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 |
|---|---|---|---|---|---|
| Brett Andrew Sonzogni | B. Riley Wealth Advisors, Inc. BD affiliated | B Riley Wealth Management BD affiliated | Affiliated broker-dealer or bank to another | Mar 19, 2025 | Mar 14, 2022 |
| Chris Castro | B. Riley Wealth Advisors, Inc. BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 4, 2025 | Feb 23, 2026 (356 d) |
| Andrew H Bloom | B. Riley Wealth Advisors, Inc. BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 4, 2025 | Feb 25, 2025 |
| Nancy L Findeisen | B. Riley Wealth Advisors, Inc. BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 4, 2025 | Feb 12, 2025 |
| Veronica C Vorhies | B. Riley Wealth Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 19, 2025 | Jan 21, 2025 |
| Ryan John Vorhies | B. Riley Wealth Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 18, 2025 | Jan 21, 2025 |
| Rachel Anne Heege-Abode | B. Riley Wealth Advisors, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 22, 2025 | Jan 21, 2025 |
| Thomas David Kowalczyk | B. Riley Wealth Advisors, Inc. BD affiliated | B. Riley Wealth Private Shares asset manager | Other | Jan 17, 2025 | Sep 8, 2021 |
| Darren Keefe Daye | B. Riley Wealth Advisors, Inc. BD affiliated | Equitable Advisors, LLC national BD | Affiliated broker-dealer or bank to another | Jan 13, 2025 | Dec 20, 2024 |
| Andrae L Miller | B. Riley Wealth Advisors, Inc. BD affiliated | Equitable Advisors, LLC national BD | Affiliated broker-dealer or bank to another | Jan 13, 2025 | Dec 20, 2024 |
| Paul Shannon Freyer | B. Riley Wealth Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 24, 2024 | Dec 3, 2024 |
| Larry Warren Sills | B. Riley Wealth Advisors, Inc. BD affiliated | Stratos Wealth Partners, Ltd BD affiliated | Affiliated broker-dealer or bank to another | Dec 24, 2024 | Dec 2, 2024 |
| Henry Mcnaughton Fyfe | B. Riley Wealth Advisors, Inc. BD affiliated | RBC Capital Markets, LLC national BD | Affiliated broker-dealer or bank to another | Dec 24, 2024 | Dec 10, 2024 |
| Eugene Joseph Mulvaney | B. Riley Wealth Advisors, Inc. BD affiliated | Independence Square Holdings, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 23, 2024 | Dec 12, 2024 |
| Gayle Marie Mabry | B. Riley Wealth Advisors, Inc. BD affiliated | Hilltop Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 23, 2024 | Jan 21, 2025 |
| Elaine Janet Beneduci | B. Riley Wealth Advisors, Inc. BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 23, 2024 | Dec 3, 2024 |
| William Ogden Plyler | B. Riley Wealth Advisors, Inc. BD affiliated | Prospera Financial Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 23, 2024 | Dec 10, 2024 |
| Patrick V Chan | B. Riley Wealth Advisors, Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 23, 2024 | Dec 12, 2024 |
| William Shepard Waits | B. Riley Wealth Advisors, Inc. BD affiliated | RBC Capital Markets, LLC national BD | Affiliated broker-dealer or bank to another | Dec 23, 2024 | Dec 10, 2024 |
| Richard Louis Beneduci | B. Riley Wealth Advisors, Inc. BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 20, 2024 | Dec 3, 2024 |
| George Ernest Hart | B. Riley Wealth Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 19, 2024 | Dec 5, 2024 |
| Christopher Michael Sands | B. Riley Wealth Advisors, Inc. BD affiliated | Lemme Investment Group, LLC unclassified | Other | Dec 16, 2024 | Nov 27, 2024 |
| Brian Todd Cohen | B. Riley Wealth Advisors, Inc. BD affiliated | Atcap Partners, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 12, 2024 | Dec 3, 2024 |
| Michael Patrick Mccall | B. Riley Wealth Advisors, Inc. BD affiliated | Wedbush Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 3, 2024 | Nov 8, 2024 |
| Daniel A Claps | B. Riley Wealth Advisors, Inc. BD affiliated | Arete Wealth Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 26, 2024 | Nov 14, 2024 |
| Terron Tidwell | B. Riley Wealth Advisors, Inc. BD affiliated | Arete Wealth Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 26, 2024 | Nov 14, 2024 |
| James Mota | B. Riley Wealth Advisors, Inc. BD affiliated | Arete Wealth Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 26, 2024 | Nov 15, 2024 |
| Andrew Brower | B. Riley Wealth Advisors, Inc. BD affiliated | Arete Wealth Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 26, 2024 | Nov 14, 2024 |
| Graham Falbo | B. Riley Wealth Advisors, Inc. BD affiliated | Arete Wealth Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 26, 2024 | Nov 15, 2024 |
| Akash Advaney | B. Riley Wealth Advisors, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 26, 2024 | Jan 29, 2025 (64 d) |
