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 United Capital Financial Advisors

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
Kenneth Edward AllgoodUnited Capital Financial Advisors BD affiliatedGirard Securities, Inc. otherOtherDec 16, 2019Mar 16, 2009
Ryan F MaxwellUnited Capital Financial Advisors BD affiliatedEdward Jones national BDAffiliated broker-dealer or bank to anotherDec 16, 2019Mar 17, 2026 (2283 d)
Cole Edward WilliamsUnited Capital Financial Advisors BD affiliatedRaymond James Financial Services Advisors, Inc BD affiliatedAffiliated broker-dealer or bank to anotherDec 16, 2019Jun 30, 2020 (197 d)
Kevin Ray HermisUnited Capital Financial Advisors BD affiliatedBaker Tilly Wealth Management, LLC independent RIAAffiliated broker-dealer or bank to independent RIAOct 24, 2019Oct 21, 2019
Matthew PayneUnited Capital Financial Advisors BD affiliatedBaker Tilly Wealth Management, LLC independent RIAAffiliated broker-dealer or bank to independent RIASep 25, 2019Sep 26, 2019
Mark Billings RulemanUnited Capital Financial Advisors independent RIAGirard Securities, Inc. otherOtherJul 17, 2019Nov 17, 2011
Kyle Michael RainwaterUnited Capital Financial Advisors independent RIAB. Riley Wealth Advisors, Inc. BD affiliatedRIA to affiliated broker-dealer or bankJul 17, 2019Aug 6, 2019
Angela Denice SandersUnited Capital Financial Advisors independent RIASagepoint Financial, Inc. BD affiliatedRIA to affiliated broker-dealer or bankJul 15, 2019May 1, 2020 (291 d)
Barbara Ann HargerUnited Capital Financial Advisors independent RIAFisher Investments independent RIARIA to RIAJul 1, 2019Jun 25, 2019
Richard Schaben DitterUnited Capital Financial Advisors independent RIAPrime Capital Financial otherOtherJul 1, 2019Jul 26, 2019
Brooke Jackson McleodUnited Capital Financial Advisors independent RIAConcurrent Investment Advisors, LLC independent RIARIA to RIAMay 21, 2019Oct 2, 2023 (1595 d)
Colin James BindnerUnited Capital Financial Advisors independent RIATrue North Advisors, LLC independent RIARIA to RIAMar 19, 2019May 23, 2019 (65 d)
Matthew Antonio FatzUnited Capital Financial Advisors independent RIAThrive Wealth Management, LLC independent RIARIA to RIAMar 14, 2019Apr 1, 2019
Robb Patton ParsonsUnited Capital Financial Advisors independent RIAWealthsource? independent RIARIA to RIAMar 5, 2019Jan 25, 2019
Brett Winston MendenhallUnited Capital Financial Advisors independent RIARockefeller Capital Management no RAUMRIA to a newly registered adviserMar 5, 2019Mar 6, 2019
Christopher Dale FordUnited Capital Financial Advisors independent RIAFrontier Investment Management Co independent RIARIA to RIAMar 5, 2019Feb 7, 2019
Erin Danielle BluskeUnited Capital Financial Advisors independent RIAPersonal Capital Advisors Corporation independent RIARIA to RIANov 26, 2018Dec 5, 2018
Alan Michael RhodeUnited Capital Financial Advisors independent RIAModern Wealth LLC state registeredRIA to a state-registered adviserNov 13, 2018Apr 3, 2019 (141 d)
Laura Lea KimballUnited Capital Financial Advisors independent RIAAspire Planning Associates, Inc. independent RIARIA to RIASep 14, 2018Mar 1, 2019 (168 d)
Raymond John MacleanUnited Capital Financial Advisors independent RIAQhh Capital Management, LLC state registeredRIA to a state-registered adviserSep 4, 2018Jan 1, 2021 (850 d)
Matthew Paul GagnonUnited Capital Financial Advisors independent RIA1st Global Advisors Inc BD affiliatedRIA to affiliated broker-dealer or bankAug 6, 2018Aug 10, 2018
Donna M TeetsUnited Capital Financial Advisors independent RIAAlmanack Investment Partners independent RIARIA to RIAJul 17, 2018Aug 16, 2018
Shane Allen CaldwellUnited Capital Financial Advisors independent RIAMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseRIA to wirehouseJul 17, 2018Jul 30, 2018
Louis Jackson NewmanUnited Capital Financial Advisors independent RIAPersonal Capital Advisors Corporation independent RIARIA to RIAJun 28, 2018Jul 23, 2018
Laurence Jay EpsteinUnited Capital Financial Advisors independent RIALPL Financial LLC independent RIARIA to RIAJun 20, 2018Jun 14, 2018
Ryan John SmithUnited Capital Financial Advisors independent RIAWaddell & Reed BD affiliatedRIA to affiliated broker-dealer or bankJun 20, 2018Feb 14, 2019 (239 d)
Colleen Ann ZieglerUnited Capital Financial Advisors independent RIAInvesco Advisers, Inc. asset managerOtherJun 8, 2018Jun 22, 2018
