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

Cambridge Investment Research Advisors, Inc.

Broker-dealer affiliated wealth managerFairfield, IowaCRD 134139SEC 801-63930website IAPD

Latest filing Sep 11, 2026

First filing on the tape Dec 6, 2011 · 175 filings

SEC status approved since Feb 3, 2005

RAUM

$139B

reported, Item 5.F

Discretionary

94%

of RAUM

Private clients

97%

$135B individuals and HNW

Advisors

3,941

registered through the firm on IAPD

RAUM per advisor

$35.2M

derived; firm RAUM over IAPD count

Employees

3,527

3,496 advisory (5.B.1)

Offices

2,339

beyond the principal office

Private funds

reported on Schedule D

History

175 filings and snapshots on the tape

RAUM$139B as of Aug 28, 2026

Mar 30, 2012$21B then

HNW client RAUM$70B as of Aug 28, 2026

Mar 30, 2018$15B then

State-registered IARs (5.B.3)3,527 as of Aug 28, 2026

Mar 22, 20131,585 then

Employees (5.A)3,527 as of Aug 28, 2026

Mar 22, 20131,585 then

Private funds: no history

RAUM +35% over the last fiscal year+19% a year over threeIARs 3,361 to 3,527offices 2,260 to 2,339

Practice profile

derived from the filing of Sep 11, 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)
Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets

RAUM per advisor: $35.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 90derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.5MderivedHNW RAUM over HNW clients
Average account: $228,013derivedRAUM over accounts (5.F.2.f)
Discretionary: 94%derivedof RAUM
Institutional: 2.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 0.9derivedItem 5.A over advisors
Advisors per office: 1.7derived2,340 offices incl. principal (1.F.5)
RAUM growth, one year: +35%derivedbetween the last two annual amendments
Advisor growth, one year: +4.9%derivedItem 5.B.3 between annual amendments
Client growth, one year: +11%derived
Compensation: percentage of assets, hourly, fixed fees, commissions, otherreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
Financial planning clients: 48,500reportedItem 5.H
Wrap fee program: $77BreportedItem 5.I
Ownership: no PE, bank or public-company owner found on Schedule Aderived
Firms absorbed, 24 months: 1derivedhalf 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

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)
has custody of client securities (9.A.1.b)
a related person has custody of client securities (9.B.1.b)
an independent public accountant performs a surprise examination (9.C.1)
marketing includes testimonials (5.L.1.c)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$70B50%
Individuals$65B47%
State and municipal entities$3.0B2.2%
Pension and profit-sharing plans$1.1B0.8%
Charitable organizations$16.9M0.0%

Individual clients: 308,441reported
HNW clients: 47,431reported
Pension plan clients: 2,387reported
Charitable clients: 6reported
Accounts: 608,275reported
Financial planning clients: 48,500reported
Wrap fee programs: $0 sponsored, $0 managedreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, hourly, commissionsreported
Class basis: private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=true related_bank=false bd_reps=3336.0derived

