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 Seia
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 |
|---|---|---|---|---|---|
| Jessica Lauren Donovan | Seia BD affiliated | Steelpeak Wealth, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 17, 2026 | Sep 9, 2026 (54 d) |
| Chelsea Augusta Traub | Seia BD affiliated | Evolve Private Wealth, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 8, 2026 | Jun 1, 2026 |
| Alexander Theodore Chumas | Seia BD affiliated | Composition Wealth, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 17, 2026 | May 22, 2026 (35 d) |
| Dylan James Audsley | Seia BD affiliated | Mercer Global Advisors Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 2, 2026 | Jul 30, 2026 (119 d) |
| Matthew Lincoln Mogush | Seia BD affiliated | U.S. Bancorp Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 12, 2025 | Jul 29, 2026 (229 d) |
| Levene Marie Leblanc-Mclean | Seia BD affiliated | Lifeworks Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 14, 2025 | Mar 10, 2026 (116 d) |
| Drew Michael Kubicki | Seia BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 18, 2025 | Oct 15, 2025 |
| Rodelyn Andres Kupfersmid | Seia BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 8, 2025 | Dec 10, 2025 (93 d) |
| Joseph Dean Lindley | Seia BD affiliated | Ep Wealth Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 4, 2025 | Oct 8, 2025 (34 d) |
| Julia Fahlen | Seia BD affiliated | Silicon Beach Wealth, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 29, 2025 | Sep 25, 2025 |
| Stephanie Chow | Seia BD affiliated | Harold Davidson & Associates, Inc independent RIA | Affiliated broker-dealer or bank to independent RIA | May 30, 2025 | Jul 3, 2025 (34 d) |
| Riasat Irtiza | Seia BD affiliated | Mariner BD affiliated | Affiliated broker-dealer or bank to another | Apr 21, 2025 | May 2, 2025 |
| Bradley S Hammerman | Seia BD affiliated | Beverly Hills Private Wealth, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 2, 2025 | Sep 18, 2025 (169 d) |
| Sara C Hendrix | Seia BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jan 17, 2025 | Feb 10, 2025 |
| Wayne Salsbury | Seia BD affiliated | Presper Financial Architects, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 6, 2025 | Feb 12, 2025 (37 d) |
| Andrew Lin | Seia BD affiliated | Signature Investment Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 31, 2024 | Mar 30, 2021 |
| David Nicholson | Seia BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 9, 2024 | Feb 25, 2025 (169 d) |
| Brian Morton | Seia BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 4, 2024 | Sep 20, 2024 |
| Adam Philipp | Seia BD affiliated | Philipp Capital Advisors state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jul 19, 2024 | Sep 17, 2024 (60 d) |
| Deron T Mccoy | Seia BD affiliated | Signature Investment Advisors, LLC no RAUM | Other | Apr 17, 2024 | May 11, 2012 |
| Jesse Joel Brown | Seia BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 30, 2024 | Nov 2, 2018 |
| Leland Cameron King | Seia BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jan 4, 2024 | Jan 6, 2025 (368 d) |
| Daniel Spencer Pereira | Seia BD affiliated | Hwa Financial Group independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 27, 2023 | Nov 28, 2023 |
| Michael Jeff Fusi | Seia BD affiliated | Thrivent Investment Management Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 31, 2023 | Dec 6, 2023 (36 d) |
| Grant S Colin | Seia BD affiliated | Monarch Wealth Strategies independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 11, 2023 | Sep 18, 2023 |
| Alexander Cochran | Seia BD affiliated | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 16, 2023 | Apr 25, 2023 |
| Paula Jane Hart | Seia BD affiliated | Steelpeak Wealth, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 1, 2023 | May 1, 2023 |
| James Michael Bray | Seia BD affiliated | Steelpeak Wealth, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 1, 2023 | May 1, 2023 |
| Huan Wang | Seia BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Apr 28, 2023 | Aug 11, 2023 (105 d) |
