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 Enterprise, LLC
Latest filing Jul 15, 2026
First filing on the tape Jul 8, 2024 · 14 filings
SEC status approved since Aug 7, 2024
RAUM
$25B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$24B individuals and HNW
Advisors
3,121
registered through the firm on IAPD
RAUM per advisor
$8.0M
derived; firm RAUM over IAPD count
Employees
5,215
4,492 advisory (5.B.1)
Offices
1,140
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$25B as of Jul 15, 2026
Feb 18, 2025$0 then
HNW client RAUM$13B as of Jul 15, 2026
Feb 18, 2025$0 then
State-registered IARs (5.B.3)3,209 as of Jul 15, 2026
Feb 18, 202512 then
Employees (5.A)5,215 as of Jul 15, 2026
Feb 18, 202564 then
Private funds: no history
RAUM +32% over the last fiscal yearIARs 2,096 to 3,209offices 1,075 to 1,140
Practice profile
derived from the filing of Jul 15, 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)
- 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)
- RAUM per advisor
- $8.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 33derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $556,308derivedHNW RAUM over HNW clients
- Average account
- $179,173derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 2.7derived1,141 offices incl. principal (1.F.5)
- RAUM growth, one year
- +32%derivedbetween the last two annual amendments
- Advisor growth, one year
- +53%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +18%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
- 4,500reportedItem 5.H
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- yesreportedItem 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
- 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)
- a related person acts as qualified custodian (9.D.2)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$13B51%
- Individuals$12B47%
- Corporations and businesses$216M0.9%
- Pension and profit-sharing plans$201M0.8%
- Charitable organizations$49.4M0.2%
- Individual clients
- 79,249reported
- HNW clients
- 22,822reported
- Pension plan clients
- 127reported
- Charitable clients
- 79reported
- Accounts
- 139,192reported
- Financial planning clients
- 4,500reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.01 related_bd=true related_bank=false bd_reps=3763.0derived
Advisors registered through the firm
3,114 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Jesse Joseph Noblett | Fort Mill, Sc | Aug 21, 2024 | 11 y | 1 |
| Roxane Kay Miller | Fort Mill, Sc | Aug 28, 2024 | 28 y | 4 |
| Trevor John Czerniejewski | Fort Mill, Sc | Sep 13, 2024 | 11 y | 8 |
| Alexandria Trull | Fort Mill, Sc | Sep 17, 2024 | 12 y | 2 |
| Vanessa Striegel | Fort Mill, Sc | Sep 23, 2024 | 14 y | 1 |
| Dahmen M LariviereCertified Financial Planner | Fort Mill, Sc | Sep 26, 2024 | 24 y | 4 |
| Robert Garret | Fort Mill, Sc | Sep 26, 2024 | 29 y | 0 |
| Diane Marie Enterlein | Fort Mill, Sc | Sep 26, 2024 | 38 y | 0 |
| Joann Sacco | Howell, Mi | Sep 26, 2024 | 13 y | 1 |
| Claudia Ava Baggot | Staten Island, Ny | Sep 26, 2024 | 13 y | 0 |
| Donna Jean Canty | Sugar Hill, Ga | Sep 26, 2024 | 27 y | 1 |
| Jamie Lanik | Farmington, Mn | Sep 26, 2024 | 12 y | 2 |
| Audra Lisoski | Fort Mill, Sc | Sep 27, 2024 | 25 y | 0 |
| Reginald Mccall | Baldwin, Ny | Sep 27, 2024 | 22 y | 0 |
| Daniel Williams | Fort Mill, Sc | Sep 27, 2024 | 28 y | 0 |
| Vincent Mauro | Warners, Ny | Sep 27, 2024 | 21 y | 0 |
| Mary Romeo | Palmetto, Fl | Oct 1, 2024 | 22 y | 0 |
