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 U.S. Financial Advisors

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
Thomas Hastings Fletcher	U.S. Financial Advisors independent RIA	Napier Financial no RAUM	RIA to a newly registered adviser	Jul 25, 2025	Jul 21, 2025
John Paul Napolitano	U.S. Financial Advisors independent RIA	Great Valley Advisor Group, LLC independent RIA	RIA to RIA	Jul 25, 2025	Aug 21, 2023
Adam J Dani	U.S. Financial Advisors independent RIA	Napier Financial no RAUM	RIA to a newly registered adviser	Jul 25, 2025	Jul 21, 2025
Alexander Gregory Weiss	U.S. Financial Advisors independent RIA	Napier Financial no RAUM	RIA to a newly registered adviser	Jul 25, 2025	Jul 21, 2025
Robert Christopher Napolitano	U.S. Financial Advisors independent RIA	Napier Financial no RAUM	RIA to a newly registered adviser	Jul 25, 2025	Jul 21, 2025
Thomas William Schulte	U.S. Financial Advisors independent RIA	Napier Financial independent RIA	RIA to RIA	Jul 25, 2025	Aug 26, 2025 (32 d)
Dante Marco Coppola	U.S. Financial Advisors independent RIA	Napier Financial no RAUM	RIA to a newly registered adviser	Jul 25, 2025	Jul 21, 2025
Anne Nicole Gouthro	U.S. Financial Advisors independent RIA	Napier Financial no RAUM	RIA to a newly registered adviser	Jul 25, 2025	Jul 21, 2025
George Thomas Clarke	U.S. Financial Advisors independent RIA	Great Valley Advisor Group, LLC independent RIA	RIA to RIA	Mar 7, 2023	Mar 13, 2023
Benjamin Neil Haas	U.S. Financial Advisors independent RIA	LPL Financial LLC other	Other	Apr 20, 2022	Jun 6, 2013
Jeffrey Marc Alexander	U.S. Financial Advisors independent RIA	Great Valley Advisor Group, LLC independent RIA	RIA to RIA	Aug 10, 2021	May 3, 2021
Robert Douglas Crawford	U.S. Financial Advisors independent RIA	Great Valley Advisor Group, LLC independent RIA	RIA to RIA	Jun 4, 2021	May 3, 2021
George V Howe	U.S. Financial Advisors independent RIA	Great Valley Advisor Group, LLC independent RIA	RIA to RIA	Jun 4, 2021	May 10, 2021
Gary Richard Oman	U.S. Financial Advisors independent RIA	Great Valley Advisor Group, LLC independent RIA	RIA to RIA	Jun 4, 2021	Aug 13, 2021 (70 d)
Richard Henry Ropelewski	U.S. Financial Advisors independent RIA	Great Valley Advisor Group, LLC independent RIA	RIA to RIA	Jun 4, 2021	May 13, 2021
Paul Thomas Morrone	U.S. Financial Advisors independent RIA	Great Valley Advisor Group, LLC independent RIA	RIA to RIA	Jun 4, 2021	May 3, 2021
Edward William Quirk	U.S. Financial Advisors independent RIA	Great Valley Advisor Group, LLC independent RIA	RIA to RIA	Jun 3, 2021	Aug 13, 2021 (71 d)
Gery Joseph Sadzewicz	U.S. Financial Advisors independent RIA	Tetley Investments, LLC independent RIA	RIA to RIA	Jan 29, 2021	Sep 9, 2013
Jeffrey Michael Krueger	U.S. Financial Advisors independent RIA	Seaport Wealth LLC state registered	RIA to a state-registered adviser	Dec 3, 2020	Dec 10, 2021 (372 d)
Christopher Thomas Archambault	U.S. Financial Advisors independent RIA	Seaport Wealth LLC state registered	RIA to a state-registered adviser	Dec 3, 2020	Dec 10, 2021 (372 d)
Antony Tony Khalife	U.S. Financial Advisors independent RIA	Seaport Wealth LLC state registered	RIA to a state-registered adviser	Dec 3, 2020	Dec 10, 2021 (372 d)
Brian J Gaffney	U.S. Financial Advisors independent RIA	Iht Wealth Management LLC independent RIA	RIA to RIA	Jun 1, 2020	Jun 9, 2020
Michael Alexander	U.S. Financial Advisors independent RIA	Commonwealth Financial Network national BD	RIA to affiliated broker-dealer or bank	Dec 2, 2019	Dec 2, 2019
Kelly Ennis	U.S. Financial Advisors other	Infinity Financial Strategies, LLC state registered	Other	Dec 21, 2017	Jan 26, 2018 (36 d)
Daniel Lee Seltzer	U.S. Financial Advisors other	Arrow Wealth Advisors independent RIA	Other	Nov 30, 2017	Dec 7, 2017
Annette Marie Crowley	U.S. Financial Advisors other	LPL Financial LLC other	Other	Jun 6, 2016	Jun 21, 2016
Carmen Marie Grinkis	U.S. Financial Advisors other	Aaf Wealth Management, LLC other	Other	Feb 3, 2016	Feb 23, 2016
