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 Efficient 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
Douglas Dean AldenEfficient Advisors independent RIAWinning Points Advisors, L.L.C. otherOtherJun 1, 2026Nov 4, 2015
John David ResnickEfficient Advisors independent RIAAssetmark, Inc. BD affiliatedRIA to affiliated broker-dealer or bankJun 1, 2026Jun 8, 2026
Steven Bradford MillerEfficient Advisors independent RIAAssetmark, Inc. BD affiliatedRIA to affiliated broker-dealer or bankJun 1, 2026Jun 24, 2026
Samuel Eugene BadgleyEfficient Advisors independent RIAAssetmark, Inc. BD affiliatedRIA to affiliated broker-dealer or bankJun 1, 2026Jul 15, 2026 (44 d)
Dawn Marie SantorielloEfficient Advisors independent RIADs Financial Strategies, LLC state registeredRIA to a state-registered adviserJun 1, 2026Apr 16, 2026
Philip James CorsonEfficient Advisors independent RIAAssetmark, Inc. BD affiliatedRIA to affiliated broker-dealer or bankJun 1, 2026Jul 15, 2026 (44 d)
Sabrina Ann WilliamsEfficient Advisors independent RIAAssetmark, Inc. BD affiliatedRIA to affiliated broker-dealer or bankJun 1, 2026Jun 9, 2026
Jhon Khalil KhanEfficient Advisors independent RIAAssetmark, Inc. BD affiliatedRIA to affiliated broker-dealer or bankJun 1, 2026Jun 16, 2026
Ryan KnebelEfficient Advisors independent RIAAbg Consultants otherOtherDec 15, 2025Jan 12, 2026
Marc Stephen BeckerEfficient Advisors independent RIADiscipline Wealth Solutions, Inc. independent RIARIA to RIASep 2, 2025Jun 13, 2025
Thomas Edward DundorfEfficient Advisors independent RIAIndependent Advisor Alliance, LLC otherOtherAug 21, 2025Sep 28, 2016
Nathan Aaron FulksEfficient Advisors independent RIAIndependent Advisor Alliance, LLC independent RIARIA to RIAAug 21, 2025Apr 10, 2018
John Randall PotterEfficient Advisors independent RIAIntegrity Advisory Solutions independent RIARIA to RIAAug 21, 2025Apr 5, 2024
Timothy Andrew ChisholmEfficient Advisors independent RIANewsquare Capital, LLC independent RIARIA to RIAApr 8, 2025Nov 8, 2018
Dawn Marie SantorielloEfficient Advisors independent RIAAttleboro Wealth Management LLC independent RIARIA to RIAOct 5, 2022Oct 4, 2022
Richard Todd DavisEfficient Advisors independent RIAWealthcare Advisory Partners LLC independent RIARIA to RIAOct 29, 2021Jul 14, 2021
William Joel ThorntonEfficient Advisors independent RIAWealthcare Advisory Partners LLC independent RIARIA to RIAOct 29, 2021Jul 14, 2021
Christopher Joseph BakEfficient Advisors independent RIAThrive Capital Management, LLC independent RIARIA to RIAAug 13, 2020Oct 6, 2020 (54 d)
Anthony R ColanceccoEfficient Advisors independent RIAApexium Financial LP otherOtherOct 15, 2019Oct 6, 2016
Justin Jeffrey SheikEfficient Advisors otherIndependent Advisor Alliance, LLC otherOtherApr 21, 2017Sep 28, 2016
John Peter SchmickEfficient Advisors otherPruco Securities, LLC BD affiliatedOtherMar 6, 2017Jan 16, 2018 (316 d)
John Thomas BloodEfficient Advisors otherJjcc Financial, Inc. no RAUMOtherMar 2, 2017Feb 21, 2017
Christopher Joseph BakEfficient Advisors other1914 Advisors otherOtherJun 30, 2016Jun 24, 2016
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23 moves match.