Advisors registered through the firm

3,925 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
Timothy James Gardner	Vineland, Nj	Mar 28, 2005	27 y	1
Mark Gerard Hyland	Louisville, Ky	Mar 28, 2005	28 y	0
Richard Walker Butler	Biddeford, Me	Mar 28, 2005	30 y	1
Paul David Nenni	Middletown, Oh	Mar 28, 2005	30 y	0
Christopher Edward Charles Smitherman	Cincinnati, Oh	Mar 28, 2005	28 y	1
Darrell Newell Douglass	Pontiac, Il	Mar 28, 2005	30 y	1
Donald Matthews Freeman	Riverside, Ct	Mar 28, 2005	29 y	1
Peter Eric PhilippCertified Financial Planner, Chartered Financial Analyst	Laguna Niguel, Ca	Mar 28, 2005	27 y	1
John Aloysius Locke	Atlanta, Ga	Mar 28, 2005	37 y	1
Nathan Wayne Lindemeyer	Pewee Valley, Ky	Mar 28, 2005	32 y	0
David Eugene Wiegand	East Alton, Il	Mar 28, 2005	35 y	0
Don Peter StalkerCertified Financial Planner	Riverside, Ca	Mar 28, 2005	31 y	2
Frederic Franklin Hoffman	Arlington Hts, Il	Mar 28, 2005	40 y	0
Cheryl Ray KelleyCertified Financial Planner	Germantown, Tn	Mar 28, 2005	30 y	1
Michael Kenneth King	Brentwood, Tn	Mar 28, 2005	32 y	1
Steven Edgar Seward	Panama City Beach, Fl	Mar 28, 2005	28 y	0
Rick Andrew YoungCertified Financial Planner	Omaha, Ne	Mar 28, 2005	30 y	1
Bobby Wayne Northup	Fairfield, Ia	Mar 28, 2005	42 y	0
Joyce Ann Blonskij	Roseville, Ca	Mar 28, 2005	40 y	1
Christina H. FlorenceCertified Financial Planner	Folsom, Ca	Mar 28, 2005	22 y	0
Marc Joseph ZanghiCertified Financial Planner	Milford, Ct	Mar 28, 2005	36 y	0
Ross James Reinhart	Chicago, Il	Mar 28, 2005	24 y	2
Roland Patrick GagneCertified Financial Planner, Chartered Financial Consultant	Biddeford, Me	Mar 28, 2005	35 y	1
Ronald John Dobro	Canfield, Oh	Mar 28, 2005	37 y	0
Gary Thomas WargoCertified Financial Planner	Clearwater, Fl	Mar 28, 2005	40 y	4
Kathleen Mary Talboom	Largo, Fl	Mar 28, 2005	40 y	1
Karl Edward ElsassCertified Financial Planner	Massillon, Oh	Mar 28, 2005	31 y	1
John Dale LaneCertified Financial Planner	Cameron Park, Ca	Mar 28, 2005	26 y	1
Robert Toombs Dixon	Webster Groves, Mo	Mar 28, 2005	30 y	1
Peter Domenico Dollive	Austin, Tx	Mar 28, 2005	53 y	0
Kevin Yautoo ChiuCertified Financial Planner	Canfield, Oh	Mar 28, 2005	27 y	1
Ann Catherine Stalans	Sevierville, Tn	Mar 28, 2005	36 y	0
Scott Alan Viesselmann	Scottsdale, Az	Mar 28, 2005	29 y	0
Matthew Christopher Seale	Ocilla, Ga	Mar 28, 2005	25 y	0
Howard C Schoeffler	Lafayette, Al	Mar 28, 2005	35 y	0
Paul J Fetter	Pewee Valley, Ky	Mar 28, 2005	33 y	0
Todd Lewis FreemanCertified Financial Planner, Chartered Financial Consultant	Belmont, Ca	Mar 28, 2005	42 y	0
Everett Roy FreebergChartered Financial Consultant	Washington, Il	Mar 28, 2005	44 y	1
Daniel Wayne Forgy	Overland Park, Ks	Mar 28, 2005	34 y	1
Marcel Herbert WehrCertified Financial Planner	Boulder, Co	Mar 28, 2005	26 y	0

All 3,925 advisors at Cambridge Investment Research Advisors, Inc.

Advisor movement

211 left, 250 joined in 12 months

net +39 in 12 months59 left in 90 days46 joined in 90 daysdeparture rate 5.4% of current headcount615 left over 36 months

