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

Departures from Nasdaq Dorsey Wright

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.

AdvisorFromToTypeLeftRegistered
Joseph Charles TuzzoloNasdaq Dorsey Wright mixed wealthEsi Financial Advisors independent RIARIA to RIAJul 9, 2026Jun 23, 2026
Will Payton GibsonNasdaq Dorsey Wright mixed wealthBay Rivers Group Wealth Partners independent RIARIA to RIASep 3, 2024Sep 9, 2024
Sara Frazier GochenourNasdaq Dorsey Wright mixed wealthHeritage Wealth Advisors independent RIARIA to RIAJan 23, 2024Jul 7, 2025 (531 d)
Charles Marcus ColemanNasdaq Dorsey Wright mixed wealthPasadena Private Wealth, LLC independent RIARIA to RIADec 8, 2021Dec 6, 2021
Thomas DoyleNasdaq Dorsey Wright independent RIAWells Fargo Advisors wirehouseRIA to wirehouseJun 21, 2018Jul 19, 2018
Paul Leander KeetonNasdaq Dorsey Wright independent RIAProspera Financial Services, Inc. otherOtherApr 5, 2018Oct 18, 2017
Amy Elizabeth KempNasdaq Dorsey Wright independent RIAParagon Financial Services independent RIARIA to RIAApr 5, 2018Aug 28, 2018 (145 d)
Harold Bowler ParkerNasdaq Dorsey Wright otherWestern International Securities otherOtherJun 1, 2016Jul 26, 2007
James Anthony ParrishNasdaq Dorsey Wright otherB Riley Wealth Management otherOtherMar 30, 2016Oct 3, 2016 (187 d)
Michael Jay MoodyNasdaq Dorsey Wright otherWestern International Securities otherOtherApr 1, 2014Jul 26, 2007
Jason Paul LaneNasdaq Dorsey Wright otherRaymond James Financial Services Advisors, Inc BD affiliatedOtherJul 10, 2013Dec 12, 2018 (1981 d)
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11 moves match.