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. Riley Wealth Advisors, 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 |
|---|---|---|---|---|---|
| Scott E Anderson | B. Riley Wealth Advisors, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 10, 2026 | Aug 17, 2026 |
| Russell Marc Fiske | B. Riley Wealth Advisors, Inc. BD affiliated | A.G.P / Alliance Global Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 29, 2026 | Jul 15, 2026 |
| Joshua Robert Barg | B. Riley Wealth Advisors, Inc. BD affiliated | A.G.P / Alliance Global Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 29, 2026 | Jun 9, 2026 |
| William Mitchell Lefkowitz | B. Riley Wealth Advisors, Inc. BD affiliated | Nfsg Corporation BD affiliated | Affiliated broker-dealer or bank to another | Jun 8, 2026 | Aug 11, 2026 (64 d) |
| Leonard James Scandariato | B. Riley Wealth Advisors, Inc. BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 2, 2026 | Mar 11, 2026 |
| David Keith Cole | B. Riley Wealth Advisors, Inc. BD affiliated | Prospera Financial Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 2, 2026 | Apr 20, 2026 |
| Vincent Joseph Sbano | B. Riley Wealth Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 27, 2026 | Feb 4, 2026 |
| Kelly A Lawrence | B. Riley Wealth Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 27, 2026 | Feb 5, 2026 |
| Robert Byron Stokes | B. Riley Wealth Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 23, 2025 | Oct 13, 2025 |
| Joseph Daniel Bergin | B. Riley Wealth Advisors, Inc. BD affiliated | Prospera Financial Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 17, 2025 | Jan 5, 2026 (110 d) |
| Steven Craig Behrle | B. Riley Wealth Advisors, Inc. BD affiliated | Prospera Financial Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 16, 2025 | Sep 12, 2025 |
| Jessica C Brooks | B. Riley Wealth Advisors, Inc. BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Sep 16, 2025 | Feb 20, 2026 (157 d) |
| Jeffrey J Carter | B. Riley Wealth Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 28, 2025 | Aug 15, 2025 |
| Gene Randall Rhoades | B. Riley Wealth Advisors, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 20, 2025 | Aug 7, 2025 |
| Robert Jason Brous | B. Riley Wealth Advisors, Inc. BD affiliated | Newedge Advisors BD affiliated | Affiliated broker-dealer or bank to another | Aug 13, 2025 | Aug 1, 2025 |
| Ardian Hasko | B. Riley Wealth Advisors, Inc. BD affiliated | Newedge Advisors BD affiliated | Affiliated broker-dealer or bank to another | Aug 13, 2025 | Aug 1, 2025 |
| Thomas Michael Sullivan | B. Riley Wealth Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 8, 2025 | Jul 14, 2025 |
| George Joseph Fiederlein | B. Riley Wealth Advisors, Inc. BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 8, 2025 | Jul 21, 2025 |
| Ronald James Pirro | B. Riley Wealth Advisors, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 10, 2025 | Jun 25, 2025 |
| Gene Alan Fritzsche | B. Riley Wealth Advisors, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 10, 2025 | Jul 2, 2025 |
| Michael David Zawatsky | B. Riley Wealth Advisors, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 10, 2025 | Jun 25, 2025 |
| Thomas John Coelho | B. Riley Wealth Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 10, 2025 | Jun 23, 2025 |
| Leszek Julian Michniewicz | B. Riley Wealth Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 10, 2025 | Jun 23, 2025 |
| Thomas Stephen Bolanowski | B. Riley Wealth Advisors, Inc. BD affiliated | Principal Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 10, 2025 | Apr 1, 2026 (265 d) |
| Gregory S Berlin | B. Riley Wealth Advisors, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 10, 2025 | Jul 2, 2025 |
| Harold Jack Pollov | B. Riley Wealth Advisors, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 10, 2025 | Jun 25, 2025 |
| Yu Yeung Li | B. Riley Wealth Advisors, Inc. BD affiliated | Ip Financial Advisory Services LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 9, 2025 | Feb 3, 2026 (209 d) |
| Jason Philip Stamm | B. Riley Wealth Advisors, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 9, 2025 | Jun 19, 2025 |
| Robert Joseph Campbell | B. Riley Wealth Advisors, Inc. BD affiliated | Oneseven independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 24, 2025 | Jun 6, 2025 |
| Clancy J Atkinson | B. Riley Wealth Advisors, Inc. BD affiliated | Oneseven independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 24, 2025 | May 30, 2025 |
| John Patrick Potter | B. Riley Wealth Advisors, Inc. BD affiliated | Oneseven independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 24, 2025 | May 30, 2025 |