Left, latest

Travis Henry Roth to LPL Financial LLC
Sep 14, 2026 · Affiliated broker-dealer or bank to another
Amethyst Judith Roth to LPL Financial LLC
Sep 14, 2026 · Affiliated broker-dealer or bank to another
Donald Leonhard Hartmann to Ausdal Financial Partners, Inc.
Sep 8, 2026 · Affiliated broker-dealer or bank to independent RIA
Jason Fagan to Sowell Management
Sep 4, 2026 · Affiliated broker-dealer or bank to independent RIA
Joshua Daniel Ellis to Sowell Management
Sep 4, 2026 · Affiliated broker-dealer or bank to independent RIA
William Joseph Aldrich to Aldrich Investment Management
Aug 28, 2026 · Affiliated broker-dealer or bank to a state-registered adviser
Anthony Matthew Conte to Thegrid LLC
Aug 25, 2026 · Other
Alexander David Langan to Langan Financial Group
Aug 25, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
James Robert Allen to Tartan Financial Group, LLC
Aug 25, 2026 · Affiliated broker-dealer or bank to a state-registered adviser
Harry S Claypool to Langan Financial Group
Aug 25, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
Randall Scott Ward to Global Retirement Partners LLC
Aug 25, 2026 · Other
Robert John Langan to Langan Financial Group
Aug 25, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
Tyler Quinn to Langan Financial Group
Aug 25, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
Joseph Edward Straka to Raymond James Financial Services Advisors, Inc
Aug 24, 2026 · Affiliated broker-dealer or bank to another
John Joseph Waldron to Acpwa, LLC
Aug 24, 2026 · Other

Joined, latest

Raquel Austin from Merrill Lynch, Pierce, Fenner & Smith Incorporated
Sep 16, 2026 · Wirehouse to affiliated broker-dealer or bank
Samuel Shober Stroud from Sei Investments Management Corp
Sep 15, 2026 · RIA to affiliated broker-dealer or bank
Carter J Mathiason from Morgan Stanley
Sep 11, 2026 · Wirehouse to affiliated broker-dealer or bank
Susan Adele Knox from LPL Financial LLC
Sep 4, 2026 · Affiliated broker-dealer or bank to another
Johnathon Rocco Woodard from Merrill Lynch, Pierce, Fenner & Smith Incorporated
Sep 3, 2026 · Wirehouse to affiliated broker-dealer or bank
Ryan Paul Kelly from LPL Financial LLC
Sep 3, 2026 · Affiliated broker-dealer or bank to another
David Morgan from Simplicity Wealth
Sep 2, 2026 · RIA to affiliated broker-dealer or bank
Christopher Scott Czanstke from Strategic Advisers LLC
Aug 31, 2026 · Affiliated broker-dealer or bank to another
Paul Leonard Goenner from Bfc Planning, Inc.
Aug 31, 2026 · Affiliated broker-dealer or bank to another
Tracy L Kendrick from Wells Fargo Advisors
Aug 27, 2026 · Wirehouse to affiliated broker-dealer or bank
Sarah Day from Northwestern Mutual Investment Services,LLC
Aug 26, 2026 · Other
Terek Wilson from Foundations Investment Advisors LLC
Aug 24, 2026 · RIA to affiliated broker-dealer or bank
David N Soiferman from Ameriprise Financial Services, LLC
Aug 24, 2026 · Affiliated broker-dealer or bank to another
Gavin Thomas Owen from Whitwell Advisors
Aug 21, 2026 · RIA to affiliated broker-dealer or bank
Lance Scott Schlosser from Peak Retirement Planning, Inc.
Aug 20, 2026 · RIA 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 LPL Financial LLC
Sep 14, 2026 · Delta, Co
2 left for Sowell Management
Sep 4, 2026 · Merritt Island, Fl
4 left for Langan Financial Group
Aug 25, 2026 · Camp Hill, Pa
2 left for Denver Wealth Management, Inc.
Aug 18, 2026 · Grand Junction, Co
11 left for LPL Financial LLC
Jul 13, 2026 · Boca Raton, Fl
2 left for Alphatrust Advisors
Jul 6, 2026 · Phoenix, Az
2 left for The Fiduciary Alliance
Jul 1, 2026 · Spartanburg, Sc
2 left for LPL Financial LLC
Jun 24, 2026 · Worthington, Oh

