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 Level Four Advisory Services

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
Frances A Robinson-BidwellLevel Four Advisory Services BD affiliatedPelican Investment Advisors, LLC independent RIAAffiliated broker-dealer or bank to independent RIAJun 24, 2026Jul 1, 2026
Kristy HillukkaLevel Four Advisory Services BD affiliatedThrivent Investment Management Inc. BD affiliatedAffiliated broker-dealer or bank to anotherApr 8, 2026Apr 10, 2026
Jason Paul InmanLevel Four Advisory Services BD affiliatedSignal Advisors Wealth, LLC independent RIAAffiliated broker-dealer or bank to independent RIAMar 11, 2026Mar 11, 2026
Jason Ashley DoiseLevel Four Advisory Services BD affiliatedSignal Advisors Wealth, LLC independent RIAAffiliated broker-dealer or bank to independent RIAMar 11, 2026Mar 11, 2026
Raymond Albert PanquerneLevel Four Advisory Services BD affiliatedSignal Advisors Wealth, LLC independent RIAAffiliated broker-dealer or bank to independent RIAMar 9, 2026Mar 9, 2026
John Kenneth BrunoLevel Four Advisory Services BD affiliatedJ. W. Cole Advisors, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherMar 3, 2026Jun 16, 2026 (105 d)
Britt WoodsLevel Four Advisory Services BD affiliatedPnc Wealth Management BD affiliatedAffiliated broker-dealer or bank to anotherFeb 5, 2026Feb 13, 2026
Bennett Carter KerfeldLevel Four Advisory Services BD affiliatedNewedge Advisors BD affiliatedAffiliated broker-dealer or bank to anotherNov 14, 2025Dec 2, 2025
Deneen Marie MorgiaLevel Four Advisory Services BD affiliatedEdward Jones national BDAffiliated broker-dealer or bank to anotherAug 22, 2025Aug 26, 2025
Matthew King EstesLevel Four Advisory Services BD affiliatedNaviter Wealth, LLC independent RIAAffiliated broker-dealer or bank to independent RIAApr 8, 2025Nov 3, 2025 (209 d)
Stacey Lynn LavenderLevel Four Advisory Services BD affiliatedG. A. Repple & Company BD affiliatedAffiliated broker-dealer or bank to anotherFeb 28, 2025Aug 26, 2024
John Douglas McdanielsLevel Four Advisory Services BD affiliatedGlobal Retirement Partners LLC institutionalOtherDec 31, 2024Sep 23, 2025 (266 d)
Jeremiah Robert ClarkeLevel Four Advisory Services BD affiliatedRaymond James Financial Services Advisors, Inc BD affiliatedAffiliated broker-dealer or bank to anotherDec 3, 2024Dec 3, 2024
Eric Ralph Van BuskirkLevel Four Advisory Services BD affiliatedRaymond James Financial Services Advisors, Inc BD affiliatedAffiliated broker-dealer or bank to anotherDec 3, 2024Dec 3, 2024
Russell Roy FranquesLevel Four Advisory Services BD affiliatedTitleist Asset Management, LLC independent RIAAffiliated broker-dealer or bank to independent RIADec 2, 2024Dec 2, 2024
Robert Arthur Oliver AndersonLevel Four Advisory Services BD affiliatedCommonwealth Financial Network national BDAffiliated broker-dealer or bank to anotherOct 29, 2024Oct 30, 2024
Thadius BeaversLevel Four Advisory Services BD affiliatedM Holdings Securities, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherJul 19, 2024Jul 23, 2024
Angela L BurnsLevel Four Advisory Services BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherFeb 5, 2024Nov 5, 2024 (274 d)
Lacey E ButeynLevel Four Advisory Services BD affiliatedKingswood Wealth Advisors, LLC BD affiliatedAffiliated broker-dealer or bank to anotherNov 14, 2023Jan 2, 2024 (49 d)
Kevin Dale CountsLevel Four Advisory Services BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherOct 31, 2023Nov 9, 2023
