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 Mariner
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 |
|---|---|---|---|---|---|
| Alex Vazquez | Mariner BD affiliated | Centurion Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 27, 2025 | May 16, 2025 (78 d) |
| Chad Williamson | Mariner BD affiliated | Tobias Financial Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 7, 2025 | Mar 5, 2025 |
| Molly Nelson | Mariner BD affiliated | Moneysense LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jan 28, 2025 | Nov 27, 2024 |
| Lauren Mcgrath | Mariner BD affiliated | Lazard Asset Management LLC other | Other | Jan 27, 2025 | Jan 21, 2025 |
| Joshua Greiner | Mariner BD affiliated | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Jan 15, 2025 | Jan 7, 2025 |
| Antashe Katherine-Jessie Howard | Mariner BD affiliated | Nubian Square Investment Advisors, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Nov 27, 2024 | Jan 9, 2025 (43 d) |
| Bobby Lewis Morton | Mariner BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Nov 26, 2024 | Jun 24, 2026 (575 d) |
| Hunter Neumayer | Mariner BD affiliated | Retirable independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 25, 2024 | Dec 4, 2024 |
| Clayton Michael Foster | Mariner BD affiliated | Focus Partners Wealth, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 25, 2024 | Nov 26, 2024 |
| Jason Wesley Craine | Mariner BD affiliated | Firstpoint Financial, LLC no RAUM | Other | Nov 19, 2024 | Apr 14, 2015 |
| Andrea Nicole Ellis | Mariner BD affiliated | Pinnacle Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 24, 2024 | Nov 12, 2024 |
| James David Snyder | Mariner BD affiliated | Wealth Enhancement Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 15, 2024 | Apr 17, 2025 (184 d) |
| Leigh Alexandra Higgins | Mariner BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Oct 15, 2024 | Mar 5, 2025 (141 d) |
| Jonathan E Carter | Mariner BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Oct 7, 2024 | Nov 4, 2024 |
| Austin Grant Kemmerer | Mariner BD affiliated | Mariner Advisor Network BD affiliated | Affiliated broker-dealer or bank to another | Oct 1, 2024 | Oct 2, 2024 |
| Jermaine Guthrie | Mariner BD affiliated | Prosperity - An Eisneramper Company independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 27, 2024 | Oct 18, 2024 |
| Robert John Barnes | Mariner BD affiliated | Lido independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 18, 2024 | Sep 19, 2024 |
| Michele Ann Prell | Mariner BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Aug 19, 2024 | Aug 20, 2024 |
| Curtis Westrich | Mariner BD affiliated | Providers Wealth LLC unclassified | Other | Aug 19, 2024 | Sep 20, 2024 (32 d) |
| Valerie Elizabeth Escobar | Mariner BD affiliated | Firstpoint Financial, LLC no RAUM | Other | Aug 5, 2024 | May 27, 2015 |
| Meghan Elizabeth Mullikin | Mariner BD affiliated | Journey Advisory Group, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 5, 2024 | Jan 1, 2025 (149 d) |
| Brad Ian Morgan | Mariner BD affiliated | Savvy independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 25, 2024 | Jul 16, 2024 |
| Cameron Ray Tinsley | Mariner BD affiliated | Captrust institutional | Other | Jul 12, 2024 | Aug 5, 2024 |
| Yisha Wang | Mariner BD affiliated | Empirical Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 28, 2024 | Jun 24, 2024 |
| Nathan William Kunkel | Mariner BD affiliated | Savvy independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 28, 2024 | May 20, 2024 |
| Thomas Jeremiah Moher | Mariner BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jun 25, 2024 | Jun 27, 2024 |
| Ingrid Shang-Ying Yeh | Mariner BD affiliated | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 25, 2024 | Jun 24, 2024 |
| Benjamin Carl Huston | Mariner BD affiliated | Gratus Capital, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 17, 2024 | Jul 12, 2024 |
| Armanni Joseph Malaty | Mariner BD affiliated | Malaty Wealth Management unclassified | Other | Jun 3, 2024 | Jul 12, 2024 (39 d) |
| Tatiana Aleksandra Sunik | Mariner BD affiliated | Forum Financial Management, LP independent RIA | Affiliated broker-dealer or bank to independent RIA | May 28, 2024 | Jan 1, 2026 (583 d) |
