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 Cl Wealth 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
Steven Gregory PriceCl Wealth Management LLC independent RIASb Advisory, LLC independent RIARIA to RIAMar 3, 2026Mar 17, 2026
Timothy Bernard WoodsCl Wealth Management LLC independent RIAWilliam Blair & Company L.L.C. BD affiliatedRIA to affiliated broker-dealer or bankMar 24, 2022Mar 2, 2022
William Paul BoscowCl Wealth Management LLC independent RIAAsteria Wealth LLC independent RIARIA to RIAMar 11, 2022Apr 11, 2022 (31 d)
Matthew ForrestCl Wealth Management LLC independent RIAAe Wealth Management, LLC BD affiliatedRIA to affiliated broker-dealer or bankApr 15, 2021Apr 15, 2021
Keith BrandCl Wealth Management LLC independent RIAAe Wealth Management, LLC BD affiliatedRIA to affiliated broker-dealer or bankApr 13, 2021Apr 14, 2021
Ashley C RobinsonCl Wealth Management LLC independent RIAAe Wealth Management, LLC BD affiliatedRIA to affiliated broker-dealer or bankApr 13, 2021Apr 7, 2021
Jason Hollis JohnsonCl Wealth Management LLC independent RIAAe Wealth Management, LLC BD affiliatedRIA to affiliated broker-dealer or bankApr 13, 2021Apr 7, 2021
Daniel WertsCl Wealth Management LLC independent RIAAe Wealth Management, LLC BD affiliatedRIA to affiliated broker-dealer or bankApr 13, 2021Apr 7, 2021
Brian Edward GardinerCl Wealth Management LLC BD affiliatedRealta Investment Advisors, Inc BD affiliatedAffiliated broker-dealer or bank to anotherMay 21, 2020May 7, 2020
Dick Paul SchulzCl Wealth Management LLC BD affiliatedBrookstone Capital Management LLC independent RIAAffiliated broker-dealer or bank to independent RIAApr 3, 2020Mar 13, 2020
Luke F BaumCl Wealth Management LLC BD affiliatedKingswood Wealth Advisors, LLC independent RIAAffiliated broker-dealer or bank to independent RIAMar 17, 2020Jan 19, 2022 (673 d)
Howard DavisCl Wealth Management LLC BD affiliatedEmerson Equity LLC BD affiliatedAffiliated broker-dealer or bank to anotherMar 2, 2020Dec 3, 2021 (641 d)
John Samuel KarrantCl Wealth Management LLC BD affiliatedAvantax Advisory Services BD affiliatedAffiliated broker-dealer or bank to anotherJan 21, 2020Jan 17, 2020
Robert John FerrisCl Wealth Management LLC BD affiliatedSpire Wealth Management, LLC BD affiliatedAffiliated broker-dealer or bank to anotherNov 19, 2019Nov 1, 2019
Thomas Robert KruegerCl Wealth Management LLC BD affiliatedNorthwestern Mutual Investment Services,LLC no RAUMOtherSep 12, 2019May 4, 2020 (235 d)
Keith J SpengelCl Wealth Management LLC BD affiliatedFoundations Investment Advisors LLC independent RIAAffiliated broker-dealer or bank to independent RIAAug 9, 2019May 31, 2024 (1757 d)
Maggie Xie LauerCl Wealth Management LLC BD affiliatedTri-Star Financial independent RIAAffiliated broker-dealer or bank to independent RIAFeb 13, 2019Mar 27, 2019 (42 d)
Becky Sue LynchCl Wealth Management LLC BD affiliatedCalton & Associates, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAAug 29, 2018Aug 30, 2018
David Matthew CollinsCl Wealth Management LLC otherCrown Capital Securities, L.P. otherOtherFeb 12, 2018Jan 26, 2018
John Brent KesnerCl Wealth Management LLC otherCuna Brokerage Services, Inc. otherOtherJan 17, 2018Jan 19, 2018
Wajeehuddin Salim SiddiquiCl Wealth Management LLC otherSt. Bernard Financial Services, Inc. otherOtherNov 29, 2017Nov 29, 2017
William Joseph WalshCl Wealth Management LLC otherBridgeport Asset Management, LLC. state registeredOtherNov 29, 2017Nov 6, 2017
Laura GilchristCl Wealth Management LLC otherWells Fargo Advisors wirehouseOtherNov 29, 2017Jul 12, 2019 (590 d)
John Steven MatthewsCl Wealth Management LLC otherPnc Wealth Management otherOtherAug 2, 2017Sep 1, 2017
John M. KurczCl Wealth Management LLC otherThrivent Investment Management Inc. otherOtherAug 2, 2017Aug 3, 2017
Tatyana Moyseevna BunichCl Wealth Management LLC otherIndependent Financial Group, LLC otherOtherMay 5, 2017Apr 18, 2017