2 joined from LPL Financial LLC
Sep 16, 2026 · Roseville, Ca
2 joined from Commonwealth Financial Network
Jul 1, 2026 · Bethlehem, Pa
2 joined from Independent Financial Partners
Jun 30, 2026 · Atlanta, Ga
3 joined from LPL Financial LLC
Jun 24, 2026 · Wall, Nj
2 joined from Kestra Advisory Services, LLC
Jun 22, 2026 · Austin, Tx
2 joined from Commonwealth Financial Network
Jun 15, 2026 · Burlington, Ma
2 joined from Commonwealth Financial Network
May 8, 2026 · Erlanger, Ky
3 joined from Commonwealth Financial Network
Apr 20, 2026 · Bagley, Mn

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

Mcguire Colleen Bell · President, Innovation And Experience, Directorcontrol
since 08/2022 · owns less than 5%
Aaron Seth Miller · President, Advocacy And Administration, General Counsel, Directorcontrol
since 08/2022 · owns less than 5%
Ann Tammy Robbins · Executive Vice President, Chief Business Development Officercontrol
since 09/2020 · owns less than 5%
Francis Jeffrey Vivacqua · President, Growth And Development, Directorcontrol
since 08/2022 · owns less than 5%
Lynn Amy Webber · Chief Executive Officer, Secretary, Directorcontrol
since 08/2022 · owns less than 5%
Eric Schwartz · Trusteecontrol
since 08/2015 · owns F of Eric And Kelly Schwartz Charitable Trust
Eric Schwartz · Trusteecontrol
since 09/2024 · owns F of Schwartz Family Trust II
A Kelly Schwartz · Trusteecontrol
since 08/2015 · owns F of Eric And Kelly Schwartz Charitable Trust
Ryan Boen · Evp, Chief Financial Officer
since 01/2024 · owns less than 5%
Murphy Nelson Graham · Executive Vice President, Chief Technology Officer
since 08/2022 · owns less than 5%
Henry Richard Kuhlman · Senior Vice President, Chief Legal Officer
since 05/2023 · owns less than 5%
Thomas Eddie Rollins · Executive Vice President, Managing Director - Bridgeport
since 12/2023 · owns less than 5%
Lynn Andrea Shafer · Senior Vice President, Chief Supervision Officer
since 12/2019 · owns less than 5%
Jean Carla Stone · First Vice President, Finance/Chief Accounting Officer
since 03/2020 · owns less than 5%
Michael Stephen Youhn · Chief Compliance Officer
since 08/2022 · owns less than 5%

Entity owners

Cambridge Investment Group, Inc. · Shareholder/Holding Company
direct · owns 75% or more
Eric And Kelly Schwartz Charitable Trust · Shareholder
indirect · owns 25% to 50% of Cambridge Investment Group, Inc.
Schwartz Family Trust II · Shareholder
indirect · owns 25% to 50% of Cambridge Investment Group, Inc.

Related persons

Schedule D 7.A

Bridgeport Financial Solutions
investment advisernRAUM $1.0B
Cambridge Investment Research, Inc.
broker-dealern
Tbs Agency, Inc
real estaten

Advisers that list Cambridge Investment Research Advisors, Inc. as a related person

151381 n
325485 n

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out
Fairfield, Ia · principal	127	7	3	1
Cincinnati, Oh	51	6	0
Bradenton, Fl	42	10	0
Charlotte, Nc	37	5	1
Phoenix, Az	36	10	3	1
Wichita, Ks	36	4	1
Des Moines, Ia	34	6	0
Houston, Tx	33	4	2
Atlanta, Ga	29	3	1
Denver, Co	28	4	0
Virginia Beach, Va	27	2	0
Omaha, Ne	27	1	1
Overland Park, Ks	25	1	0
Richmond, Va	24	1	1
Pittsburgh, Pa	22	4	5	1
Marietta, Ga	22	2	1
Fort Collins, Co	22	9	0
Las Vegas, Nv	21	4	0
Walnut Creek, Ca	21	9	1
Columbus, Oh	21	1	1