| Thomas Raymond Skelton | B. Riley Wealth Advisors, Inc. BD affiliated | Oneseven independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 24, 2025 | May 30, 2025 |
| Darin Patrick Pope | B. Riley Wealth Advisors, Inc. BD affiliated | Stifel, Nicolaus & Company, Incorporated national BD | Affiliated broker-dealer or bank to another | May 30, 2025 | Apr 4, 2025 |
| Kimberly Anne Figenbaum | B. Riley Wealth Advisors, Inc. BD affiliated | Stifel, Nicolaus & Company, Incorporated national BD | Affiliated broker-dealer or bank to another | May 30, 2025 | Apr 4, 2025 |
| Richard Alan Wright | B. Riley Wealth Advisors, Inc. BD affiliated | Stifel, Nicolaus & Company, Incorporated national BD | Affiliated broker-dealer or bank to another | May 30, 2025 | Apr 5, 2025 |
| Kyle Michael Rainwater | B. Riley Wealth Advisors, Inc. BD affiliated | Stifel, Nicolaus & Company, Incorporated national BD | Affiliated broker-dealer or bank to another | May 30, 2025 | Apr 5, 2025 |
| Karla Patricia Lema | B. Riley Wealth Advisors, Inc. BD affiliated | Steadtrust no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | May 29, 2025 | May 5, 2025 |
| Todd William Berger | B. Riley Wealth Advisors, Inc. BD affiliated | Steadtrust no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | May 29, 2025 | May 5, 2025 |
| James Rose | B. Riley Wealth Advisors, Inc. BD affiliated | Steadtrust no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | May 29, 2025 | May 2, 2025 |
| Michael Vincent Porpora | B. Riley Wealth Advisors, Inc. BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 29, 2025 | May 15, 2025 |
| Stephanie Lynn Fagenson | B. Riley Wealth Advisors, Inc. BD affiliated | A.G.P / Alliance Global Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | May 23, 2025 | May 1, 2025 |
| Lisa More | B. Riley Wealth Advisors, Inc. BD affiliated | Steadtrust no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | May 8, 2025 | Apr 28, 2025 |
| Marcus Anthony Arneaud | B. Riley Wealth Advisors, Inc. BD affiliated | Kovack Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 5, 2025 | May 5, 2025 |
| Ephimia Coumanakos | B. Riley Wealth Advisors, Inc. BD affiliated | Steadtrust no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | May 5, 2025 | Apr 28, 2025 |
| Kristine Dawn Sawyer | B. Riley Wealth Advisors, Inc. BD affiliated | Steadtrust no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | May 1, 2025 | Apr 23, 2025 |
| John Hammond Urner | B. Riley Wealth Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 23, 2025 | Apr 4, 2025 |
| Stephanie Denee Stewart | B. Riley Wealth Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 16, 2025 | Apr 1, 2025 |
| Charles Peter Hastings | B. Riley Wealth Advisors, Inc. BD affiliated | B. Riley Wealth Private Shares asset manager | Other | Apr 16, 2025 | Apr 4, 2023 |
| Paul George Dietrich | B. Riley Wealth Advisors, Inc. BD affiliated | Fairfax Global Investment Management LLC mixed wealth | Affiliated broker-dealer or bank to independent RIA | Apr 16, 2025 | Apr 6, 2023 |
| Lawrence William Schmitt | B. Riley Wealth Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 16, 2025 | Mar 27, 2025 |
| Debra Lee Hedgcoth | B. Riley Wealth Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 16, 2025 | Mar 31, 2025 |
| Madison Wentland | B. Riley Wealth Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 16, 2025 | Mar 31, 2025 |
| Nick Eugene Son | B. Riley Wealth Advisors, Inc. BD affiliated | A.G.P / Alliance Global Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 15, 2025 | Mar 31, 2025 |
| Todd Andrew Lefevre | B. Riley Wealth Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 15, 2025 | Mar 27, 2025 |
| John Matsek | B. Riley Wealth Advisors, Inc. BD affiliated | Kingswood Wealth Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 15, 2025 | Mar 24, 2025 |
| Mark Edward Lefevre | B. Riley Wealth Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 15, 2025 | Mar 27, 2025 |
| Boyd John Klingler | B. Riley Wealth Advisors, Inc. BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 14, 2025 | Mar 19, 2025 |
| Robert Anderson Mccommon | B. Riley Wealth Advisors, Inc. BD affiliated | Wedbush Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 1, 2025 | Mar 20, 2025 |
| Benjamin Davis Prescott | B. Riley Wealth Advisors, Inc. BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 21, 2025 | Mar 7, 2025 |
| James Raymond Bussey | B. Riley Wealth Advisors, Inc. BD affiliated | Hilltop Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 21, 2025 | Feb 24, 2025 |
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472 moves match.