| Jahnese Shanette Alston | Fort Mill, Sc | Oct 1, 2024 | 18 y | 0 |
| Victoria Lynnette Swanson | Lone Tree, Co | Oct 1, 2024 | 27 y | 3 |
| Mary Jane Ferry | Saint Louis, Mo | Oct 1, 2024 | 25 y | 4 |
| Bruno Grenci | Carmel, In | Oct 1, 2024 | 21 y | 1 |
| Darla K Rosno | Fort Mill, Sc | Oct 1, 2024 | 33 y | 0 |
| Dagmar Adams | Cave Creek, Az | Oct 1, 2024 | 40 y | 1 |
| Debbie Ann Homan | Wyomissing, Pa | Oct 1, 2024 | 36 y | 1 |
| Michele Cahayla | Fort Mill, Sc | Oct 3, 2024 | 26 y | 1 |
| Jonathan Ziegler | Fort Mill, Sc | Oct 3, 2024 | 10 y | 2 |
| Vicky Rivera | Fort Mill, Sc | Oct 3, 2024 | 13 y | 1 |
| Laura Silva Flores | Saginaw, Mi | Oct 3, 2024 | 17 y | 1 |
| Bryan Duty | Pataskala, Oh | Oct 4, 2024 | 12 y | 2 |
| Kathleen Flinton | Mount Pleasant, Sc | Oct 4, 2024 | 13 y | 0 |
| Robert Michael RollinsCertified Financial Planner | Fort Mill, Sc | Oct 9, 2024 | 51 y | 6 |
| Matthew John Kohls | Fort Mill, Sc | Oct 9, 2024 | 11 y | 4 |
| Jeffrey Earley | Taylors, Sc | Oct 9, 2024 | 20 y | 3 |
| Laura Michaud | Yulee, Fl | Oct 13, 2024 | 26 y | 1 |
| Mark Lacey | Bradenton, Fl | Oct 14, 2024 | 12 y | 0 |
| Jean C Jimenez | Fort Mill, Sc | Oct 17, 2024 | 16 y | 5 |
| Marci Stier | Fort Wayne, In | Oct 17, 2024 | 30 y | 1 |
| Serena Basim Bachoua | San Diego, Ca | Oct 21, 2024 | 12 y | 1 |
| Kara Galle | Omaha, Ne | Oct 22, 2024 | 12 y | 3 |
| Kelly Lianne Davis | Fort Mill, Sc | Oct 22, 2024 | 11 y | 2 |
Advisor movement
275 left, 259 joined in 12 months
net -16 in 12 months53 left in 90 days57 joined in 90 daysdeparture rate 8.8% of current headcount527 left over 36 months
Left, latest
- Shane Davis to Ameriprise Financial Services, LLCSep 16, 2026 · Affiliated broker-dealer or bank to another
- Margaret Ellisabeth Mcentire to Crews & Associates, Inc.Sep 16, 2026 · Affiliated broker-dealer or bank to another
- Bei Wan to Navy Federal Investment Services, LLCSep 14, 2026 · Affiliated broker-dealer or bank to another
- Matthew Mccormack to Simplicity WealthSep 11, 2026 · Affiliated broker-dealer or bank to independent RIA
- Daniel John Day to Edward JonesSep 8, 2026 · Affiliated broker-dealer or bank to another
- Thomas Gibson to Td Private Client Wealth LLCAug 31, 2026 · Affiliated broker-dealer or bank to another
- Michael Victor Lomet to Cetera Investment Advisers LLCAug 31, 2026 · Affiliated broker-dealer or bank to another
- Darnell S. Hegarty to Principal Securities, Inc.Aug 26, 2026 · Affiliated broker-dealer or bank to another
- Preston Taylor Byrnes to Guerra Wealth AdvisorsAug 26, 2026 · Affiliated broker-dealer or bank to independent RIA
- Christian Joseph Faino to Principal Securities, Inc.Aug 26, 2026 · Affiliated broker-dealer or bank to another
- J Tyler Everhart to Vector Financial Solutions, Inc.Aug 26, 2026 · Affiliated broker-dealer or bank to a state-registered adviser
- Jake Steslicki to Strategic Advisers LLCAug 14, 2026 · Affiliated broker-dealer or bank to another
- Gilbert Arthur Gallahar to Ensign Advisory Partners LLCAug 14, 2026 · Affiliated broker-dealer or bank to independent RIA
- Courtney Rhuez Sprinkle to Merrill Lynch, Pierce, Fenner & Smith IncorporatedAug 11, 2026 · Affiliated broker-dealer or bank to wirehouse
- Philip Kasden to MML Investors Services, LLCAug 10, 2026 · Affiliated broker-dealer or bank to another
Joined, latest
- Manjula Alagani from Equitable Advisors, LLCSep 15, 2026 · Affiliated broker-dealer or bank to another
- Gregory Wood from Merrill Lynch, Pierce, Fenner & Smith IncorporatedSep 15, 2026 · Wirehouse to affiliated broker-dealer or bank