Michael Gerard HickeyLevel Four Advisory Services BD affiliatedRegal Advisory Services, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAOct 26, 2023Oct 26, 2023
Paul Lawrence SterzingerLevel Four Advisory Services BD affiliatedKingswood Wealth Advisors, LLC BD affiliatedAffiliated broker-dealer or bank to anotherJun 30, 2023Jan 17, 2024 (201 d)
Ryan RaphaelLevel Four Advisory Services BD affiliatedArcadia Wealth Management, LLC independent RIAAffiliated broker-dealer or bank to independent RIAJun 15, 2023Jul 14, 2023
Alfonso Paragas TadeoLevel Four Advisory Services BD affiliatedTexas Capital Bank Private Wealth Advisors independent RIAAffiliated broker-dealer or bank to independent RIAFeb 28, 2023Feb 28, 2023
Joshua Gram SpearLevel Four Advisory Services BD affiliatedFidelity Personal And Workplace Advisors BD affiliatedAffiliated broker-dealer or bank to anotherFeb 17, 2023Aug 2, 2023 (166 d)
Donald Robert AmesLevel Four Advisory Services BD affiliatedAmes Capital Management, Inc. state registeredAffiliated broker-dealer or bank to a state-registered adviserJan 19, 2023Dec 3, 2025 (1049 d)
Curtis Lee HowardLevel Four Advisory Services BD affiliatedLPL Financial LLC independent RIAAffiliated broker-dealer or bank to independent RIAJan 9, 2023Jan 18, 2023
Justin Derrick JonesLevel Four Advisory Services BD affiliatedFidelis Capital independent RIAAffiliated broker-dealer or bank to independent RIANov 15, 2022Jan 3, 2023 (49 d)
Lawrence A CrispLevel Four Advisory Services BD affiliatedCambridge Investment Research Advisors, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherAug 26, 2022Aug 25, 2022
Caroline Crisp HallLevel Four Advisory Services BD affiliatedCambridge Investment Research Advisors, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherAug 26, 2022Aug 25, 2022
Maryam Alyce HoustonLevel Four Advisory Services BD affiliatedLevel Four Capital Management independent RIAAffiliated broker-dealer or bank to independent RIAFeb 15, 2022Nov 23, 2019
Marcus Claude MooreLevel Four Advisory Services BD affiliatedGood Life Advisors, LLC independent RIAAffiliated broker-dealer or bank to independent RIAOct 7, 2021Sep 7, 2021
Jeffery Allen GrecuLevel Four Advisory Services BD affiliatedGood Life Advisors, LLC independent RIAAffiliated broker-dealer or bank to independent RIAOct 7, 2021Sep 7, 2021
Jeffery Brian HarperLevel Four Advisory Services BD affiliatedGood Life Advisors, LLC independent RIAAffiliated broker-dealer or bank to independent RIAOct 7, 2021Sep 10, 2021
Brian Craig TillotsonLevel Four Advisory Services BD affiliatedGood Life Advisors, LLC independent RIAAffiliated broker-dealer or bank to independent RIAOct 7, 2021Sep 13, 2021
Matthew Duane AllgoodLevel Four Advisory Services BD affiliatedGood Life Advisors, LLC independent RIAAffiliated broker-dealer or bank to independent RIAOct 7, 2021Sep 7, 2021
Kyle Brookes McbroomLevel Four Advisory Services BD affiliatedGood Life Advisors, LLC independent RIAAffiliated broker-dealer or bank to independent RIAOct 7, 2021Sep 7, 2021
Steven Joseph DevlinLevel Four Advisory Services BD affiliatedGood Life Advisors, LLC independent RIAAffiliated broker-dealer or bank to independent RIAOct 7, 2021Oct 12, 2021
Jason Doyle FletcherLevel Four Advisory Services BD affiliatedGood Life Advisors, LLC independent RIAAffiliated broker-dealer or bank to independent RIAOct 7, 2021Sep 7, 2021
