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 Saxony Capital Management, 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
Sean Patrick DiorioSaxony Capital Management, LLC independent RIARiverside Financial Advisors LLC state registeredRIA to a state-registered adviserJan 28, 2026Jan 29, 2026
Timothy Brian McmullenSaxony Capital Management, LLC independent RIARiverside Financial Advisors LLC state registeredRIA to a state-registered adviserJan 27, 2026Jan 29, 2026
Gary L ShumateSaxony Capital Management, LLC independent RIAOsaic Wealth, Inc. BD affiliatedRIA to affiliated broker-dealer or bankDec 31, 2025Jan 23, 2026
Nicholas TroianiSaxony Capital Management, LLC independent RIAPurposepath Capital, LLC state registeredRIA to a state-registered adviserOct 7, 2025Oct 13, 2025
Jonathan EwanioSaxony Capital Management, LLC independent RIAMbm Wealth Consultants, LLC independent RIARIA to RIAMay 29, 2025Jun 10, 2025
Nita Pankaj SinghalSaxony Capital Management, LLC independent RIANew Day Wealth Management, LLC no RAUMOtherNov 27, 2024Dec 5, 2024
Richard Edward AckermanSaxony Capital Management, LLC independent RIACambridge Investment Research Advisors, Inc. BD affiliatedRIA to affiliated broker-dealer or bankAug 20, 2024Aug 2, 2024
Vincent John KleinSaxony Capital Management, LLC independent RIACambridge Investment Research Advisors, Inc. BD affiliatedRIA to affiliated broker-dealer or bankAug 20, 2024Aug 1, 2024
Thomas Edward O'Hehir-JohnsonSaxony Capital Management, LLC independent RIAOsaic Wealth, Inc. BD affiliatedRIA to affiliated broker-dealer or bankMar 25, 2024Mar 26, 2024
Curtis Andrew WhitakerSaxony Capital Management, LLC independent RIAPackerland Brokerage Services, Inc. independent RIARIA to RIADec 18, 2023Dec 15, 2023
James Edward PhelpsSaxony Capital Management, LLC independent RIALPL Financial LLC BD affiliatedRIA to affiliated broker-dealer or bankMay 31, 2023Mar 21, 2024 (295 d)
Adam J StoneSaxony Capital Management, LLC independent RIALPL Financial LLC independent RIARIA to RIADec 21, 2022Dec 14, 2022
Reagan Andrew ShoppSaxony Capital Management, LLC independent RIASterling Capital Management LLC otherOtherNov 3, 2022Jan 17, 2023 (75 d)
Stephen Patrick O'DonnellSaxony Capital Management, LLC independent RIAO'Donnell Wealth Management no RAUMRIA to a newly registered adviserNov 3, 2022Oct 17, 2022
John Peter DodenhoffSaxony Capital Management, LLC independent RIAO'Donnell Wealth Management no RAUMRIA to a newly registered adviserNov 3, 2022Oct 17, 2022
Sarah Jane PinkleySaxony Capital Management, LLC independent RIAClayton Financial Group, LLC independent RIARIA to RIASep 8, 2022Sep 7, 2022
Robert Joseph McnicholasSaxony Capital Management, LLC independent RIACetera Investment Advisers LLC BD affiliatedRIA to affiliated broker-dealer or bankAug 10, 2022Mar 21, 2024 (589 d)
Elroy Mark GoodyearSaxony Capital Management, LLC independent RIACetera Investment Advisers LLC BD affiliatedRIA to affiliated broker-dealer or bankAug 10, 2022Mar 21, 2024 (589 d)
Ashley Reinecke RieserSaxony Capital Management, LLC independent RIAMoneta Group Investment Advisors, LLC independent RIARIA to RIAJul 26, 2022Jul 27, 2022
Samuel Matthew PolitteSaxony Capital Management, LLC independent RIASei Investments Management Corp otherOtherJun 6, 2022Jun 9, 2022
Mario Joseph De RoseSaxony Capital Management, LLC independent RIANorthwestern Mutual Investment Services,LLC no RAUMOtherMay 19, 2022Jul 6, 2022 (48 d)
Emory JacksonSaxony Capital Management, LLC independent RIAJ.P. Morgan Securities LLC wirehouseRIA to wirehouseDec 3, 2021Dec 8, 2021
Regan WallSaxony Capital Management, LLC independent RIASei Investments Management Corp otherOtherMay 19, 2021Mar 31, 2022 (316 d)
James Patrick PritchardSaxony Capital Management, LLC independent RIADelta Investment Management, LLC independent RIARIA to RIAMay 14, 2021Apr 14, 2021
Mark S SargonSaxony Capital Management, LLC independent RIAE*Trade Capital Management, LLC independent RIARIA to RIADec 31, 2020Nov 23, 2021 (327 d)
Aaron Andrew BermanSaxony Capital Management, LLC independent RIAIp Financial Advisory Services LLC independent RIARIA to RIAJul 29, 2020Aug 24, 2020
Blake A LevitSaxony Capital Management, LLC independent RIAMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseRIA to wirehouseApr 16, 2020Aug 4, 2025 (1936 d)
Randi AllgoodSaxony Capital Management, LLC independent RIAChelsea Advisory Services, Inc independent RIARIA to RIADec 31, 2019Jan 6, 2020
