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 Sheaff Brock Investment Advisors, LLC

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
Ronald Robert BrockSheaff Brock Investment Advisors, LLC independent RIAInnovative Portfolios LLC no RAUMOtherSep 12, 2025Dec 7, 2015
James P McmahonSheaff Brock Investment Advisors, LLC independent RIAAllworth Financial, L.P. BD affiliatedRIA to affiliated broker-dealer or bankSep 12, 2025Jun 12, 2025
Debra Kay McculleySheaff Brock Investment Advisors, LLC independent RIAAllworth Financial, L.P. BD affiliatedRIA to affiliated broker-dealer or bankSep 12, 2025May 30, 2025
Edward Allen HumphreysSheaff Brock Investment Advisors, LLC independent RIAAllworth Financial, L.P. BD affiliatedRIA to affiliated broker-dealer or bankSep 12, 2025May 30, 2025
Tiffany VanhookSheaff Brock Investment Advisors, LLC independent RIASalzinger Sheaff Brock, LLC independent RIARIA to RIASep 12, 2025May 1, 2023
Audrey BruchSheaff Brock Investment Advisors, LLC independent RIAAllworth Financial, L.P. BD affiliatedRIA to affiliated broker-dealer or bankSep 12, 2025May 30, 2025
Lisa Michelle ReddickSheaff Brock Investment Advisors, LLC independent RIAAllworth Financial, L.P. BD affiliatedRIA to affiliated broker-dealer or bankSep 12, 2025May 30, 2025
Nathan HarshmanSheaff Brock Investment Advisors, LLC independent RIAAllworth Financial, L.P. BD affiliatedRIA to affiliated broker-dealer or bankSep 12, 2025May 30, 2025
Jared Tyson LeeSheaff Brock Investment Advisors, LLC independent RIAInnovative Portfolios LLC asset managerOtherSep 12, 2025May 24, 2024
Katherine HarperSheaff Brock Investment Advisors, LLC independent RIAAllworth Financial, L.P. BD affiliatedRIA to affiliated broker-dealer or bankSep 12, 2025May 30, 2025
Samantha PezzuteSheaff Brock Investment Advisors, LLC independent RIAAllworth Financial, L.P. BD affiliatedRIA to affiliated broker-dealer or bankSep 12, 2025May 30, 2025
Emily BegemanSheaff Brock Investment Advisors, LLC independent RIAAllworth Financial, L.P. BD affiliatedRIA to affiliated broker-dealer or bankSep 12, 2025May 30, 2025
Matthew John Robert PotterSheaff Brock Investment Advisors, LLC independent RIAAllworth Financial, L.P. BD affiliatedRIA to affiliated broker-dealer or bankSep 12, 2025May 30, 2025
David GilreathSheaff Brock Investment Advisors, LLC independent RIASalzinger Sheaff Brock, LLC otherOtherSep 12, 2025Oct 28, 2015
Thomas KaiserSheaff Brock Investment Advisors, LLC independent RIAAllworth Financial, L.P. BD affiliatedRIA to affiliated broker-dealer or bankSep 12, 2025May 30, 2025
Christina Ann JordanSheaff Brock Investment Advisors, LLC independent RIAInnovative Portfolios LLC no RAUMOtherJun 20, 2025Jan 17, 2019
Mark Allen VandygriffSheaff Brock Investment Advisors, LLC independent RIAMindset Wealth Management, LLC no RAUMRIA to a newly registered adviserMar 27, 2024Mar 27, 2024
Seth William Webb HickleSheaff Brock Investment Advisors, LLC independent RIAMindset Wealth Management, LLC no RAUMRIA to a newly registered adviserMar 27, 2024Apr 2, 2024
James William HumphriesSheaff Brock Investment Advisors, LLC independent RIAMindset Wealth Management, LLC no RAUMRIA to a newly registered adviserMar 27, 2024Apr 2, 2024
Lisa Michelle ReddickSheaff Brock Investment Advisors, LLC independent RIAJ.P. Morgan Securities LLC wirehouseRIA to wirehouseFeb 6, 2024Feb 16, 2024
David L ChapinSheaff Brock Investment Advisors, LLC independent RIASchwab Wealth Advisory, Inc. no RAUMOtherSep 4, 2018Oct 28, 2021 (1150 d)
Peter Gorman BjelopetrovichSheaff Brock Investment Advisors, LLC independent RIAJ.P. Morgan Securities LLC wirehouseRIA to wirehouseSep 4, 2018Sep 5, 2018
Bryant K ScottSheaff Brock Investment Advisors, LLC otherWells Fargo Advisors wirehouseOtherFeb 15, 2018Mar 27, 2018 (40 d)
Paul Edwin CoanSheaff Brock Investment Advisors, LLC otherRaton Wealth state registeredOtherOct 19, 2017Sep 19, 2017
David John ArnsSheaff Brock Investment Advisors, LLC otherValic Financial Advisors, Inc. otherOtherSep 16, 2016Feb 14, 2017 (151 d)
Daniel Lemuel AndrewsSheaff Brock Investment Advisors, LLC otherCreative Planning otherOtherSep 16, 2016Oct 26, 2016 (40 d)
Jennifer Nicole OverhoffSheaff Brock Investment Advisors, LLC otherCreative Planning otherOtherSep 16, 2016Jan 12, 2017 (118 d)
Eric Dean MartzSheaff Brock Investment Advisors, LLC otherIp Financial Advisory Services LLC BD affiliatedOtherAug 11, 2016May 11, 2022 (2099 d)
Thomas D FarrellSheaff Brock Investment Advisors, LLC otherAdvice And Planning Services otherOtherApr 22, 2016Aug 28, 2017 (493 d)
Bryant K ScottSheaff Brock Investment Advisors, LLC otherWells Fargo Advisors wirehouseOtherJun 2, 2015May 12, 2015
Richard Leslie WellsSheaff Brock Investment Advisors, LLC otherUk Pension Advisors, Inc. unclassifiedOtherFeb 25, 2015May 12, 2015 (76 d)
Gary Todd CooperSheaff Brock Investment Advisors, LLC otherPnc Wealth Management otherOtherJun 22, 2010Apr 21, 2010
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32 moves match.