- Abraham Salinas from Pnc Wealth ManagementSep 14, 2026 · Affiliated broker-dealer or bank to another
- Jason Oliver Will from U.S. Bancorp Advisors, LLCSep 14, 2026 · Affiliated broker-dealer or bank to another
- Michael Kristopher Jones from Pnc Wealth ManagementSep 14, 2026 · Affiliated broker-dealer or bank to another
- William George Whiteley from Key Investment Services LLCSep 9, 2026 · Affiliated broker-dealer or bank to another
- Colin Hopkins from Florida Financial Advisors, LLCSep 9, 2026 · Affiliated broker-dealer or bank to another
- Derek Paul Suboticki from Edelman Financial EnginesSep 8, 2026 · RIA to affiliated broker-dealer or bank
- Dolly Suarez from Cetera Investment Advisers LLCAug 31, 2026 · Affiliated broker-dealer or bank to another
- Richard Lyden Tighe from Ameriprise Financial Services, LLCAug 31, 2026 · Affiliated broker-dealer or bank to another
- Nicholas Di Minno from Equitable Advisors, LLCAug 31, 2026 · Affiliated broker-dealer or bank to another
- Alfred Michael Abbamonte from Park Avenue Securities LLCAug 28, 2026 · Affiliated broker-dealer or bank to another
- Sunny Fang Yu Yang from Eagle Strategies LLCAug 26, 2026 · Affiliated broker-dealer or bank to another
- Alyssa Boles from Edward JonesAug 24, 2026 · Affiliated broker-dealer or bank to another
- Shaina Keck from Northwestern Mutual Investment Services,LLCAug 24, 2026 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Principal Securities, Inc.Aug 26, 2026 · Cherry Hill Township, Nj
- 2 left for J.P. Morgan Securities LLCJun 23, 2026 · Mercer Island, Wa
- 3 left for Wells Fargo AdvisorsApr 6, 2026 · San Jose, Ca
- 4 left for Uhy Wealth Management Ria LLCApr 6, 2026 · Auburn Hills, Mi
- 3 left for Uhy Wealth Management Ria LLCApr 1, 2026 · San Diego, Ca
- 2 left for J.P. Morgan Securities LLCMar 6, 2026 · Voorheesville, Ny
- 2 left for Fisher InvestmentsDec 24, 2025 · Miami, Fl
- 2 left for Ameriprise Financial Services, LLCOct 31, 2025 · Littleton, Co
- 2 joined from Oppenheimer & Co. Inc.Aug 21, 2026 · Port Orange, Fl
- 2 joined from Td Private Client Wealth LLCApr 16, 2026 · Scotch Plains, Nj
- 2 joined from Strategic Advisers LLCApr 10, 2026 · Boston, Ma
- 2 joined from Edward JonesMar 31, 2026 · Peoria, Az
- 2 joined from Dempsey Lord Smith, LLCMar 3, 2026 · Rome, Ga
- 2 joined from Esi Financial AdvisorsMar 3, 2026 · Lynchburg, Va
- 2 joined from Smith Moore & Co.Dec 23, 2025 · Topeka, Ks
- 4 joined from Raymond James & Associates, Inc.Dec 2, 2025 · Mishawaka, In
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Kiriakos Andreas Evangeliou · Svp, Chief Compliance Officercontrolsince 02/2026 · owns less than 5%
- Kirby Lepak Horan-Adams · Chief Executive Officer. President Principal Operations Officer, Finopcontrolsince 03/2023 · owns less than 5%
- Steven Thomas Malfitano · Principal Financial Officer And Principal Operations Officer, Finopcontrolsince 09/2023 · owns less than 5%
- Matthew Edwin Morningstar · Chief Legal Officercontrolsince 12/2025 · owns less than 5%
- Richard Steven Sheehan · Svp, Chief Compliance Officercontrolsince 08/2023 · owns less than 5%
- Steven Philip Morrison · Secretarysince 03/2023 · owns less than 5%
Entity owners
- LPL Holdings, Inc. · Managing Memberdirect · owns 75% or more
- LPL Financial Holdings Inc. · Parent Companyindirect · owns 75% or more of LPL Holdings, Inc. · public reporting company
Related persons
Schedule D 7.A
- Cadaret Grant & Co Incbroker-dealerinvestment adviserreal estatenRAUM $7.7B