| Eduardo Arturo Ramirez | Mariner BD affiliated | Ep Wealth Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 29, 2024 | Jan 5, 2026 (616 d) |
| Alison Morgan Roth | Mariner BD affiliated | Mariner Independent independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 12, 2024 | May 3, 2022 |
| Noel Vonuelos | Mariner BD affiliated | Mai Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 4, 2024 | Mar 25, 2024 |
| John Aylward Fletcher | Mariner BD affiliated | Creative Planning Institutional Advisors, LLC institutional | Other | Mar 4, 2024 | Mar 15, 2024 |
| Aisling Marie-Patricia Carroll-Transom | Mariner BD affiliated | Wealth Enhancement Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 22, 2024 | Sep 30, 2024 (221 d) |
| Joseph William Hendrix | Mariner BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Feb 14, 2024 | Feb 12, 2024 |
| Ann Margaret Donnelly | Mariner BD affiliated | Mma Securities LLC no RAUM | Other | Jan 26, 2024 | May 6, 2024 (101 d) |
| Sean R Meyeres | Mariner BD affiliated | Illumination Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 24, 2024 | Mar 1, 2024 (37 d) |
| Donald Anthony Edmunds | Mariner BD affiliated | Edelman Financial Engines independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 17, 2024 | Aug 8, 2024 (204 d) |
| Otoniel Francisco Maxwell | Mariner BD affiliated | Buckingham Strategic Wealth, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 4, 2024 | Mar 7, 2024 (63 d) |
| Craig Robert Norris | Mariner BD affiliated | Mariner Independent independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 2, 2024 | Jan 3, 2024 |
| Daniel Carl Saladino | Mariner BD affiliated | Mariner Independent independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 2, 2024 | Jan 4, 2024 |
| Stephanie Lynn Anderson | Mariner BD affiliated | Councilor Wealth LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 11, 2023 | Jan 16, 2024 (36 d) |
| Alma Pajova | Mariner BD affiliated | Hightower Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 8, 2023 | Dec 18, 2023 |
| Ehidiame O Eichie | Mariner BD affiliated | Northcoast Asset Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 17, 2023 | Dec 6, 2023 |
| Tammy K Pioch | Mariner BD affiliated | Hightower Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 16, 2023 | Nov 3, 2023 |
| Michael Ryan Baker | Mariner BD affiliated | Journey Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 6, 2023 | Feb 28, 2024 (145 d) |
| Patrick Neil Elliott | Mariner BD affiliated | Uprise Advisers LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Oct 2, 2023 | Jun 5, 2024 (247 d) |
| Brett James Thomas | Mariner BD affiliated | Mariner Independent independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 29, 2023 | May 5, 2022 |
| Nicholas Anthony Moriarty | Mariner BD affiliated | Mesirow Financial Investment Management, Inc. other | Other | Aug 28, 2023 | Sep 13, 2023 |
| Tyler James Barrientos | Mariner BD affiliated | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 21, 2023 | Dec 12, 2023 (113 d) |
| Mariella Ann Caruso | Mariner BD affiliated | Ieq Capital, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 11, 2023 | Sep 7, 2023 |
| Jason Allen Baum | Mariner BD affiliated | Cwa Asset Management Group independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 26, 2023 | Jul 27, 2023 |
| Grant Prescott Fuller | Mariner BD affiliated | Switchpoint Financial Planning LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 14, 2023 | Jul 25, 2023 |
| Gary L Altman | Mariner BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 14, 2023 | Jul 10, 2023 |
| Michael Stanley Burr | Mariner BD affiliated | Mariner Independent independent RIA | Affiliated broker-dealer or bank to independent RIA | May 30, 2023 | May 5, 2022 |
| Matthew M Kalabokes | Mariner BD affiliated | Fpc Investment Advisory, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | May 11, 2023 | May 10, 2023 |
| Keith Andrew Plywaczynski | Mariner BD affiliated | Mariner Independent independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 3, 2023 | Apr 4, 2023 |
| Tara Marie Hill | Mariner BD affiliated | Mariner Independent independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 3, 2023 | Apr 4, 2023 |
| Mario Anthony Riccadonna | Mariner BD affiliated | Note Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 8, 2023 | Mar 12, 2023 |
221 moves match.