| Nicholas David Dalessandro | Seia BD affiliated | Great Valley Advisor Group, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 13, 2023 | Aug 22, 2024 (528 d) |
| Jill Fletcher | Seia BD affiliated | Cary Street Partners BD affiliated | Affiliated broker-dealer or bank to another | Dec 15, 2022 | Jan 27, 2023 (43 d) |
| K Evan Kennedy | Seia independent RIA | Mercer Global Advisors Inc. independent RIA | RIA to RIA | Sep 2, 2022 | Nov 1, 2022 (60 d) |
| Charles Alexander Edson | Seia independent RIA | Wealth Being Advisors LLC state registered | RIA to a state-registered adviser | Aug 10, 2022 | Oct 7, 2024 (789 d) |
| Martha Murphy Lord | Seia independent RIA | Citizens Securities, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Feb 16, 2022 | Jan 18, 2022 |
| Bradley Wright Mcintosh | Seia independent RIA | Money Concepts Advisory Service BD affiliated | RIA to affiliated broker-dealer or bank | Jan 5, 2022 | May 3, 2023 (483 d) |
| Christian Mclam Hutchins | Seia independent RIA | Hightower Advisors, LLC BD affiliated | RIA to affiliated broker-dealer or bank | May 24, 2021 | Jun 3, 2021 |
| Jae Yu | Seia independent RIA | Signature Investment Advisors, LLC independent RIA | RIA to RIA | May 12, 2021 | May 12, 2021 |
| Kathleen Ann Adams | Seia independent RIA | Ashton Thomas Private Wealth independent RIA | RIA to RIA | Feb 2, 2021 | Feb 2, 2021 |
| David Hugh Swift | Seia independent RIA | Ashton Thomas Private Wealth independent RIA | RIA to RIA | Feb 2, 2021 | Feb 2, 2021 |
| Suzanne Floy Bottoms | Seia independent RIA | Firebrand Wealth Management, LLC state registered | RIA to a state-registered adviser | Dec 2, 2020 | Nov 14, 2022 (712 d) |
| Elizabeth Hilary Sharp | Seia independent RIA | Brown | Miller Wealth Management, LLC independent RIA | RIA to RIA | Dec 2, 2020 | Nov 30, 2020 |
| Mary Elizabeth Williams | Seia independent RIA | MML Investors Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Sep 22, 2020 | Sep 24, 2020 |
| Joshua Eugene Land | Seia independent RIA | Reilly Financial Advisors independent RIA | RIA to RIA | Jan 22, 2019 | Jan 24, 2019 |
| Christina Anne Tunison | Seia independent RIA | H. Beck, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jan 4, 2019 | Feb 15, 2019 (42 d) |
| Brian Alexander Abatemarco | Seia independent RIA | Bridgemark Wealth Management independent RIA | RIA to RIA | Aug 31, 2018 | Sep 10, 2018 |
| Jennifer Lee Embler | Seia independent RIA | Ameriprise Financial Services, LLC national BD | RIA to affiliated broker-dealer or bank | Jun 26, 2018 | Jun 20, 2018 |
| Brian Stephen Schiazzano | Seia independent RIA | Mariner independent RIA | RIA to RIA | Jun 1, 2018 | Sep 19, 2018 (110 d) |
| Rachel Lee Posner | Seia independent RIA | Signature Investment Advisors, LLC no RAUM | Other | Feb 23, 2018 | May 11, 2012 |
| Scott Christopher Gaynor | Seia independent RIA | Kcs Wealth Advisory independent RIA | RIA to RIA | Feb 23, 2018 | Feb 16, 2018 |
| Julia M Sinclair | Seia other | Confidence Wealth Management, Inc. independent RIA | Other | Jun 16, 2016 | Jul 28, 2016 (42 d) |
| Helen Shih Chu-Suwarnasarn | Seia other | Lourdmurray other | Other | Aug 28, 2015 | Dec 15, 2015 (109 d) |
| Ali Catalina Salazar | Seia other | Osaic Fa, Inc. other | Other | Jul 22, 2015 | Aug 28, 2015 (37 d) |
| Matthew Allen Weed | Seia other | Signature Investment Advisors, LLC no RAUM | Other | Jun 1, 2015 | May 11, 2012 |
| Richard Campbell Johnston Nott | Seia other | Signature Investment Advisors, LLC no RAUM | Other | Jun 1, 2015 | May 11, 2012 |
| Chadwick Ryan Canine | Seia other | Signature Investment Advisors, LLC no RAUM | Other | Nov 17, 2014 | Mar 4, 2013 |
| Ricardo David Gonzalez | Seia other | Mission Wealth Management, LP other | Other | Dec 16, 2013 | May 15, 2014 (150 d) |
| Todd Curtis Butler | Seia other | Wescap Group other | Other | May 16, 2006 | Nov 9, 2007 (542 d) |
| Daryl Sean Brockman | Seia other | Osaic Wealth, Inc. BD affiliated | Other | Feb 1, 2005 | Nov 2, 2018 (5022 d) |
Page 1 of 1
58 moves match.