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

Sarah Emily Harris

Ajax Capital Advisors, Inc.state registeredAtlanta, Ga IA-onlyIAPD 6708887

Feed of 09/14/2026

Also filed as Se Harris

At current firm

2 y

since Feb 2, 2024

In the industry

10 y

since Aug 1, 2016 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Ajax Capital Advisors, Inc. state registered current
since Feb 2, 2024 · Fayetteville, Ar
Avantax Advisory Services former
Aug 9, 2022 to Feb 2, 2024 · Rogers, Ar
Cornerstone Wealth Management, LLC independent RIA
Jan 14, 2022 to Nov 28, 2023 · Des Peres, Mo
Avantax Advisory Services former
Jul 26, 2021 to Jan 20, 2022 · Fayetteville, Ar
Level Four Advisory Services BD affiliated
Jun 19, 2019 to Jun 11, 2021 · Conway, Ar

Moves

a registration end followed by a registration begin elsewhere

Avantax Advisory Services to Ajax Capital Advisors, Inc.
left Feb 2, 2024, registered Feb 2, 2024 (0 days) · Affiliated broker-dealer or bank to a state-registered adviser
Cornerstone Wealth Management, LLC to Avantax Advisory Services
left Nov 28, 2023, registered Aug 9, 2022 (-476 days) · RIA to affiliated broker-dealer or bank
Avantax Advisory Services to Cornerstone Wealth Management, LLC
left Jan 20, 2022, registered Jan 14, 2022 (-6 days) · Affiliated broker-dealer or bank to independent RIA
Level Four Advisory Services to Avantax Advisory Services
left Jun 11, 2021, registered Jul 26, 2021 (45 days) · Affiliated broker-dealer or bank to another

Signals

Sarah Emily Harris left Avantax Advisory Services for Ajax Capital Advisors, Inc. (registered 2024-02-02)
Feb 2, 2024 · Advisor changed firm · fact
Sarah Emily Harris left Cornerstone Wealth Management, Llc for Avantax Advisory Services (registered 2022-08-09)
Nov 28, 2023 · Advisor changed firm · fact
Sarah Emily Harris left Avantax Advisory Services for Cornerstone Wealth Management, Llc (registered 2022-01-14)
Jan 20, 2022 · 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: STATE REGISTEREDderived
Years in industry: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address