- Cfs Insurance And Technology Services, LLCreal estaten
- Cuso Financial Services, L.P.broker-dealerinvestment adviserreal estatenRAUM $5.4B
- Fiduciary Trust Company Of New Hampshiren
- Grove Point Advisors, LLCinvestment advisernRAUM $2.5B
- H. Beck, Inc.broker-dealerreal estatenRAUM $2.0B
- LPL Financial LLCbroker-dealerinvestment adviserreal estatecustodiannRAUM $819B
- LPL Insurance Associates, Inc.real estaten
- Next Financial Group, Inc.broker-dealerinvestment adviserreal estatenRAUM $3.8B
- Next Financial Insurance Services Companyreal estaten
- Scf Investment Advisors, Inc.investment advisernRAUM $1.3B
- Scf Securities, Inc.broker-dealerreal estaten
- Sorrento Pacific Financial, LLCbroker-dealerinvestment adviserreal estatenRAUM $222M
- The Private Trust Company, N.A.n
- The Private Trust Company, N.A.n
- Western International Securitiesbroker-dealerinvestment adviserreal estatenRAUM $3.5B
Advisers that list LPL Enterprise, LLC as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| St Louis Park, Mn | 89 | 14 | 7 | ||
| Bedminster, Nj | 81 | 15 | 9 | ||
| Fort Mill, Sc · principal | 77 | 10 | 7 | ||
| Troy, Mi | 77 | 18 | 11 | 1 | |
| Irvine, Ca | 76 | 18 | 3 | ||
| Melville, Ny | 75 | 13 | 7 | ||
| St Louis, Mo | 73 | 3 | 4 | ||
| Warrington, Pa | 72 | 18 | 10 | ||
| Indianapolis, In | 71 | 25 | 5 | ||
| Shelton, Ct | 63 | 21 | 4 | ||
| Syracuse, Ny | 62 | 2 | 2 | ||
| Cockeysville, Md | 59 | 16 | 2 | ||
| Houston, Tx | 59 | 14 | 6 | ||
| Sherman Oaks, Ca | 58 | 12 | 3 | ||
| Downers Grove, Il | 58 | 9 | 2 | ||
| New York, Ny | 58 | 12 | 4 | ||
| Holmdel, Nj | 57 | 20 | 12 | ||
| Atlanta, Ga | 56 | 20 | 11 | ||
| Wakefield, Ma | 49 | 8 | 7 | ||
| San Jose, Ca | 47 | 6 | 6 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Austin, TX
- Boston, MA
- San Diego, CA
- Tempe, AZ
ADV anomalies
6 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jul 15, 2026EVANGELIOU, KIRIAKOS ANDREAS (SVP, CHIEF COMPLIANCE OFFICER) appeared on Schedule A between the filings of 2024-07-08 and 2026-07-15peers: affiliated wealth managers, $20B and over (50)
- control person changedChange between filings · filing Jul 15, 2026MORNINGSTAR, MATTHEW EDWIN (CHIEF LEGAL OFFICER) appeared on Schedule A between the filings of 2024-07-08 and 2026-07-15peers: affiliated wealth managers, $20B and over (50)
- control person changedChange between filings · filing Jul 15, 2026SHEEHAN, RICHARD STEVEN (SVP, CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2024-07-08 and 2026-07-15peers: affiliated wealth managers, $20B and over (50)
- control person changedChange between filings · filing Jul 15, 2026MALFITANO, STEVEN THOMAS (PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP) left Schedule A between the filings of 2024-07-08 and 2026-07-15peers: affiliated wealth managers, $20B and over (50)
- advisor count surgeChange between filings · filing Mar 31, 2026advisory representatives (Item 5.B.3) moved from 2,096.0 to 3,209.0 (+53.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +7.0% (49 comparable advisers, 98.0th percentile of changes)peers: affiliated wealth managers, $20B and over (49) · 98% percentile
- HNW share shiftChange between filings · filing Mar 31, 2026HNW share of RAUM moved from 30.0% to 51.0% between the annual amendments of 2025-03-31 and 2026-03-31peers: affiliated wealth managers, $20B and over (50)
What changed
consecutive filings, newest first
- Assets in custody · $25B to $0Mar 31, 2026 to Jul 15, 2026
- Accounts · 114,002 to 139,192Feb 20, 2026 to Mar 31, 2026
