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.
Feed of 09/14/2026
At current firm
0 y
since Sep 10, 2026
In the industry
27 y
since Jun 18, 1999 (earliest exam, job or registration)
Prior registered firms
10
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- LPL Financial LLC BD affiliated currentsince Sep 10, 2026 · Fresno, Ca
- Wellth Advisory Services, LLC institutionalJun 28, 2024 to Jun 26, 2026 · Shorewood, Il
- Global Retirement Partners LLC institutionalJan 9, 2024 to Jul 9, 2024 · San Rafael, Ca
- Roush Investments, LLC formerJul 31, 2018 to Dec 31, 2024 · Fresno, Ca
- Wells Fargo Advisors wirehouseDec 15, 2015 to Jul 31, 2018 · Fresno, Ca
- U.S. Bancorp Advisors, LLC BD affiliatedSep 24, 2010 to Dec 16, 2015 · Reedley, Ca
- Wells Fargo Advisors wirehouseMar 3, 2009 to Sep 24, 2010 · Madera, Ca
- Portfolio Advisors, Inc. independent RIAJan 14, 2009 to Feb 2, 2009 · Fresno, Ca
- Citigroup Global Markets Inc. BD affiliatedMay 29, 2007 to Jan 23, 2009 · Fresno, Ca
- Citicorp Investment Services unclassifiedMar 24, 2003 to May 29, 2007 · Madera, Ca
- A. G. Edwards & Sons, Inc. unclassifiedMar 30, 2001 to Mar 26, 2003 · Fresno, Ca
Moves
a registration end followed by a registration begin elsewhere
- Wellth Advisory Services, LLC to LPL Financial LLCleft Jun 26, 2026, registered Sep 10, 2026 (76 days) · Other
- Roush Investments, LLC to Global Retirement Partners LLCleft Dec 31, 2024, registered Jan 9, 2024 (-357 days) · Other · moved with a team
- Global Retirement Partners LLC to Wellth Advisory Services, LLCleft Jul 9, 2024, registered Jun 28, 2024 (-11 days) · corporate re-registration, not a move
- Wells Fargo Advisors to Roush Investments, LLCleft Jul 31, 2018, registered Jul 31, 2018 (0 days) · Other
- U.S. Bancorp Advisors, LLC to Wells Fargo Advisorsleft Dec 16, 2015, registered Dec 15, 2015 (-1 days) · Other
- Wells Fargo Advisors to U.S. Bancorp Advisors, LLCleft Sep 24, 2010, registered Sep 24, 2010 (0 days) · Other
- Portfolio Advisors, Inc. to Wells Fargo Advisorsleft Feb 2, 2009, registered Mar 3, 2009 (29 days) · Other
- Citigroup Global Markets Inc. to Portfolio Advisors, Inc.left Jan 23, 2009, registered Jan 14, 2009 (-9 days) · Other
- Citicorp Investment Services to Citigroup Global Markets Inc.left May 29, 2007, registered May 29, 2007 (0 days) · corporate re-registration, not a move
- A. G. Edwards & Sons, Inc. to Citicorp Investment Servicesleft Mar 26, 2003, registered Mar 24, 2003 (-2 days) · Other
Signals
- Andrew Charles Wheeler left Wellth Advisory Services, Llc for Lpl Financial Llc (registered 2026-09-10)Jun 26, 2026 · Advisor changed firm · fact
- Andrew Charles Wheeler left Roush Investments, Llc for Global Retirement Partners Llc (registered 2024-01-09)Dec 31, 2024 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address