Michael R CavaliereCl Wealth Management LLC otherMorgan Stanley wirehouseOtherDec 2, 2016Nov 28, 2017 (361 d)
Michael K De LuzCl Wealth Management LLC otherFinancial West Group otherOtherOct 31, 2016Feb 2, 2017 (94 d)
Mark Andrew WiacekCl Wealth Management LLC otherConcorde Asset Management, LLC otherOtherJun 13, 2016Nov 12, 2015
Kevin Lee HockerCl Wealth Management LLC otherSecure Investment Management, LLC otherOtherMay 19, 2016Jun 15, 2016
Michael John FornasierCl Wealth Management LLC otherInvestacorp Advisory Services Inc otherOtherAug 7, 2015Oct 12, 2015 (66 d)
Thomas Joseph VenturaCl Wealth Management LLC otherPrincipal Securities, Inc. otherOtherMay 21, 2015Jun 18, 2015
Edward Joseph FrederickCl Wealth Management LLC otherJ.P. Morgan Securities LLC wirehouseOtherMay 21, 2015Jan 26, 2017 (616 d)
Albert AkermanCl Wealth Management LLC otherR & R Financial Planners, Inc. independent RIAOtherJan 14, 2015Apr 27, 2016 (469 d)
Brian William GroganCl Wealth Management LLC otherFinancial West Group otherOtherNov 6, 2014Oct 15, 2014
Sterling Christen JackCl Wealth Management LLC otherColwyn Investments Lc state registeredOtherJul 21, 2014Jun 30, 2014
Michael Robert PalmisanoCl Wealth Management LLC otherConcorde Asset Management, LLC otherOtherFeb 25, 2014Feb 25, 2014
David Edward AstorrCl Wealth Management LLC otherWilmington Capital Securities, LLC otherOtherDec 26, 2013Dec 16, 2015 (720 d)
Jonathan G NorrisCl Wealth Management LLC otherGradient Advisors, LLC otherOtherNov 1, 2013Oct 17, 2013
John J PalmatierCl Wealth Management LLC otherFocus Financial otherOtherSep 16, 2013Mar 20, 2015 (550 d)
Allen Carl GrommetCl Wealth Management LLC otherAmerican Portfolios Advisors, Inc otherOtherAug 5, 2013Aug 6, 2013
Troy Michael HeftaCl Wealth Management LLC otherSecurities America Advisors, Inc. otherOtherJul 18, 2013Jul 29, 2013
Brian Paul KozakCl Wealth Management LLC otherMain Street Advisors, LLC otherOtherJul 8, 2013Jul 16, 2013
Samuel Gerald CocciaCl Wealth Management LLC otherGlobal Financial Private Capital, Inc. otherOtherJun 21, 2013Jun 25, 2013
Bryan Joseph BourgeoisCl Wealth Management LLC otherEdi Investment Advisor Corporation unclassifiedOtherJun 11, 2013Jun 5, 2013
Kim TrzeciakCl Wealth Management LLC otherGeorge Mckelvey Co., LLC otherOtherApr 17, 2013Apr 29, 2013
Taren MessengerCl Wealth Management LLC otherWells Fargo Advisors wirehouseOtherApr 3, 2013Apr 4, 2013
James Arnold HintzCl Wealth Management LLC otherEdi Investment Advisor Corporation unclassifiedOtherMar 22, 2013Jun 20, 2013 (90 d)
Gregory S HammerCl Wealth Management LLC otherProsperity Capital Advisors otherOtherNov 6, 2012Nov 15, 2012
Scott R LueckeCl Wealth Management LLC otherProsperity Capital Advisors otherOtherNov 6, 2012Nov 14, 2012
Shoug MaysonCl Wealth Management LLC otherCetera Advisors LLC otherOtherOct 17, 2012Jan 16, 2013 (91 d)
George Nicholas YankoupeCl Wealth Management LLC otherGradient Advisors, LLC otherOtherOct 1, 2012Jan 25, 2013 (116 d)
Eduardo Rafael IniguezCl Wealth Management LLC otherJ P Turner & Company Capital Management, LLC otherOtherAug 1, 2012Aug 2, 2012
Joseph G DonigerCl Wealth Management LLC otherSignator Investors, Inc. otherOtherAug 1, 2012May 28, 2013 (300 d)
John Russell CarpaniCl Wealth Management LLC otherOsaic Fa, Inc. otherOtherJul 23, 2012May 16, 2014 (662 d)
Todd Alexander LemieuxCl Wealth Management LLC otherPruco Securities, LLC BD affiliatedOtherJul 5, 2012Jun 7, 2021 (3259 d)
Richard Kenneth SunderlandCl Wealth Management LLC otherOakwood Capital, Inc. otherOtherJun 25, 2012Mar 20, 2013 (268 d)
Paul BeckmanCl Wealth Management LLC otherAmeriprise Financial Services, LLC national BDOtherMay 31, 2012Sep 9, 2025 (4849 d)
Philip Bruce SpearCl Wealth Management LLC otherNationwide Securities, LLC no RAUMOtherMay 16, 2012Jun 28, 2012 (43 d)
Michael Steven GreenbergCl Wealth Management LLC otherMonticello Investment Services, Inc. otherOtherApr 25, 2012May 21, 2012
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75 moves match.