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 Arete Wealth Advisors, 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.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Richard Clinton Sands | Arete Wealth Advisors, LLC BD affiliated | Arkadios Wealth Advisors BD affiliated | Affiliated broker-dealer or bank to another | May 1, 2026 | Jun 3, 2026 (33 d) |
| Joseph Dain Duplechain | Arete Wealth Advisors, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 23, 2026 | Apr 23, 2026 |
| Christian Alexander Bulla | Arete Wealth Advisors, LLC BD affiliated | D.A. Davidson & Co. independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 14, 2026 | May 4, 2026 |
| Kraig Richard Mickelsen | Arete Wealth Advisors, LLC BD affiliated | Krm Financial Planning & Wealth Management, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Mar 23, 2026 | Jan 2, 2026 |
| Robert Matthew Sweas | Arete Wealth Advisors, LLC BD affiliated | Krm Financial Planning & Wealth Management, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Mar 23, 2026 | Jan 2, 2026 |
| Nandan Jagdish Shah | Arete Wealth Advisors, LLC BD affiliated | Cura Wealth Advisors, LLC no RAUM | Other | Jan 8, 2026 | Aug 16, 2024 |
| Frederick Maximilian Kort | Arete Wealth Advisors, LLC BD affiliated | Cura Wealth Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 8, 2026 | Apr 29, 2025 |
| Monica Moose | Arete Wealth Advisors, LLC BD affiliated | Ausdal Financial Partners, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 1, 2025 | Oct 1, 2025 |
| Patrick Bryan Healey | Arete Wealth Advisors, LLC BD affiliated | Caliber Investment Advisors, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Sep 26, 2025 | Mar 30, 2026 (185 d) |
| Joseph Mario Persiano | Arete Wealth Advisors, LLC BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | May 28, 2025 | Jul 1, 2025 (34 d) |
| Walter Vincent Nelson | Arete Wealth Advisors, LLC BD affiliated | Cabin Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 1, 2025 | Sep 17, 2025 (139 d) |
| William Samuel Borleis | Arete Wealth Advisors, LLC BD affiliated | Cabin Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 1, 2025 | Apr 2, 2025 |
| James Nicholas Sarandis | Arete Wealth Advisors, LLC BD affiliated | Cabin Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 1, 2025 | May 29, 2025 |
| Logan D Cox | Arete Wealth Advisors, LLC BD affiliated | Cabin Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 1, 2025 | Jan 8, 2026 (252 d) |
| Brandon Disimone | Arete Wealth Advisors, LLC BD affiliated | Thrivent Investment Management Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 22, 2025 | May 16, 2025 |
| Mario Govic | Arete Wealth Advisors, LLC BD affiliated | Ausdal Financial Partners, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 8, 2025 | Apr 4, 2025 |
| Woodrow Wilson Willey | Arete Wealth Advisors, LLC BD affiliated | A.G.P / Alliance Global Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 1, 2025 | Apr 1, 2025 |
| Nilos Theodore Sakellariou | Arete Wealth Advisors, LLC BD affiliated | A.G.P / Alliance Global Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 3, 2025 | Feb 3, 2025 |
| Dung Tien Huynh | Arete Wealth Advisors, LLC BD affiliated | Empower Advisory Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 10, 2025 | May 15, 2026 (490 d) |
| Daniel Gerard Meehan | Arete Wealth Advisors, LLC BD affiliated | Bfc Planning, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 28, 2024 | Nov 13, 2024 |
| Dennis Shane Mcmillan | Arete Wealth Advisors, LLC BD affiliated | Portside Wealth Group, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 4, 2024 | Oct 28, 2024 |
| Joshua M. Moody | Arete Wealth Advisors, LLC BD affiliated | Creativeone Wealth, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 9, 2024 | Jan 1, 2026 (479 d) |
| Ira Gary Chernick | Arete Wealth Advisors, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 22, 2024 | Jul 23, 2024 |
| Joshua Thornhill | Arete Wealth Advisors, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 17, 2024 | Jul 17, 2024 |
| Justin Scott Mackie | Arete Wealth Advisors, LLC BD affiliated | Dai Wealth, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 15, 2024 | May 29, 2024 |
| Brittani Corren Schaefer | Arete Wealth Advisors, LLC BD affiliated | Rfg Advisory, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 15, 2024 | Apr 30, 2024 |
| Michael Thomas Bird | Arete Wealth Advisors, LLC BD affiliated | Kovack Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 2, 2024 | May 2, 2024 |
| Jeff Pietryla | Arete Wealth Advisors, LLC BD affiliated | Center Street Advisors, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | May 2, 2024 | Jun 2, 2022 |
| Christopher Brian Jones | Arete Wealth Advisors, LLC BD affiliated | Arlington Securities, Inc state registered | Affiliated broker-dealer or bank to a state-registered adviser | Apr 9, 2024 | Apr 22, 2024 |