Brent Wayne DerossettSaxony Capital Management, LLC independent RIAOn Investment Management Co BD affiliatedRIA to affiliated broker-dealer or bankDec 31, 2019Jan 13, 2020
Pamela Ann TraceySaxony Capital Management, LLC independent RIAKestra Advisory Services, LLC BD affiliatedRIA to affiliated broker-dealer or bankDec 12, 2019Dec 4, 2019
Todd Jerome MuhaSaxony Capital Management, LLC independent RIAThird Coast Securities LLC state registeredRIA to a state-registered adviserOct 8, 2019Sep 2, 2020 (330 d)
Vikas RishiSaxony Capital Management, LLC independent RIAOppenheimer & Co. Inc. BD affiliatedRIA to affiliated broker-dealer or bankJul 30, 2019Sep 10, 2019 (42 d)
James Arthur SteinbrennerSaxony Capital Management, LLC independent RIALasalle St. Investment Advisors, L.L.C. BD affiliatedRIA to affiliated broker-dealer or bankFeb 27, 2019Feb 8, 2019
Kimberly Lynn SteinbrennerSaxony Capital Management, LLC independent RIALasalle St. Investment Advisors, L.L.C. BD affiliatedRIA to affiliated broker-dealer or bankFeb 27, 2019Feb 1, 2019
Cameron Austin ByrdSaxony Capital Management, LLC independent RIAGood Life Advisors, LLC independent RIARIA to RIAFeb 13, 2019Feb 20, 2019
Christina Sue HakeSaxony Capital Management, LLC independent RIASmith Moore & Co. independent RIARIA to RIADec 31, 2018Dec 21, 2018
William Eugene DavisSaxony Capital Management, LLC independent RIAPinnacle Capital Advisors state registeredRIA to a state-registered adviserDec 31, 2018Jul 1, 2020 (548 d)
Kevin James FarrowSaxony Capital Management, LLC independent RIACuna Brokerage Services, Inc. mixed wealthRIA to RIANov 23, 2018Nov 27, 2018
Christine Marie WedellSaxony Capital Management, LLC otherRfg Advisory, LLC otherOtherOct 11, 2017Oct 13, 2017
Alan Kent SuiterSaxony Capital Management, LLC otherCreativeone Securities, LLC otherOtherMay 25, 2017May 5, 2017
Steven BernknopfSaxony Capital Management, LLC otherPrivate Advisor Group, LLC otherOtherMar 3, 2017Feb 13, 2017
Thomas LewisSaxony Capital Management, LLC otherKrilogy otherOtherApr 19, 2016Apr 21, 2016
Adam Charles KrugerSaxony Capital Management, LLC otherMbm Wealth Consultants, LLC independent RIAOtherOct 16, 2015Nov 18, 2015 (33 d)
Jonathon Anthony BellSaxony Capital Management, LLC otherRudis Capital Management, Inc. no RAUMOtherJul 30, 2015Jan 3, 2014
Thomas Patrick FlynnSaxony Capital Management, LLC otherLPL Financial LLC otherOtherMay 26, 2015May 19, 2015
James Edward GainesSaxony Capital Management, LLC otherMesirow Financial Investment Management, Inc. otherOtherFeb 25, 2015Feb 24, 2015
David Grant McknightSaxony Capital Management, LLC otherUltimate Retirement Products, Inc. state registeredOtherDec 31, 2014Jan 19, 2010
Jeffrey ShafferSaxony Capital Management, LLC otherFirst State Financial Management, Inc. unclassifiedOtherNov 14, 2014Nov 7, 2014
Ambrose Kai Chung ChanSaxony Capital Management, LLC otherAc Financial Advisory Group, LLC unclassifiedOtherAug 19, 2014Jul 2, 2009
Jacqueline ChanSaxony Capital Management, LLC otherCambridge Investment Research Advisors, Inc. otherOtherAug 14, 2014Aug 30, 2016 (747 d)
Jennifer HendersonSaxony Capital Management, LLC otherWells Fargo Advisors wirehouseOtherMar 10, 2014Mar 11, 2014
Brian Patrick SweetmanSaxony Capital Management, LLC otherCharles Schwab & Co., Inc. national BDOtherNov 5, 2013Jun 1, 2017 (1304 d)
Thomas Clark FrameSaxony Capital Management, LLC otherAmeriprise Financial Services, LLC national BDOtherOct 18, 2013Oct 4, 2013
Marc Daniel SegelnickSaxony Capital Management, LLC otherClutch Capital Management, LLC state registeredOtherDec 18, 2012Apr 19, 2021 (3044 d)
Timothy Michael DaltonSaxony Capital Management, LLC otherBiondo Investment Advisors LLC otherOtherSep 5, 2012Sep 11, 2012
Janice Ann Webb LavinSaxony Capital Management, LLC otherNext Financial Group, Inc. otherOtherMay 15, 2012Jun 17, 2013 (398 d)
Thomas Michael KrissSaxony Capital Management, LLC otherScottrade Investment Management otherOtherJun 30, 2011Jul 11, 2014 (1107 d)
Boris KhaimSaxony Capital Management, LLC otherClutch Capital Management, LLC state registeredOtherSep 30, 2010Apr 20, 2021 (3855 d)
Durbin Don McdermottSaxony Capital Management, LLC otherSterne Agee Investment Advisor Services, Inc. otherOtherAug 30, 2010Nov 10, 2010 (72 d)
Jason Glen PueschelSaxony Capital Management, LLC otherMoney Concepts Advisory Service BD affiliatedOtherJul 16, 2010Jan 9, 2019 (3099 d)
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71 moves match.