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 Grunden Financial Advisory, Inc.
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 |
|---|---|---|---|---|---|
| Ricky Lee Grunden | Grunden Financial Advisory, Inc. independent RIA | Allworth Financial, L.P. BD affiliated | RIA to affiliated broker-dealer or bank | Jan 28, 2026 | Jan 15, 2026 |
| David Ashley Ragan | Grunden Financial Advisory, Inc. independent RIA | Allworth Financial, L.P. BD affiliated | RIA to affiliated broker-dealer or bank | Jan 28, 2026 | Jan 15, 2026 |
| Susannah Marie Thomas | Grunden Financial Advisory, Inc. independent RIA | Allworth Financial, L.P. BD affiliated | RIA to affiliated broker-dealer or bank | Jan 28, 2026 | Jan 15, 2026 |
| Robert William Thomas | Grunden Financial Advisory, Inc. independent RIA | Allworth Financial, L.P. BD affiliated | RIA to affiliated broker-dealer or bank | Jan 28, 2026 | Jan 15, 2026 |
| Franklin Dwayne Cornett | Grunden Financial Advisory, Inc. independent RIA | Innovest Portfolio Solutions LLC no RAUM | Other | Dec 2, 2021 | Mar 3, 2022 (91 d) |
| Cary Charles Cates | Grunden Financial Advisory, Inc. other | Cates Fp, Cates Tax Advisory state registered | Other | Jun 8, 2016 | Nov 29, 2017 (539 d) |
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6 moves match.