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 Cape Investment Advisory, Inc.

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
Edward Reese BrooksCape Investment Advisory, Inc. independent RIAGlobal Investment Advisory independent RIARIA to RIAApr 2, 2026Mar 20, 2026
Danny Ray StrainCape Investment Advisory, Inc. independent RIAGlobal Investment Advisory independent RIARIA to RIAApr 2, 2026Mar 19, 2026
William S MorrisCape Investment Advisory, Inc. independent RIAKcd Financial, Inc. independent RIARIA to RIAFeb 25, 2026Jul 30, 2026 (155 d)
Hunter Wilhelm FreyCape Investment Advisory, Inc. independent RIAMiller Tabak Asset Management independent RIARIA to RIAJan 6, 2026Feb 5, 2026
Glen Jay BarberCape Investment Advisory, Inc. independent RIACreativeone Securities, LLC BD affiliatedRIA to affiliated broker-dealer or bankNov 24, 2025Nov 8, 2025
Brian Lon BiedermanCape Investment Advisory, Inc. independent RIANortlov Advisory, LLC state registeredRIA to a state-registered adviserOct 2, 2025Jan 6, 2026 (96 d)
Jamison Richard BannaCape Investment Advisory, Inc. independent RIAPlanmember Securities Corporation independent RIARIA to RIASep 12, 2025Sep 16, 2025
Nicholas John SchlagheckCape Investment Advisory, Inc. independent RIAZero Day Capital Enterprises LLC independent RIARIA to RIAJul 15, 2025Jul 21, 2025
Monica Elena ZamfirCape Investment Advisory, Inc. independent RIASchwab Wealth Advisory, Inc. no RAUMOtherMay 12, 2025Aug 6, 2025 (86 d)
William Campbell Monroe IIICape Investment Advisory, Inc. independent RIACreativeone Securities, LLC BD affiliatedRIA to affiliated broker-dealer or bankDec 10, 2024Dec 4, 2024
Kevin RossCape Investment Advisory, Inc. independent RIACardea Capital Advisors, LLC independent RIARIA to RIAApr 3, 2024Mar 28, 2024
Roy Edward KelseyCape Investment Advisory, Inc. independent RIAFinancial Gravity Family Office Services, LLC independent RIARIA to RIADec 15, 2023Apr 16, 2024 (123 d)
Costa TzotzisCape Investment Advisory, Inc. independent RIACst Financial Advisory LLC state registeredRIA to a state-registered adviserFeb 28, 2023Dec 21, 2022
Darwin Junior DeesCape Investment Advisory, Inc. independent RIAKovack Advisors, Inc. BD affiliatedRIA to affiliated broker-dealer or bankAug 23, 2022Aug 23, 2022
Victor F ConchaCape Investment Advisory, Inc. independent RIAFidelity Personal And Workplace Advisors BD affiliatedRIA to affiliated broker-dealer or bankMar 11, 2022May 3, 2022 (53 d)
Lacey Lynn RobertsCape Investment Advisory, Inc. independent RIAIntegrity Financial Advisors, LLC independent RIARIA to RIAJan 3, 2022Apr 28, 2022 (115 d)
Victor Patrick WilkersonCape Investment Advisory, Inc. independent RIABison Wealth, LLC mixed wealthRIA to RIADec 2, 2021Nov 30, 2021
Logan Brooks LowreyCape Investment Advisory, Inc. independent RIABenchmark Advisory Services, LLC independent RIARIA to RIAApr 28, 2021Apr 28, 2021
Karen Meyer HollandCape Investment Advisory, Inc. independent RIADempsey Lord Smith, LLC independent RIARIA to RIAOct 26, 2020Oct 22, 2020
David SalinasCape Investment Advisory, Inc. independent RIABenchmark Advisory Services, LLC independent RIARIA to RIASep 30, 2020Aug 16, 2021 (320 d)
Francois Roger BigotCape Investment Advisory, Inc. independent RIAEdward Jones national BDRIA to affiliated broker-dealer or bankNov 18, 2019Oct 28, 2019
David Jaindl MartinCape Investment Advisory, Inc. independent RIABenchmark Advisory Services, LLC no RAUMRIA to a newly registered adviserNov 13, 2019Nov 5, 2019
Michael Haskel NessimCape Investment Advisory, Inc. independent RIABenchmark Advisory Services, LLC no RAUMRIA to a newly registered adviserOct 3, 2019Oct 24, 2019
Jeffery Adam HardinCape Investment Advisory, Inc. independent RIAFiduciary Solutions, LLC unclassifiedOtherOct 5, 2018Sep 10, 2018
Dino PatelisCape Investment Advisory, Inc. independent RIAEdward Jones national BDRIA to affiliated broker-dealer or bankApr 24, 2018Jun 3, 2019 (405 d)
Terry StoorCape Investment Advisory, Inc. otherPeachcap Tax & Advisory, LLC otherOtherNov 16, 2017Nov 15, 2017
Nicholas Edward DonaldsonCape Investment Advisory, Inc. otherInvestment Fiduciary Planners, LLC state registeredOtherFeb 22, 2017Jan 22, 2026 (3256 d)
John Earle RedfearnCape Investment Advisory, Inc. otherVortex Advisory Services, LLC unclassifiedOtherDec 31, 2016Apr 29, 2013
Clinton Wayne CopelandCape Investment Advisory, Inc. otherInnovation Partners LLC otherOtherSep 2, 2016Aug 25, 2016
Christopher Owen MorrisCape Investment Advisory, Inc. otherCma Financial Services state registeredOtherAug 4, 2016Aug 3, 2016
Jessica Jane MorrisCape Investment Advisory, Inc. otherCma Financial Services state registeredOtherApr 25, 2016Jul 5, 2016 (71 d)
Thomas Steven WegnerCape Investment Advisory, Inc. otherLPL Financial LLC otherOtherSep 9, 2015Aug 14, 2015
Stephen Trent GilbertCape Investment Advisory, Inc. otherNorthwestern Mutual Investment Services,LLC otherOtherMay 1, 2015Jun 24, 2015 (54 d)
Jonathan Lee TannerCape Investment Advisory, Inc. otherTriad Advisors, LLC otherOtherMay 19, 2014May 19, 2014
Megan Leigh BrownCape Investment Advisory, Inc. otherMccormack Financial Planning Inc. otherOtherFeb 21, 2014Jan 29, 2013
Antan R WilsonCape Investment Advisory, Inc. otherEquitable Advisors, LLC national BDOtherFeb 21, 2014Jun 4, 2014 (103 d)
Felicia Curry JacksonCape Investment Advisory, Inc. otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherJun 29, 2012Aug 7, 2012 (39 d)
Allan Lawson HarknessCape Investment Advisory, Inc. otherPeak Wealth Group LLC state registeredOtherJan 27, 2011Jan 6, 2012 (344 d)
David Gregory WursterCape Investment Advisory, Inc. otherFinancial Advisers Of America, LLC otherOtherAug 30, 2010Aug 20, 2010
David Elliot ErbCape Investment Advisory, Inc. otherAllstate Financial Advisors, LLC BD affiliatedOtherMay 27, 2010May 7, 2021 (3998 d)
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40 moves match.