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.
Advisor moves
Registration changes, newest first
A move is two dates on IAPD: the day a person’s registration through one firm ended and the day a registration through another began. The type reads the class of each firm. This is the movement tape the mobility research is validated against; it says what happened, never why, and never who is about to.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Mark Stephen Buckman | Family Investment Management L.P. state registered | LPL Financial LLC BD affiliated | Other | Sep 16, 2026 | Jun 24, 2026 |
| Tod Andrew Drury | LPL Financial LLC BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Sep 16, 2026 | Sep 1, 2026 |
| David Edward Bucholtz | Commonwealth Financial Network national BD | Financial Planning Resources, Inc. unclassified | Other | Sep 16, 2026 | Aug 26, 2019 |
| Cynthia Alda Doussard | Commonwealth Financial Network national BD | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 16, 2026 | Sep 11, 2026 |
| James Frank Tracz | Commonwealth Financial Network national BD | Financial Planning Resources, Inc. unclassified | Other | Sep 16, 2026 | Apr 6, 2022 |
| Eric Scott Holt | Bok Financial Private Wealth, Inc. independent RIA | Cerity Partners LLC independent RIA | RIA to RIA | Sep 16, 2026 | Sep 14, 2026 |
| Luis Francisco Rosa | Origin Investment Advisory LLC independent RIA | Savvy independent RIA | RIA to RIA | Sep 16, 2026 | Dec 9, 2025 |
| Eric Min Wang | Transamerica Financial Advisors, LLC BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 16, 2026 | Sep 14, 2026 |
| Shane Davis | LPL Enterprise, LLC BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Sep 16, 2026 | Sep 4, 2026 |
| Antonio Angelo Taddeo | Financial Planning Associates, LLC independent RIA | Gladstone Wealth Partners independent RIA | RIA to RIA | Sep 16, 2026 | Oct 14, 2025 |
| John Paul Mollica | LPL Financial LLC BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Sep 16, 2026 | Sep 1, 2026 |
| Susan Adele Knox | LPL Financial LLC BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 16, 2026 | Sep 4, 2026 |
| Ryan Paul Kelly | LPL Financial LLC BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 16, 2026 | Sep 3, 2026 |
| Ryan Phillip Russo | Osaic Wealth, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 16, 2026 | Sep 14, 2026 |
| Mark William Giordano | Osaic Wealth, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 16, 2026 | Sep 14, 2026 |
| Ben Ross Mclintock | Arvest Wealth Management independent RIA | Uniting Wealth Partners independent RIA | RIA to RIA | Sep 16, 2026 | Sep 2, 2026 |
| Jorden Rhodes | Morgan Stanley wirehouse | Edward Jones national BD | Wirehouse to affiliated broker-dealer or bank | Sep 16, 2026 | Sep 14, 2026 |
| Andrew Thomas Forrester | Krilogy independent RIA | Xypn Sapphire independent RIA | RIA to RIA | Sep 16, 2026 | Sep 15, 2026 |
| Wendi K Svitak | Leelyn Smith, LLC independent RIA | Bard Associates Inc independent RIA | RIA to RIA | Sep 16, 2026 | Sep 15, 2026 |
| William Hawkins | United Planners' Financial Services Of America A Limited Partner independent RIA | J.P. Morgan Securities LLC wirehouse | RIA to wirehouse | Sep 16, 2026 | Sep 8, 2026 |
| Margaret Ellisabeth Mcentire | LPL Enterprise, LLC BD affiliated | Crews & Associates, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 16, 2026 | Sep 4, 2026 |
| Hannah Keiko Perez | Kestra Private Wealth Services, LLC BD affiliated | Integrated Wealth Concepts LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 16, 2026 | Sep 16, 2026 |
| Rebecca Mason | Goldman Sachs Wealth Services, L.P. BD affiliated | Del-Sette Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 16, 2026 | Aug 24, 2026 |
| Lukas Paul Manger | LPL Financial LLC BD affiliated | Fifth Third Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 16, 2026 | Sep 1, 2026 |
| Angelina Hope Schuman | Aspyre Wealth Partners independent RIA | Intellicents Investment Solutions Inc mixed wealth | RIA to RIA | Sep 16, 2026 | Aug 11, 2026 |
| Robert Thomas Burke St Claire | Charles Schwab & Co., Inc. national BD | Cfo4life independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 16, 2026 | Sep 16, 2026 |
| Matthew Jackson Arnold | Charles Schwab & Co., Inc. national BD | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 16, 2026 | Sep 16, 2026 |
| Gregory Alan Peters | Cetera Investment Advisers LLC BD affiliated | Lafayette Square Financial Advisors, Inc. no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Sep 15, 2026 | Sep 8, 2026 |
| Susan Elizabeth Mclain | Ameriprise Financial Services, LLC national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 15, 2026 | Sep 11, 2026 |
| Daniel Fulvio Spagnolo | Kingswood Wealth Advisors, LLC BD affiliated | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 15, 2026 | Sep 14, 2026 |