All 60 offices

Post-acquisition retention

advisors of absorbed firms still registered here after the move

Firms absorbed: 8 since 2015, 1 in 24 monthsderived
Advisors acquired: 47derived
Still registered after 90 days: 98% of 47derived
After 180 days: 91% of 47derived
After 365 days: 82% of 44derived
After 730 days: 80% of 44derived
Team lift-outs after: 227derivedteams 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

Glen Allen, VA320 employees
Fort Worth, TX255 employees
Irwin, PA104 employees
Littleton, CO98 employees
Albuquerque, NM96 employees
West Des Moines, IA95 employees
Norwood, MA76 employees
Des Moines, IA75 employees
Nashville, TN75 employees
Malden, MA73 employees
Virginia Beach, VA69 employees
Bradenton, FL68 employees
Tempe, AZ68 employees
Milton, GA65 employees
Wormleysburg, PA65 employees
Farmington Hills, MI54 employees
Cincinnati, OH48 employees
Clearwater, FL37 employees
Cedar Park, TX32 employees
Charlotte, NC30 employees
New Richmond, WI28 employees
Tampa, FL26 employees
Santa Rosa, CA23 employees
Camp Hill, PA23 employees
Portland, OR23 employees

ADV anomalies

1 against comparable advisers; where to look, not conclusions

high post acquisition advisor attritionCombination · filing Sep 17, 2026
82.0% of 44 advisors acquired in 8 absorbed firms were still registered here a year later; the median acquirer keeps 90.0% and the bottom decile 82.0%. A lower bound: industry exits and re-registration to an affiliated CRD count as departures
peers: ACQUIRERS_30_PLUS_MEASURED (40)

How anomalies are measured

What changed

consecutive filings, newest first

Financial planning clients · More than 500 to More than 500
Aug 28, 2026 to Sep 11, 2026
Succession · false to unset
Aug 28, 2026 to Sep 11, 2026
Accounts · 438,414 to 608,275
Feb 20, 2026 to Mar 31, 2026
Advisory employees · 3,327 to 3,496
Feb 20, 2026 to Mar 31, 2026
BD registered reps · 3,210 to 3,336
Feb 20, 2026 to Mar 31, 2026
Charity clients · 5 to 6
Feb 20, 2026 to Mar 31, 2026
HNW clients · 38,989 to 47,431
Feb 20, 2026 to Mar 31, 2026
Individual clients · 280,468 to 308,441
Feb 20, 2026 to Mar 31, 2026
Pension plan clients · 924 to 2,387
Feb 20, 2026 to Mar 31, 2026
Assets in custody · $94B to $177B
Feb 20, 2026 to Mar 31, 2026
Employees · 3,361 to 3,527
Feb 20, 2026 to Mar 31, 2026
Insurance-licensed employees · 56 to 104
Feb 20, 2026 to Mar 31, 2026
State-registered IARs · 3,361 to 3,527
Feb 20, 2026 to Mar 31, 2026
Other offices · 2,260 to 2,339
Feb 20, 2026 to Mar 31, 2026
Discretionary RAUM · $95B to $131B
Feb 20, 2026 to Mar 31, 2026
HNW RAUM · $49B to $70B
Feb 20, 2026 to Mar 31, 2026
Individual RAUM · $51B to $65B
Feb 20, 2026 to Mar 31, 2026
Non-discretionary RAUM · $7.7B to $7.9B
Feb 20, 2026 to Mar 31, 2026
Pension RAUM · $717M to $1.1B
Feb 20, 2026 to Mar 31, 2026
RAUM · $102B to $139B
Feb 20, 2026 to Mar 31, 2026
Accounts · 448,526 to 438,414
Jan 17, 2025 to Mar 28, 2025
Advisory employees · 3,274 to 3,327
Jan 17, 2025 to Mar 28, 2025
BD registered reps · 3,178 to 3,210
Jan 17, 2025 to Mar 28, 2025
Charity clients · 3 to 5
Jan 17, 2025 to Mar 28, 2025
HNW clients · 33,273 to 38,989
Jan 17, 2025 to Mar 28, 2025
Individual clients · 270,166 to 280,468
Jan 17, 2025 to Mar 28, 2025
Pension plan clients · 933 to 924
Jan 17, 2025 to Mar 28, 2025
Employees · 3,312 to 3,361
Jan 17, 2025 to Mar 28, 2025
Insurance-licensed employees · 55 to 56
Jan 17, 2025 to Mar 28, 2025
Financial planning clients · More than 500 to More than 500
Jan 17, 2025 to Mar 28, 2025
State-registered IARs · 3,312 to 3,361
Jan 17, 2025 to Mar 28, 2025
Other offices · 2,192 to 2,260
Jan 17, 2025 to Mar 28, 2025
Discretionary RAUM · $80B to $95B
Jan 17, 2025 to Mar 28, 2025
HNW RAUM · $39B to $49B
Jan 17, 2025 to Mar 28, 2025
Individual RAUM · $46B to $51B
Jan 17, 2025 to Mar 28, 2025
Non-discretionary RAUM · $7.5B to $7.7B
Jan 17, 2025 to Mar 28, 2025
Pension RAUM · $665M to $717M
Jan 17, 2025 to Mar 28, 2025
RAUM · $87B to $102B
Jan 17, 2025 to Mar 28, 2025
Accounts · 461,370 to 448,526
Feb 27, 2024 to Mar 30, 2024
Advisory employees · 3,313 to 3,274
Feb 27, 2024 to Mar 30, 2024