Marc Scott Schliefer	U.S. Financial Advisors other	Cwm, LLC other	Other	Jan 28, 2016	Feb 3, 2016
J. Hunter Hart	U.S. Financial Advisors other	Cwm, LLC other	Other	Jan 28, 2016	Jan 27, 2016
Edward Anthony Bails	U.S. Financial Advisors other	Private Advisor Group, LLC other	Other	Feb 21, 2015	Jan 30, 2015
Scott Martin Tonkovich	U.S. Financial Advisors other	Private Advisor Group, LLC other	Other	Feb 21, 2015	Feb 23, 2015
Christopher Maxime Shea	U.S. Financial Advisors other	Catametrics Management, LLC other	Other	Aug 19, 2014	Sep 5, 2014
Amanda Rae Plonski	U.S. Financial Advisors other	Hightower Advisors, LLC other	Other	Feb 20, 2014	Feb 20, 2014
Mark D Alpert	U.S. Financial Advisors other	Private Advisor Group, LLC other	Other	Dec 2, 2013	Jan 6, 2014 (35 d)
Douglas P. Duerr	U.S. Financial Advisors other	Private Advisor Group, LLC other	Other	Dec 2, 2013	Jan 7, 2014 (36 d)
Randall Leo Franklin	U.S. Financial Advisors other	Private Advisor Group, LLC other	Other	Dec 2, 2013	Jan 2, 2014 (31 d)
Rebecca J Gill	U.S. Financial Advisors other	LPL Financial LLC other	Other	Jul 3, 2013	Jun 17, 2013
Timothy J. Herlihy	U.S. Financial Advisors other	LPL Financial LLC other	Other	Jul 2, 2012	Feb 19, 2013 (232 d)
Steven Michael Dias	U.S. Financial Advisors other	Cantella & Co., Inc. other	Other	Mar 15, 2012	Mar 15, 2012
Ira Austin Candib	U.S. Financial Advisors other	California Financial Partners unclassified	Other	Dec 5, 2011	May 3, 2012 (150 d)
Michael Lee Jones	U.S. Financial Advisors other	Onyx Wealth Advisors, Inc. other	Other	May 11, 2011	May 2, 2011
Robert Michael Burkarth	U.S. Financial Advisors other	Osaic Fs, Inc. other	Other	Dec 31, 2010	Jan 3, 2011
Daniel Thomas Scalzi	U.S. Financial Advisors other	Osaic Fs, Inc. other	Other	Dec 31, 2010	Jan 3, 2011
Lise Marie Robinson	U.S. Financial Advisors other	Osaic Fs, Inc. other	Other	Dec 31, 2010	Jan 1, 2011
Paul Gerald Escobar	U.S. Financial Advisors other	Lighthouse Capital, LLC state registered	Other	Nov 3, 2010	Nov 5, 2010
Dennis Michael Allen	U.S. Financial Advisors other	Cetera Investment Advisers LLC BD affiliated	Other	Nov 23, 2009	Jun 29, 2023 (4966 d)
Michael Evan Berkley	U.S. Financial Advisors other	Oneamerica Securities, Inc. other	Other	May 22, 2009	Aug 18, 2009 (88 d)
John Paul Destefanis	U.S. Financial Advisors other	Cantella & Co., Inc. other	Other	May 21, 2009	May 29, 2009
Denise Marie Cataldo	U.S. Financial Advisors other	Sagepoint Financial, Inc. other	Other	May 21, 2009	Jun 8, 2009
Douglas Landman Wolfe	U.S. Financial Advisors other	Saddle River Capital Management, LLC state registered	Other	Apr 15, 2009	May 12, 2009
David Armond Bridgwood	U.S. Financial Advisors other	Voya Financial Advisors, Inc. other	Other	Feb 13, 2009	Mar 12, 2009
Jeffrey Navarra Tomaneng	U.S. Financial Advisors other	Lincoln Investment other	Other	Jan 5, 2009	Jan 6, 2009
Theodore William Hintz	U.S. Financial Advisors other	National Planning Corporation ("Npc Of America" In Fl & Ny) other	Other	Sep 30, 2008	Oct 1, 2008
Laurie Ann Bachelder	U.S. Financial Advisors other	Innovative Advisory Group independent RIA	Other	Jul 8, 2008	Jul 9, 2008
Rajeev H Kotyan	U.S. Financial Advisors other	Innovative Advisory Group independent RIA	Other	Jul 8, 2008	Jul 9, 2008
Peter Vincent Donohoe	U.S. Financial Advisors other	Citizens Securities, Inc. other	Other	Mar 24, 2008	Jul 1, 2014 (2290 d)
Bernard Leo Caniff	U.S. Financial Advisors other	Money Concepts Advisory Service other	Other	Jan 8, 2008	Jan 10, 2008
Donald John Gustafson	U.S. Financial Advisors other	Djg Financial Services, Inc. state registered	Other	Jan 8, 2008	Mar 18, 2008 (70 d)
Steven Francis St. Pierre	U.S. Financial Advisors other	Shepherd Financial Partners, LLC other	Other	Jul 5, 2007	Dec 8, 2017 (3809 d)
Dwayne Martin Dills	U.S. Financial Advisors other	Grove Point Advisors, LLC BD affiliated	Other	Feb 21, 2007	May 4, 2022 (5551 d)

Page 1 of 2Next

74 moves match.