Charles Wesley BaierLevel Four Advisory Services BD affiliatedGood Life Advisors, LLC independent RIAAffiliated broker-dealer or bank to independent RIAOct 7, 2021Sep 7, 2021
Karen Elicia SpenceLevel Four Advisory Services BD affiliatedGood Life Advisors, LLC independent RIAAffiliated broker-dealer or bank to independent RIAOct 7, 2021Sep 7, 2021
Kyle Donald HarperLevel Four Advisory Services BD affiliatedGood Life Advisors, LLC independent RIAAffiliated broker-dealer or bank to independent RIAOct 7, 2021Sep 7, 2021
Ryan RaphaelLevel Four Advisory Services BD affiliatedGood Life Advisors, LLC independent RIAAffiliated broker-dealer or bank to independent RIAOct 7, 2021Sep 7, 2021
Charles Robert ElhoffLevel Four Advisory Services BD affiliatedGood Life Advisors, LLC independent RIAAffiliated broker-dealer or bank to independent RIAOct 7, 2021Sep 13, 2021
Joseph SolomonLevel Four Advisory Services BD affiliatedPrivate Advisor Group, LLC BD affiliatedAffiliated broker-dealer or bank to anotherAug 31, 2021Aug 31, 2021
Donald SakamotoLevel Four Advisory Services BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherAug 31, 2021Aug 31, 2021
Clarence BarneyLevel Four Advisory Services BD affiliatedMariner Advisor Network independent RIAAffiliated broker-dealer or bank to independent RIAAug 31, 2021Aug 30, 2021
Joseph Wayne GlobenskyLevel Four Advisory Services BD affiliatedPrivate Advisor Group, LLC BD affiliatedAffiliated broker-dealer or bank to anotherAug 31, 2021Aug 30, 2021
Conrad E CookLevel Four Advisory Services BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherAug 31, 2021Aug 31, 2021
Robert P EberlinLevel Four Advisory Services BD affiliatedHighpoint Advisor Group, LLC independent RIAAffiliated broker-dealer or bank to independent RIAAug 31, 2021Aug 30, 2021
Matthew Sean ShermanLevel Four Advisory Services BD affiliatedPrivate Advisor Group, LLC BD affiliatedAffiliated broker-dealer or bank to anotherAug 31, 2021Aug 30, 2021
Kathryn Bridget SchneiderLevel Four Advisory Services BD affiliatedPrivate Advisor Group, LLC BD affiliatedAffiliated broker-dealer or bank to anotherAug 31, 2021Aug 30, 2021
Andrew Albert KeppyLevel Four Advisory Services BD affiliatedHighpoint Advisor Group, LLC independent RIAAffiliated broker-dealer or bank to independent RIAAug 31, 2021Aug 30, 2021
Stephen D IaconisLevel Four Advisory Services BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherAug 31, 2021Aug 31, 2021
John Lewis BoyerLevel Four Advisory Services BD affiliatedHighpoint Advisor Group, LLC independent RIAAffiliated broker-dealer or bank to independent RIAAug 31, 2021Aug 31, 2021
Steven John PotterLevel Four Advisory Services BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherAug 31, 2021Jan 20, 2022 (142 d)
Daniel Nathan LuberLevel Four Advisory Services BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherAug 31, 2021Aug 30, 2021
Mary Kathryn TompkinsLevel Four Advisory Services BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherAug 31, 2021Feb 3, 2022 (156 d)
Jan Deane WarzechaLevel Four Advisory Services BD affiliatedPrivate Advisor Group, LLC BD affiliatedAffiliated broker-dealer or bank to anotherAug 31, 2021Aug 30, 2021
Amy Jo BouchieLevel Four Advisory Services BD affiliatedWestern Wealth Management LLC independent RIAAffiliated broker-dealer or bank to independent RIAAug 30, 2021Aug 27, 2021
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185 moves match.