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.
Registered advisor
Gregory C Finke
Certified Financial Planner
Feed of 09/15/2026
Also filed as Greg Finke
At current firm
2 y
since Jul 1, 2024
In the industry
22 y
since Aug 1, 2004 (earliest exam, job or registration)
Prior registered firms
6
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- Focus Partners Wealth, LLC independent RIA currentsince Jul 1, 2024 · Lees Summit, Mo
- Buckingham Strategic Wealth, LLC formerApr 26, 2024 to Jul 1, 2024 · Lees Summit, Mo
- Charles Schwab & Co., Inc. national BDJan 26, 2022 to Jan 10, 2024 · Overland Park, Ks
- Td Ameritrade Investment Management, LLC formerMay 29, 2020 to Sep 7, 2023 · Overland Park, Ks
- Td Ameritrade, Inc. formerMay 29, 2020 to Oct 14, 2022 · Overland Park, Ks
- MML Investors Services, LLC BD affiliatedFeb 22, 2018 to Jul 5, 2019 · Independence, Mo
- Stewardship Capital independent RIASep 2, 2005 to Sep 7, 2017 · Independence, Mo
Moves
a registration end followed by a registration begin elsewhere
- Buckingham Strategic Wealth, LLC to Focus Partners Wealth, LLCleft Jul 1, 2024, registered Jul 1, 2024 (0 days) · corporate re-registration, not a move
- Charles Schwab & Co., Inc. to Buckingham Strategic Wealth, LLCleft Jan 10, 2024, registered Apr 26, 2024 (107 days) · Affiliated broker-dealer or bank to independent RIA
- Td Ameritrade Investment Management, LLC to Charles Schwab & Co., Inc.left Sep 7, 2023, registered Jan 26, 2022 (-589 days) · corporate re-registration, not a move
- Td Ameritrade, Inc. to Td Ameritrade Investment Management, LLCleft Oct 14, 2022, registered May 29, 2020 (-868 days) · corporate re-registration, not a move
- MML Investors Services, LLC to Td Ameritrade, Inc.left Jul 5, 2019, registered May 29, 2020 (329 days) · Other
- Stewardship Capital to MML Investors Services, LLCleft Sep 7, 2017, registered Feb 22, 2018 (168 days) · Other
Signals
- Gregory C Finke left Charles Schwab & Co., Inc. for Buckingham Strategic Wealth, Llc (registered 2024-04-26)Jan 10, 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
- Independent wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address