| Juan Felipe Matallana | B. Riley Wealth Advisors, Inc. BD affiliated | Arete Wealth Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 26, 2024 | Nov 14, 2024 |
| Thomas James Veth | B. Riley Wealth Advisors, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 24, 2024 | Oct 31, 2024 |
| Jay Shah | B. Riley Wealth Advisors, Inc. BD affiliated | A.G.P / Alliance Global Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 24, 2024 | Oct 31, 2024 |
| Paul Francis Cammareri | B. Riley Wealth Advisors, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 24, 2024 | Nov 4, 2024 |
| Christin M Hinckle | B. Riley Wealth Advisors, Inc. BD affiliated | Wedbush Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 24, 2024 | Nov 7, 2024 |
| Lisa Gaye Marcelli | B. Riley Wealth Advisors, Inc. BD affiliated | Wedbush Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 20, 2024 | Oct 30, 2024 |
| Anthony Clayton Rice | B. Riley Wealth Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 20, 2024 | Oct 28, 2024 |
| Harry Roger Hughes | B. Riley Wealth Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 20, 2024 | Oct 28, 2024 |
| Cherie Nanez Seale | B. Riley Wealth Advisors, Inc. BD affiliated | Robert W. Baird & Co. Incorporated mixed wealth | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2024 | Oct 14, 2024 |
| Hee Yang | B. Riley Wealth Advisors, Inc. BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2024 | Oct 24, 2024 |
| Tyler Rieves Berry | B. Riley Wealth Advisors, Inc. BD affiliated | Robert W. Baird & Co. Incorporated mixed wealth | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2024 | Oct 14, 2024 |
| Rachel Elizabeth Pena | B. Riley Wealth Advisors, Inc. BD affiliated | Robert W. Baird & Co. Incorporated mixed wealth | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2024 | Oct 14, 2024 |
| James Patrick King | B. Riley Wealth Advisors, Inc. BD affiliated | Diversify Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2024 | Oct 18, 2024 |
| Joseph Thomas Finnerty | B. Riley Wealth Advisors, Inc. BD affiliated | Diversify Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2024 | Oct 18, 2024 |
| Nicholas Tarulli | B. Riley Wealth Advisors, Inc. BD affiliated | Diversify Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2024 | Nov 18, 2024 |
| Jeffrey Rodriguez-Aponte | B. Riley Wealth Advisors, Inc. BD affiliated | Sb Advisory, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 1, 2024 | Nov 13, 2024 |
| Michael Hayes Hamilton | B. Riley Wealth Advisors, Inc. BD affiliated | Wedbush Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 31, 2024 | Oct 4, 2024 |
| Edward John Grimpe | B. Riley Wealth Advisors, Inc. BD affiliated | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 31, 2024 | Oct 8, 2024 |
| John Mead Rust | B. Riley Wealth Advisors, Inc. BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 31, 2024 | Oct 21, 2024 |
| Neil Robert Bradie | B. Riley Wealth Advisors, Inc. BD affiliated | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 30, 2024 | Nov 12, 2024 |
| William John Braun | B. Riley Wealth Advisors, Inc. BD affiliated | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 30, 2024 | Oct 3, 2024 |
| John Thomas Holly | B. Riley Wealth Advisors, Inc. BD affiliated | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 30, 2024 | Oct 1, 2024 |
| Willard Louis Pugh | B. Riley Wealth Advisors, Inc. BD affiliated | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 30, 2024 | Oct 1, 2024 |
| Steven Jay Maurer | B. Riley Wealth Advisors, Inc. BD affiliated | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 30, 2024 | Oct 1, 2024 |
| Eric Lee Lyon | B. Riley Wealth Advisors, Inc. BD affiliated | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 30, 2024 | Oct 1, 2024 |
| Kerry L Hoffman | B. Riley Wealth Advisors, Inc. BD affiliated | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 30, 2024 | Oct 1, 2024 |
| Russell Edwin Herman | B. Riley Wealth Advisors, Inc. BD affiliated | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 30, 2024 | Oct 3, 2024 |
| Keith Thomas Zdrowak | B. Riley Wealth Advisors, Inc. BD affiliated | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 30, 2024 | Oct 8, 2024 |
| Gustavo Aldolfo Chaves | B. Riley Wealth Advisors, Inc. BD affiliated | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 30, 2024 | Oct 16, 2024 |
| William Thomas Johnson | B. Riley Wealth Advisors, Inc. BD affiliated | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 30, 2024 | Oct 1, 2024 |
472 moves match.