifferth added a UT registration at Lpl Financial Llc
Sep 16, 2026 · New state registration · fact
Paul Conlon Yannalfo added a MA registration at Lpl Financial Llc
Sep 16, 2026 · New state registration · fact
Allen Paul Gardner Brown added a UT registration at Lpl Financial Llc
Sep 16, 2026 · New state registration · fact
Tod Andrew Drury left LPL Financial LLC for Raymond James & Associates, Inc. (registered 2026-09-01)
Sep 16, 2026 · Advisor changed firm · fact
Duncan John Meaney no longer registered at LPL Financial LLC; no later IA registration on IAPD
Sep 16, 2026 · Advisor departure · fact

Across DFX

shared identifiers only, never a name match

LPL Financial LLC · Independent Sponsors
shared crd · intermediary
LPL Financial LLC · Private Equity
shared crd · intermediary
LPL Financial LLC · Venture Capital
shared crd · org

How to reach

public business contact points only, each with its source

Firm profile: linkedin.com/company/seek-wealthreportedpublic record, Form ADV, Sep 17, 2026
Firm profile: LINKEDIN.COM/COMPANY/LPL-FINANCIALreportedpublic record, Form ADV, Sep 17, 2026
Website: myaccountviewonline.com/loginreportedpublic record, Form ADV, Sep 17, 2026
Principal office phone: 704-733-3300reportedpublic record, Form ADV, Aug 19, 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: $35.1Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026