Brian Alexander ZiplerUnited Capital Financial Advisors independent RIACharles Schwab & Co., Inc. national BDRIA to affiliated broker-dealer or bankMay 11, 2018Aug 1, 2018 (82 d)
Daniel Leverett RutterUnited Capital Financial Advisors independent RIAAgate Pass Investment, LLC independent RIARIA to RIAApr 26, 2018May 1, 2018
Rebecca Michelle BlevinsUnited Capital Financial Advisors independent RIAAndersen independent RIARIA to RIAApr 6, 2018Apr 18, 2018
Jeffrey Scott MarkewichUnited Capital Financial Advisors independent RIALPL Financial LLC independent RIARIA to RIAApr 2, 2018Mar 30, 2018
Elizabeth Anne WindischUnited Capital Financial Advisors otherGps Wealth Strategies Group, LLC otherOtherMar 7, 2018Mar 26, 2018
Phillip Dane RogersonUnited Capital Financial Advisors otherAssetmark, Inc. BD affiliatedOtherMar 1, 2018Oct 7, 2025 (2777 d)
Matthew Joseph DonahueUnited Capital Financial Advisors otherThrive Wealth Management, LLC otherOtherJan 29, 2018Mar 1, 2018 (31 d)
Michael Vincent PapaUnited Capital Financial Advisors otherSpire Wealth Management, LLC otherOtherJan 2, 2018Dec 21, 2017
Stefanie Ann MorganUnited Capital Financial Advisors otherNrg Wealth Management independent RIAOtherJan 2, 2018Sep 13, 2017
Mark Ernest LaflammeUnited Capital Financial Advisors otherAmeriprise Financial Services, LLC national BDOtherJan 2, 2018Dec 7, 2017
John Paul DavisUnited Capital Financial Advisors otherNrg Wealth Management independent RIAOtherJan 2, 2018Sep 13, 2017
Wayne Everett BoenigUnited Capital Financial Advisors otherGlobal Retirement Partners LLC institutionalOtherJan 2, 2018Jun 15, 2021 (1260 d)
Samuel Everritt MillerUnited Capital Financial Advisors otherSeia independent RIAOtherOct 20, 2017May 16, 2018 (208 d)
Jayne M MansfieldUnited Capital Financial Advisors otherCommonwealth Financial Network national BDOtherSep 29, 2017Sep 29, 2017
Russell Lee FoxUnited Capital Financial Advisors otherCommonwealth Financial Network national BDOtherSep 29, 2017Sep 29, 2017
Craig Jamieson SkeelsUnited Capital Financial Advisors otherCommonwealth Financial Network national BDOtherSep 29, 2017Sep 29, 2017
Andrew Thomas SponaugleUnited Capital Financial Advisors otherEvermay Wealth Management, LLC otherOtherSep 11, 2017Nov 28, 2017 (78 d)
Julie Kay NielsenUnited Capital Financial Advisors otherPer Stirling Capital Management, LLC independent RIAOtherAug 25, 2017Jun 7, 2019 (651 d)
Adam Blake BonnerUnited Capital Financial Advisors otherLPL Financial LLC otherOtherAug 9, 2017Aug 14, 2017
Ryan Mendel GarrisonUnited Capital Financial Advisors otherCharles Schwab & Co., Inc. national BDOtherJul 11, 2017Jul 10, 2019 (729 d)
Tyler Thomas BoyceUnited Capital Financial Advisors otherPersonal Capital Advisors Corporation otherOtherJul 7, 2017Jul 20, 2017
Robert Thomas GantUnited Capital Financial Advisors otherStephens BD affiliatedOtherJun 26, 2017Feb 16, 2018 (235 d)
Robert Alan BrownUnited Capital Financial Advisors otherIntegrated Wealth Concepts LLC otherOtherMay 12, 2017Jul 18, 2017 (67 d)
Kelly Manning RodriguezUnited Capital Financial Advisors otherAprio Wealth Management, LLC otherOtherMay 2, 2017May 8, 2017
John B TroyUnited Capital Financial Advisors otherPark Avenue Securities LLC otherOtherMar 6, 2017Feb 27, 2017
David L. SwensonUnited Capital Financial Advisors otherSpire Wealth Management, LLC otherOtherMar 3, 2017Mar 2, 2017
Aaron Eduard StolpenUnited Capital Financial Advisors otherTarbox Family Office, Inc. otherOtherJan 6, 2017Feb 7, 2018 (397 d)
Cheryl Benton BottUnited Capital Financial Advisors otherHolifield Financial Advisory Services/Prosper Financial Advisers otherOtherDec 31, 2016Jan 25, 2017
Kelly Christine EfflandUnited Capital Financial Advisors otherCwm, LLC otherOtherDec 15, 2016Dec 19, 2016
Brenna Jane WeemsUnited Capital Financial Advisors otherCwm, LLC otherOtherDec 12, 2016Feb 7, 2017 (57 d)
Stephen Collin LorenceUnited Capital Financial Advisors otherSavant Wealth Management otherOtherNov 21, 2016Jan 30, 2017 (70 d)
Douglas Ross MortonUnited Capital Financial Advisors otherHuber Financial otherOtherNov 16, 2016Jan 13, 2017 (58 d)
Erin Lee EddinsUnited Capital Financial Advisors otherPacific Crest Financial Advisors, LLC state registeredOtherNov 3, 2016Sep 1, 2022 (2128 d)
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421 moves match.