Signals

60 dated events

Raquel Austin registered as an investment adviser representative at Cambridge Investment Research Advisors, Inc.
Sep 16, 2026 · Advisor registered · fact
Curtis Dean Harris added a CA registration at Cambridge Investment Research Advisors, Inc.
Sep 16, 2026 · New state registration · fact
2 advisors left LPL Financial LLC (Roseville, CA) for Cambridge Investment Research Advisors, Inc. on the same day
Sep 16, 2026 · Team lift-out · derived
Gary Von Hobbs no longer holds an investment adviser registration (last listed at Cambridge Investment Research Advisors, Inc. on the 2026-09-15 feed)
Sep 15, 2026 · Advisor registration ended · derived
Harold August Michael Dédé no longer holds an investment adviser registration (last listed at Cambridge Investment Research Advisors, Inc. on the 2026-09-15 feed)
Sep 15, 2026 · Advisor registration ended · derived
Samuel Shober Stroud registered as an investment adviser representative at Cambridge Investment Research Advisors, Inc.
Sep 15, 2026 · Advisor registered · fact
Ashley Nicole Wallace registered as an investment adviser representative at Cambridge Investment Research Advisors, Inc.
Sep 15, 2026 · Advisor registered · fact
Maximilian Clark Meadows registered as an investment adviser representative at Cambridge Investment Research Advisors, Inc.
Sep 15, 2026 · Advisor registered · fact
Susan Tondera Brown no longer holds an investment adviser registration (last listed at Cambridge Investment Research Advisors, Inc. on the 2026-09-14 feed)
Sep 14, 2026 · Advisor registration ended · derived
Lucas Roko Sorich no longer holds an investment adviser registration (last listed at Cambridge Investment Research Advisors, Inc. on the 2026-09-14 feed)
Sep 14, 2026 · Advisor registration ended · derived
Benjamin Porter registered as an investment adviser representative at Cambridge Investment Research Advisors, Inc.
Sep 14, 2026 · Advisor registered · fact
Amethyst Judith Roth left Cambridge Investment Research Advisors, Inc. for LPL Financial LLC (registered 2026-09-01)
Sep 14, 2026 · Advisor changed firm · fact
Travis Henry Roth left Cambridge Investment Research Advisors, Inc. for LPL Financial LLC (registered 2026-09-01)
Sep 14, 2026 · Advisor changed firm · fact
2 advisors left Cambridge Investment Research Advisors, Inc. (Delta, CO) for LPL Financial LLC on the same day
Sep 14, 2026 · Team lift-out · derived
Donald Leonhard Hartmann left Cambridge Investment Research Advisors, Inc. for Ausdal Financial Partners, Inc. (registered 2026-07-29)
Sep 8, 2026 · Advisor changed firm · fact
Jason Fagan left Cambridge Investment Research Advisors, Inc. for Sowell Management (registered 2026-09-08)
Sep 4, 2026 · Advisor changed firm · fact
Joshua Daniel Ellis left Cambridge Investment Research Advisors, Inc. for Sowell Management (registered 2026-09-02)
Sep 4, 2026 · Advisor changed firm · fact
