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 Waterloo Capital
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 |
|---|---|---|---|---|---|
| Olivia Marie Mary | Waterloo Capital independent RIA | Integrated Wealth Concepts LLC independent RIA | RIA to RIA | Jan 2, 2026 | Jun 5, 2026 (154 d) |
| Matthew Swartz | Waterloo Capital independent RIA | Intelligent Wealth Solutions LLC independent RIA | RIA to RIA | Sep 30, 2025 | May 14, 2024 |
| Dustin Allan Eldridge | Waterloo Capital independent RIA | Mai Capital Management, LLC independent RIA | RIA to RIA | Jan 24, 2025 | Feb 6, 2025 |
| Tanner Dale Banister | Waterloo Capital independent RIA | Kestra Advisory Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | May 17, 2022 | Jun 3, 2022 |
| Mikiel Ray Featherston | Waterloo Capital independent RIA | Planning Works Advisory, Inc. no RAUM | RIA to a newly registered adviser | Apr 26, 2022 | Apr 1, 2022 |
| Timothy Cordell Sittler | Waterloo Capital independent RIA | Planning Works Advisory, Inc. no RAUM | RIA to a newly registered adviser | Apr 26, 2022 | Mar 31, 2022 |
| Richard Omer Maurice | Waterloo Capital independent RIA | Ironridge Wealth Management, LLC independent RIA | RIA to RIA | Jan 27, 2020 | Jan 7, 2020 |
| Timothy Sean Benbow | Waterloo Capital independent RIA | Bull'S Eye Wealth Management, LLC unclassified | Other | Sep 13, 2019 | Jun 7, 2019 |
| Leah Anne Coleman | Waterloo Capital independent RIA | Orchard Financial state registered | RIA to a state-registered adviser | Feb 8, 2019 | Feb 12, 2019 |
| William Farup Hoffman | Waterloo Capital other | Ehlert Financial Group, Inc. unclassified | Other | Nov 12, 2008 | Feb 12, 2009 (92 d) |
| Daniel Kang | Waterloo Capital other | Advice And Planning Services BD affiliated | Other | Feb 15, 2008 | Jul 28, 2025 (6373 d) |
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11 moves match.