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 B|O|S

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
Colleen Sue Breit-SupranB|O|S independent RIACerity Partners LLC independent RIARIA to RIANov 15, 2021Nov 17, 2021
Minnie Yao SanfordB|O|S independent RIACerity Partners LLC independent RIARIA to RIANov 1, 2021Nov 3, 2021
Richard Eric LongB|O|S independent RIACerity Partners LLC independent RIARIA to RIANov 1, 2021Nov 3, 2021
Jennifer Lynn EllisonB|O|S independent RIACerity Partners LLC independent RIARIA to RIANov 1, 2021Nov 3, 2021
Roberta Ruby MendozaB|O|S independent RIACerity Partners LLC independent RIARIA to RIANov 1, 2021Feb 9, 2022 (100 d)
Kevin Donald DorwinB|O|S independent RIACerity Partners LLC independent RIARIA to RIANov 1, 2021Nov 3, 2021
Scott D ToomassonB|O|S independent RIACerity Partners LLC independent RIARIA to RIANov 1, 2021Nov 3, 2021
Michelle Espiritu SotoB|O|S independent RIACerity Partners LLC independent RIARIA to RIANov 1, 2021Nov 3, 2021
Aaron Paul WaxmanB|O|S independent RIACerity Partners LLC independent RIARIA to RIANov 1, 2021Nov 2, 2021
Eric C ChangB|O|S independent RIACerity Partners LLC independent RIARIA to RIANov 1, 2021Jan 1, 2025 (1157 d)
Leann SheaB|O|S independent RIACerity Partners LLC independent RIARIA to RIANov 1, 2021Feb 9, 2022 (100 d)
Joel R DemariaB|O|S independent RIACerity Partners LLC independent RIARIA to RIANov 1, 2021Nov 3, 2021
Sherman Solis SalangadB|O|S independent RIACerity Partners LLC independent RIARIA to RIANov 1, 2021Feb 9, 2022 (100 d)
Sean Peter AngelisB|O|S independent RIACerity Partners LLC independent RIARIA to RIANov 1, 2021Nov 3, 2021
Myles Andrew VanderweeleB|O|S independent RIACerity Partners LLC independent RIARIA to RIANov 1, 2021Nov 3, 2021
Peter Moon YoonB|O|S independent RIACerity Partners LLC independent RIARIA to RIANov 1, 2021Nov 3, 2021
Shelby StahrB|O|S independent RIACerity Partners LLC independent RIARIA to RIANov 1, 2021Nov 3, 2021
Garrett Ames GillettB|O|S independent RIACerity Partners LLC independent RIARIA to RIANov 1, 2021Nov 3, 2021
Emily Taken-VertzB|O|S independent RIACerity Partners LLC independent RIARIA to RIANov 1, 2021Nov 3, 2021
Andy Zhen Jie LinB|O|S independent RIACerity Partners LLC independent RIARIA to RIANov 1, 2021Feb 9, 2022 (100 d)
Adam Jay BattatB|O|S independent RIACerity Partners LLC independent RIARIA to RIANov 1, 2021Feb 9, 2022 (100 d)
Jay LeeB|O|S independent RIABallaster Financial state registeredRIA to a state-registered adviserOct 5, 2021Oct 18, 2021
Adam MazzaroB|O|S independent RIAJ.P. Morgan Securities LLC wirehouseRIA to wirehouseJun 7, 2021Jun 10, 2024 (1099 d)
Ramonita Lopez De La RosaB|O|S independent RIAEvergreen Capital Management LLC independent RIARIA to RIAMay 5, 2021May 20, 2021
Timothy Justin RaftisB|O|S independent RIAInsight Wealth Strategies, LLC independent RIARIA to RIAJan 19, 2021Dec 16, 2025 (1792 d)
Ryan Thomas FordB|O|S independent RIACerity Partners LLC independent RIARIA to RIASep 29, 2020May 7, 2026 (2046 d)
Chantal Mukai HerseyB|O|S independent RIAFinancial Zen independent RIARIA to RIASep 6, 2019May 26, 2020 (263 d)
Daniel S LeeB|O|S independent RIAPlancorp, LLC independent RIARIA to RIAJan 28, 2019Jan 29, 2019
Thomas Joseph AnninB|O|S independent RIASbsb Financial Advisors independent RIARIA to RIAJun 1, 2018Oct 15, 2019 (501 d)
Sheetal Shyam BagdeB|O|S otherCognizant Wealth Advisors independent RIAOtherFeb 2, 2018Mar 19, 2018 (45 d)
Regina Jui Chieh TsaiB|O|S otherSchwab Wealth Advisory, Inc. otherOtherMay 2, 2017Jun 22, 2017 (51 d)
Tae Yun Kim OakB|O|S otherJ.P. Morgan Securities LLC wirehouseOtherMay 2, 2017May 16, 2017
Steven Michael PitchfordB|O|S otherTowerpoint Wealth, LLC otherOtherFeb 27, 2017Jan 10, 2018 (317 d)
Audra Christine NayB|O|S otherJ.P. Morgan Private Wealth Advisors LLC otherOtherJul 11, 2016Jun 1, 2016
Daniel Joseph CassellB|O|S otherBakeravenue otherOtherJun 3, 2015Oct 6, 2015 (125 d)
James Stuart Annett OsbornB|O|S otherPlum Street Advisors, LLC independent RIAOtherAug 22, 2014Jul 13, 2016 (691 d)
Jacqueline Laura CarrilloB|O|S otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherAug 21, 2014Jan 12, 2015 (144 d)
Clayton Holt ErnstB|O|S otherEdelman Financial Services, LLC otherOtherJan 8, 2013Jan 8, 2013
Scott Elliott GerlachB|O|S otherCordant Wealth Partners otherOtherNov 21, 2012Apr 7, 2015 (867 d)
Janet Lynn HoffmannB|O|S otherIntegral Financial Solutions, LLC otherOtherFeb 17, 2010Mar 16, 2010
Barry TaylorB|O|S otherIntegral Financial Solutions, LLC otherOtherFeb 17, 2010Mar 16, 2010
Steve Salvatore CaltagironeB|O|S otherMillie Capital Management LLC otherOtherApr 14, 2009Dec 2, 2009 (232 d)
David George SylvesterB|O|S otherCetera Advisor Networks LLC otherOtherAug 22, 2008Jun 18, 2009 (300 d)
King Shan LipB|O|S otherBakeravenue otherOtherJul 17, 2008Jan 3, 2011 (900 d)
Lisa Anne FurlongB|O|S otherGrassi Investment Management, LLC otherOtherSep 20, 2005Oct 7, 2005
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45 moves match.