2 advisors left Cambridge Investment Research Advisors, Inc. (Merritt Island, FL) for Sowell Management on the same day
Sep 4, 2026 · Team lift-out · derived
William Joseph Aldrich left Cambridge Investment Research Advisors, Inc. for Aldrich Investment Management (registered 2026-08-31)
Aug 28, 2026 · Advisor changed firm · fact
Randall Scott Ward left Cambridge Investment Research Advisors, Inc. for Global Retirement Partners Llc (registered 2026-08-14)
Aug 25, 2026 · Advisor changed firm · fact
Tyler Quinn left Cambridge Investment Research Advisors, Inc. for Langan Financial Group (registered 2026-08-18)
Aug 25, 2026 · Advisor changed firm · fact
Harry S Claypool left Cambridge Investment Research Advisors, Inc. for Langan Financial Group (registered 2026-08-18)
Aug 25, 2026 · Advisor changed firm · fact
James Robert Allen left Cambridge Investment Research Advisors, Inc. for Tartan Financial Group, Llc (registered 2026-08-14)
Aug 25, 2026 · Advisor changed firm · fact
Alexander David Langan left Cambridge Investment Research Advisors, Inc. for Langan Financial Group (registered 2026-08-18)
Aug 25, 2026 · Advisor changed firm · fact
Robert John Langan left Cambridge Investment Research Advisors, Inc. for Langan Financial Group (registered 2026-08-24)
Aug 25, 2026 · Advisor changed firm · fact
Anthony Matthew Conte left Cambridge Investment Research Advisors, Inc. for Thegrid Llc (registered 2023-10-04)
Aug 25, 2026 · Advisor changed firm · fact
4 advisors left Cambridge Investment Research Advisors, Inc. (Camp Hill, PA) for Langan Financial Group on the same day
Aug 25, 2026 · Team lift-out · derived
Joseph Edward Straka left Cambridge Investment Research Advisors, Inc. for Raymond James Financial Services Advisors, Inc (registered 2026-08-17)
Aug 24, 2026 · Advisor changed firm · fact
John Joseph Waldron left Cambridge Investment Research Advisors, Inc. for Acpwa, Llc (registered 2022-03-11)
Aug 24, 2026 · Advisor changed firm · fact
William Ryan Zenk left Cambridge Investment Research Advisors, Inc. for Blackhawk Capital Partners, Llc (registered 2026-09-01)
Aug 19, 2026 · Advisor changed firm · fact

Across DFX

shared identifiers only, never a name match

Cambridge Investment Research Advisors, Inc. · Private Equity
shared crd · intermediary

How to reach

public business contact points only, each with its source

Business phone: 877-688-2369reportedpublished by the firm, firm site, Sep 16, 2026
Firm profile: linkedin.com/company/cambridge-investment-researchreportedpublic record, Form ADV, Sep 17, 2026
Website: joincambridge.comreportedpublic record, Form ADV, Sep 17, 2026
Principal office phone: 641-472-5100reportedpublic record, Form ADV, Sep 11, 2026
Contact form: joincambridge.com/connectreportedpublished by the firm, firm site, Sep 16, 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: $35.2Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026