| Seth Norman Kahn | Northland Asset Management independent RIA | Colliers Securities LLC BD affiliated | RIA to affiliated broker-dealer or bank | Sep 15, 2026 | Sep 9, 2026 |
| Gary Dale Jones | Fbl Wealth Management, LLC BD affiliated | Savvy independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 15, 2026 | Sep 3, 2026 |
| William Nash Gammill | Equitable Advisors, LLC national BD | Victory Financial independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 15, 2026 | Sep 9, 2026 |
| Patricia Anne Blair | UBS Financial Services Inc. wirehouse | Wedbush Securities Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 15, 2026 | Sep 4, 2026 |
| Ronald Scott Jones | Elder Law Management, Elder Law Planning Services other | Elm Capital Management LLC independent RIA | Other | Sep 15, 2026 | Mar 23, 2020 |
| Michael Patrick Momper | Osaic Wealth, Inc. BD affiliated | Mercer Global Advisors Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 15, 2026 | Sep 2, 2026 |
| Anthony Gerard Hayden | Keating Financial Advisory Services independent RIA | Raymond James Financial Services Advisors, Inc other | Other | Sep 15, 2026 | Jan 2, 2009 |
| Ralph Leslie Thrush | Osaic Advisory Services, LLC BD affiliated | Arkadios Wealth Advisors BD affiliated | Affiliated broker-dealer or bank to another | Sep 15, 2026 | Sep 14, 2026 |
| James Dee Carlson | UBS Financial Services Inc. wirehouse | Wedbush Securities Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 15, 2026 | Sep 4, 2026 |
| Stephanie Wai Yi Wong | UBS Financial Services Inc. wirehouse | Raymond James & Associates, Inc. national BD | Wirehouse to affiliated broker-dealer or bank | Sep 15, 2026 | Sep 3, 2026 |
| Sherry Phillips Malone | UBS Financial Services Inc. wirehouse | Wedbush Securities Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 15, 2026 | Sep 10, 2026 |
| Rey Deborja | Ameriprise Financial Services, LLC national BD | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 15, 2026 | Sep 16, 2026 |
| Karli Vazquez-Mendez | Flagstar Securities, Inc. independent RIA | New Edge Wealth BD affiliated | RIA to affiliated broker-dealer or bank | Sep 15, 2026 | Sep 8, 2026 |
| Heather Renee Hofstetter | Angeles Wealth Management, LLC independent RIA | Oak Harvest Investment Services independent RIA | RIA to RIA | Sep 15, 2026 | Aug 26, 2026 |
| David Eric Globke | Florida Financial Advisors, LLC BD affiliated | Lat Wealth Financial Advisors state registered | Affiliated broker-dealer or bank to a state-registered adviser | Sep 15, 2026 | Sep 9, 2026 |
| Jason Oliver Will | U.S. Bancorp Advisors, LLC BD affiliated | LPL Enterprise, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 15, 2026 | Sep 14, 2026 |
| Vladislav Zagranichny | Cetera Investment Advisers LLC BD affiliated | Legacy Financial Advisors state registered | Affiliated broker-dealer or bank to a state-registered adviser | Sep 15, 2026 | Sep 2, 2026 |
| Kevin Emmett Herron | UBS Financial Services Inc. wirehouse | Wedbush Securities Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 15, 2026 | Sep 4, 2026 |
| Matthew Johnson | LPL Financial LLC BD affiliated | Rfg Advisory, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 15, 2026 | Sep 1, 2026 |
| Laura Elizabeth Warta | Keating Financial Advisory Services independent RIA | Integrated Wealth Concepts LLC independent RIA | RIA to RIA | Sep 15, 2026 | Sep 15, 2026 |
| Anna Travis Reihl | Edward Jones national BD | Benjamin F. Edwards & Company, Incorporated BD affiliated | Affiliated broker-dealer or bank to another | Sep 15, 2026 | Sep 14, 2026 |
| Zachary Joseph Ventrice | UBS Financial Services Inc. wirehouse | Cresset Asset Management, LLC independent RIA | Wirehouse to independent RIA | Sep 15, 2026 | Sep 3, 2026 |
| Bettie Claudette Zimmerman | Keating Financial Advisory Services independent RIA | Integrated Wealth Concepts LLC independent RIA | RIA to RIA | Sep 15, 2026 | Sep 15, 2026 |
| David Harold Greer | Pnc Wealth Management BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Sep 15, 2026 | Sep 4, 2026 |
| Keegan Grant Carl | Osaic Advisory Services, LLC BD affiliated | Arkadios Wealth Advisors BD affiliated | Affiliated broker-dealer or bank to another | Sep 15, 2026 | Sep 14, 2026 |
| Viviana Alexis Mattos | Perigon Wealth Management, LLC independent RIA | Penserra Wealth Management independent RIA | RIA to RIA | Sep 15, 2026 | Sep 9, 2026 |
| Rushil Kheraj | Balentine independent RIA | Hb Wealth independent RIA | RIA to RIA | Sep 15, 2026 | Jul 6, 2026 |
| Stephen Andrew Leggett | Florida Financial Advisors, LLC BD affiliated | Advisory Services Network independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 15, 2026 | Sep 16, 2026 |
| Gaven Lee Pinkley | LPL Financial LLC BD affiliated | Rsg Investments LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 15, 2026 | Sep 8, 2026 |
| Jacob Ducharme | LPL Financial LLC BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 15, 2026 | Sep 8, 2026 |
Page 1 of 6380Next
382,751 moves match.