- Advisory employees · 3,130 to 4,492Feb 20, 2026 to Mar 31, 2026
- BD registered reps · 3,630 to 3,763Feb 20, 2026 to Mar 31, 2026
- Charity clients · 64 to 79Feb 20, 2026 to Mar 31, 2026
- Corporate clients · 233 to 286Feb 20, 2026 to Mar 31, 2026
- HNW clients · 6,019 to 22,822Feb 20, 2026 to Mar 31, 2026
- Individual clients · 80,370 to 79,249Feb 20, 2026 to Mar 31, 2026
- Pension plan clients · 40 to 127Feb 20, 2026 to Mar 31, 2026
- Pooled vehicle clients · unset to 0.0Feb 20, 2026 to Mar 31, 2026
- Assets in custody · $19B to $25BFeb 20, 2026 to Mar 31, 2026
- Employees · 4,650 to 5,215Feb 20, 2026 to Mar 31, 2026
- State-registered IARs · 2,096 to 3,209Feb 20, 2026 to Mar 31, 2026
- Other offices · 1,075 to 1,140Feb 20, 2026 to Mar 31, 2026
- Discretionary RAUM · $19B to $25BFeb 20, 2026 to Mar 31, 2026
- HNW RAUM · $5.7B to $13BFeb 20, 2026 to Mar 31, 2026
- Individual RAUM · $13B to $12BFeb 20, 2026 to Mar 31, 2026
- Non-discretionary RAUM · $0 to $3.6MFeb 20, 2026 to Mar 31, 2026
- Pension RAUM · $148M to $201MFeb 20, 2026 to Mar 31, 2026
- Pooled vehicle RAUM · unset to 0.0Feb 20, 2026 to Mar 31, 2026
- RAUM · $19B to $25BFeb 20, 2026 to Mar 31, 2026
- Accounts · 0 to 114,002Feb 18, 2025 to Mar 31, 2025
- Advisory employees · 12 to 3,130Feb 18, 2025 to Mar 31, 2025
- BD registered reps · 55 to 3,630Feb 18, 2025 to Mar 31, 2025
- Charity clients · unset to 64.0Feb 18, 2025 to Mar 31, 2025
- Corporate clients · 0 to 233Feb 18, 2025 to Mar 31, 2025
- HNW clients · 0 to 6,019Feb 18, 2025 to Mar 31, 2025
- Individual clients · 0 to 80,370Feb 18, 2025 to Mar 31, 2025
- Pension plan clients · 0 to 40Feb 18, 2025 to Mar 31, 2025
- Assets in custody · $0 to $19BFeb 18, 2025 to Mar 31, 2025
- Employees · 64 to 4,650Feb 18, 2025 to Mar 31, 2025
- Insurance-licensed employees · 12 to 36Feb 18, 2025 to Mar 31, 2025
- Financial planning clients · 0 to More than 500Feb 18, 2025 to Mar 31, 2025
- State-registered IARs · 12 to 2,096Feb 18, 2025 to Mar 31, 2025
- Other offices · 4 to 1,075Feb 18, 2025 to Mar 31, 2025
- Discretionary RAUM · $0 to $19BFeb 18, 2025 to Mar 31, 2025
- HNW RAUM · $0 to $5.7BFeb 18, 2025 to Mar 31, 2025
- Individual RAUM · $0 to $13BFeb 18, 2025 to Mar 31, 2025
- Pension RAUM · $0 to $148MFeb 18, 2025 to Mar 31, 2025
- RAUM · $0 to $19BFeb 18, 2025 to Mar 31, 2025
Signals
60 dated events
- Peter Bohan no longer holds an investment adviser registration (last listed at Lpl Enterprise, Llc on the 2026-09-16 feed)Sep 16, 2026 · Advisor registration ended · derived
- Timothy Kueberth no longer holds an investment adviser registration (last listed at Lpl Enterprise, Llc on the 2026-09-16 feed)Sep 16, 2026 · Advisor registration ended · derived
- Michael Zelisko no longer holds an investment adviser registration (last listed at Lpl Enterprise, Llc on the 2026-09-16 feed)Sep 16, 2026 · Advisor registration ended · derived
- Giovanni Baczynski registered as an investment adviser representative at Lpl Enterprise, LlcSep 16, 2026 · Advisor registered · fact
- Douglas Levi Slater registered as an investment adviser representative at Lpl Enterprise, LlcSep 16, 2026 · Advisor registered · fact
- Francisco Xavier Triay registered as an investment adviser representative at Lpl Enterprise, LlcSep 16, 2026 · Advisor registered · fact
- Eric Alan Opheim added a CA registration at Lpl Enterprise, LlcSep 16, 2026 · New state registration · fact
- Shane Davis left LPL Enterprise, LLC for Ameriprise Financial Services, LLC (registered 2026-09-04)Sep 16, 2026 · Advisor changed firm · fact