| Susan D Marshall | Arete Wealth Advisors, LLC BD affiliated | Nautical Star Financial Group LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Mar 27, 2024 | Apr 9, 2024 |
| Mark Manjoong Yoon | Arete Wealth Advisors, LLC BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 20, 2024 | Apr 29, 2024 (40 d) |
| Timothy Michael Eckel | Arete Wealth Advisors, LLC BD affiliated | Dempsey Lord Smith, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 12, 2024 | Feb 7, 2024 |
| Kurt Walter Sergiewich | Arete Wealth Advisors, LLC BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 9, 2024 | Mar 1, 2024 |
| Adam B Wright | Arete Wealth Advisors, LLC BD affiliated | Summit Global Investments, LLC mixed wealth | Affiliated broker-dealer or bank to independent RIA | Feb 5, 2024 | May 17, 2024 (102 d) |
| Richard Andrew Borba | Arete Wealth Advisors, LLC BD affiliated | Portsmouth Financial Services unclassified | Other | Jan 24, 2024 | Jan 11, 2024 |
| Michael Martin Mirich | Arete Wealth Advisors, LLC BD affiliated | Realta Investment Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Dec 22, 2023 | Jan 1, 2025 (376 d) |
| James Joseph Toddy | Arete Wealth Advisors, LLC BD affiliated | United Planners' Financial Services Of America A Limited Partner independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 21, 2023 | Dec 12, 2023 |
| Daniel Joseph Roemerman | Arete Wealth Advisors, LLC BD affiliated | Transce3nd LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 21, 2023 | Jan 4, 2024 |
| Billy James Aycock | Arete Wealth Advisors, LLC BD affiliated | Cabin Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 12, 2023 | Dec 13, 2023 |
| Jonathan Daniel Brackmann | Arete Wealth Advisors, LLC BD affiliated | Axxcess Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 8, 2023 | Jan 24, 2022 |
| Richard Scott Toban | Arete Wealth Advisors, LLC BD affiliated | Realta Investment Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Dec 5, 2023 | Nov 30, 2023 |
| Connor Seedall | Arete Wealth Advisors, LLC BD affiliated | Dai Wealth, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 9, 2023 | Nov 9, 2023 |
| Nathan James Brooks | Arete Wealth Advisors, LLC BD affiliated | 25 Financial no RAUM | Other | Nov 7, 2023 | Mar 30, 2022 |
| Jeffrey Scott Larson | Arete Wealth Advisors, LLC BD affiliated | 25 Financial no RAUM | Other | Nov 2, 2023 | Mar 31, 2022 |
| Randall Scott Larson | Arete Wealth Advisors, LLC BD affiliated | 25 Financial no RAUM | Other | Nov 2, 2023 | Feb 15, 2022 |
| Joey Dale Miller | Arete Wealth Advisors, LLC BD affiliated | Dai Wealth, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 2, 2023 | Nov 29, 2023 |
| Michael Loren Seid | Arete Wealth Advisors, LLC BD affiliated | Axxcess Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 30, 2023 | Jan 4, 2022 |
| Stephan Kern Josiah Mckee | Arete Wealth Advisors, LLC BD affiliated | 25 Financial independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 30, 2023 | Jun 23, 2022 |
| Joshua Paul Statler | Arete Wealth Advisors, LLC BD affiliated | 25 Financial independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 27, 2023 | Jul 15, 2024 (262 d) |
| Brian Adam Sanguinet | Arete Wealth Advisors, LLC BD affiliated | 25 Financial independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 27, 2023 | Aug 12, 2022 |
| Monica Kristina Szakos | Arete Wealth Advisors, LLC BD affiliated | Axxcess Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 26, 2023 | Jan 4, 2022 |
| Amy White Widener | Arete Wealth Advisors, LLC BD affiliated | Realta Investment Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Sep 21, 2023 | Sep 22, 2023 |
| Thomas Samuel Lisk | Arete Wealth Advisors, LLC BD affiliated | Realta Investment Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Sep 21, 2023 | Oct 3, 2023 |
| Chase Henry Grosse | Arete Wealth Advisors, LLC BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 19, 2023 | Sep 18, 2023 |
| David Kent Prewette | Arete Wealth Advisors, LLC BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 20, 2023 | Aug 1, 2023 |
| Sean Robert Sullivan | Arete Wealth Advisors, LLC BD affiliated | Lifeworks Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 10, 2023 | Jul 17, 2023 |
| Michael Donlan Delpozzo | Arete Wealth Advisors, LLC BD affiliated | Masterworks Advisers, LLC asset manager | Other | Jul 6, 2023 | Jun 23, 2023 |
| Kevin Edward Cox | Arete Wealth Advisors, LLC BD affiliated | Masterworks Advisers, LLC asset manager | Other | Jul 6, 2023 | Jun 23, 2023 |
| Hunter Christian Ager | Arete Wealth Advisors, LLC BD affiliated | Masterworks Advisers, LLC asset manager | Other | Jul 6, 2023 | Jun 23, 2023 |
| Evan Cristofer Mcmann | Arete Wealth Advisors, LLC BD affiliated | Masterworks Advisers, LLC asset manager | Other | Jul 6, 2023 | Jun 23, 2023 |
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106 moves match.