- Margaret Ellisabeth Mcentire left LPL Enterprise, LLC for Crews & Associates, Inc. (registered 2026-09-04)Sep 16, 2026 · Advisor changed firm · fact
- Anthony James Gallo no longer holds an investment adviser registration (last listed at Lpl Enterprise, Llc on the 2026-09-15 feed)Sep 15, 2026 · Advisor registration ended · derived
- Wansha Zhao no longer holds an investment adviser registration (last listed at Lpl Enterprise, Llc on the 2026-09-15 feed)Sep 15, 2026 · Advisor registration ended · derived
- Preston Shea Begley registered as an investment adviser representative at Lpl Enterprise, LlcSep 15, 2026 · Advisor registered · fact
- Manjula Alagani registered as an investment adviser representative at Lpl Enterprise, LlcSep 15, 2026 · Advisor registered · fact
- Augustine Martel registered as an investment adviser representative at Lpl Enterprise, LlcSep 15, 2026 · Advisor registered · fact
- Gregory Wood registered as an investment adviser representative at Lpl Enterprise, LlcSep 15, 2026 · Advisor registered · fact
- Cindy Lainung Lam registered as an investment adviser representative at Lpl Enterprise, LlcSep 15, 2026 · Advisor registered · fact
- Philip Yotaro Lee added a CA registration at Lpl Enterprise, LlcSep 15, 2026 · New state registration · fact
- Kimble Milton Johnson no longer registered at LPL Enterprise, LLC; no later IA registration on IAPDSep 15, 2026 · Advisor departure · fact
- Scott Harold Svensen registered as an investment adviser representative at Lpl Enterprise, LlcSep 14, 2026 · Advisor registered · fact
- Abraham Salinas registered as an investment adviser representative at Lpl Enterprise, LlcSep 14, 2026 · Advisor registered · fact
- Samuel Connelly no longer holds an investment adviser registration (last listed at Lpl Enterprise, Llc on the 2026-09-14 feed)Sep 14, 2026 · Advisor registration ended · derived
- Ryan Wenzel no longer holds an investment adviser registration (last listed at Lpl Enterprise, Llc on the 2026-09-14 feed)Sep 14, 2026 · Advisor registration ended · derived
- Randy Eugene Johnson no longer holds an investment adviser registration (last listed at Lpl Enterprise, Llc on the 2026-09-14 feed)Sep 14, 2026 · Advisor registration ended · derived
- Michael Kristopher Jones registered as an investment adviser representative at Lpl Enterprise, LlcSep 14, 2026 · Advisor registered · fact
- Matthew Malachi Brown registered as an investment adviser representative at Lpl Enterprise, LlcSep 14, 2026 · Advisor registered · fact
- Ryan Alexander Chait registered as an investment adviser representative at Lpl Enterprise, LlcSep 14, 2026 · Advisor registered · fact
- Steven David Sasson added a TX registration at Lpl Enterprise, LlcSep 14, 2026 · New state registration · fact
- Bei Wan left LPL Enterprise, LLC for Navy Federal Investment Services, LLC (registered 2026-09-11)Sep 14, 2026 · Advisor changed firm · fact
- Matthew Mccormack left LPL Enterprise, LLC for Simplicity Wealth (registered 2026-09-15)Sep 11, 2026 · Advisor changed firm · fact
- Daniel John Day left Lpl Enterprise, Llc for Edward Jones (registered 2026-08-31)Sep 8, 2026 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
- LPL Enterprise, LLC · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Principal office phone
- 704-733-3300reportedpublic record, Form ADV, Jul 15, 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
- $8.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026