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 Financial Advocates Investment Management
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 |
|---|---|---|---|---|---|
| Eric Russell Lochner | Financial Advocates Investment Management independent RIA | LPL Financial LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jul 10, 2025 | May 29, 2025 |
| Gene Edwin Shook | Financial Advocates Investment Management independent RIA | LPL Financial LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jun 13, 2025 | May 23, 2025 |
| Dean Slade Bennion | Financial Advocates Investment Management independent RIA | LPL Financial LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jun 13, 2025 | Apr 29, 2025 |
| Keith Allen Cameron | Financial Advocates Investment Management independent RIA | LPL Financial LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jun 13, 2025 | Jun 9, 2025 |
| Brock Gordon Bennion | Financial Advocates Investment Management independent RIA | LPL Financial LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jun 13, 2025 | Apr 29, 2025 |
| Casi Jean Fors | Financial Advocates Investment Management independent RIA | Fors Financial no RAUM | RIA to a newly registered adviser | Jun 11, 2025 | Apr 22, 2025 |
| Joseph Carl Fors | Financial Advocates Investment Management independent RIA | Fors Financial no RAUM | RIA to a newly registered adviser | Jun 11, 2025 | Apr 22, 2025 |
| Eric Edward Maki | Financial Advocates Investment Management independent RIA | Stratos Wealth Partners, Ltd BD affiliated | RIA to affiliated broker-dealer or bank | Apr 30, 2025 | Apr 2, 2025 |
| Tyler Edward Mackeson | Financial Advocates Investment Management independent RIA | Stratos Wealth Partners, Ltd BD affiliated | RIA to affiliated broker-dealer or bank | Apr 30, 2025 | Apr 2, 2025 |
| Susan Mary Beardsley | Financial Advocates Investment Management independent RIA | LPL Financial LLC BD affiliated | RIA to affiliated broker-dealer or bank | Apr 28, 2025 | Mar 27, 2025 |
| James Robert Clarke | Financial Advocates Investment Management independent RIA | LPL Financial LLC BD affiliated | RIA to affiliated broker-dealer or bank | Apr 28, 2025 | Mar 25, 2025 |
| Andrew Thomas Brewer | Financial Advocates Investment Management independent RIA | LPL Financial LLC BD affiliated | RIA to affiliated broker-dealer or bank | Apr 28, 2025 | Mar 25, 2025 |
| Lance Alan Sevier | Financial Advocates Investment Management independent RIA | LPL Financial LLC BD affiliated | RIA to affiliated broker-dealer or bank | Apr 28, 2025 | Mar 25, 2025 |
| Jacob David Sandberg | Financial Advocates Investment Management independent RIA | LPL Financial LLC BD affiliated | RIA to affiliated broker-dealer or bank | Apr 28, 2025 | Mar 25, 2025 |
| Crystal Beineke | Financial Advocates Investment Management independent RIA | LPL Financial LLC BD affiliated | RIA to affiliated broker-dealer or bank | Apr 28, 2025 | Mar 25, 2025 |
| Michael Kellen Naki | Financial Advocates Investment Management independent RIA | Global Retirement Partners LLC institutional | Other | Apr 9, 2025 | Apr 2, 2025 |
| Alexander Ross Naki | Financial Advocates Investment Management independent RIA | Global Retirement Partners LLC institutional | Other | Apr 9, 2025 | Apr 2, 2025 |
| Michael R Brown | Financial Advocates Investment Management independent RIA | Foresee Wealth Advisors no RAUM | RIA to a newly registered adviser | Apr 2, 2025 | Mar 14, 2025 |
| Christopher John Niemela | Financial Advocates Investment Management independent RIA | Foresee Wealth Advisors no RAUM | RIA to a newly registered adviser | Apr 2, 2025 | Feb 28, 2025 |
| Sharla Rae Cameron | Financial Advocates Investment Management independent RIA | LPL Financial LLC BD affiliated | RIA to affiliated broker-dealer or bank | Mar 18, 2025 | Feb 4, 2025 |
| Manorama Kochikar Pai | Financial Advocates Investment Management independent RIA | Independent Advisor Alliance, LLC independent RIA | RIA to RIA | Jan 3, 2025 | Jan 5, 2025 |
| Jeffrey Jackson Dunn-Bernstein | Financial Advocates Investment Management independent RIA | Paradise Advisor Group LLC state registered | RIA to a state-registered adviser | Jan 2, 2025 | Nov 26, 2024 |
| Julie Ann Rothmeier | Financial Advocates Investment Management independent RIA | LPL Financial LLC BD affiliated | RIA to affiliated broker-dealer or bank | Dec 2, 2024 | Dec 2, 2024 |
| Travis Michael Berglund | Financial Advocates Investment Management independent RIA | LPL Financial LLC BD affiliated | RIA to affiliated broker-dealer or bank | Nov 21, 2024 | Nov 19, 2024 |
| Jason Berglund | Financial Advocates Investment Management independent RIA | LPL Financial LLC BD affiliated | RIA to affiliated broker-dealer or bank | Nov 21, 2024 | Nov 19, 2024 |
| William T. Harder | Financial Advocates Investment Management independent RIA | Clear Creek Financial Management, LLC independent RIA | RIA to RIA | Nov 13, 2024 | Nov 1, 2024 |
| Charles Francis Taylor | Financial Advocates Investment Management independent RIA | LPL Financial LLC BD affiliated | RIA to affiliated broker-dealer or bank | Sep 30, 2024 | Apr 13, 2026 (560 d) |
| Ryan Heacock | Financial Advocates Investment Management independent RIA | Fellowship Financial Planning no RAUM | RIA to a newly registered adviser | Jul 1, 2024 | Apr 3, 2024 |
| Jonathan Michael Davis | Financial Advocates Investment Management independent RIA | Fellowship Financial Planning no RAUM | RIA to a newly registered adviser | Jul 1, 2024 | Apr 3, 2024 |
| Marshall Kevin Williams | Financial Advocates Investment Management independent RIA | Fellowship Financial Planning no RAUM | RIA to a newly registered adviser | Jul 1, 2024 | Apr 3, 2024 |
| Zachary David Clark Lipton | Financial Advocates Investment Management independent RIA | Fellowship Financial Planning no RAUM | RIA to a newly registered adviser | Jul 1, 2024 | Apr 3, 2024 |
| John Mitchell Kiepe | Financial Advocates Investment Management independent RIA | Fellowship Financial Planning no RAUM | RIA to a newly registered adviser | Jul 1, 2024 | Apr 4, 2024 |
| Jon Edward Greene | Financial Advocates Investment Management independent RIA | Fellowship Financial Planning no RAUM | RIA to a newly registered adviser | Jul 1, 2024 | Apr 3, 2024 |
| David Thead | Financial Advocates Investment Management independent RIA | Edward Jones national BD | RIA to affiliated broker-dealer or bank | Mar 4, 2024 | Mar 25, 2024 |
| Jon R. Schuette | Financial Advocates Investment Management independent RIA | Raymond James Financial Services Advisors, Inc BD affiliated | RIA to affiliated broker-dealer or bank | Feb 13, 2024 | Feb 8, 2024 |
| Darren Keith Crow | Financial Advocates Investment Management independent RIA | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | RIA to wirehouse | Jan 2, 2024 | Jun 12, 2024 (162 d) |
| Brian Edward Hale | Financial Advocates Investment Management independent RIA | LPL Financial LLC BD affiliated | RIA to affiliated broker-dealer or bank | Dec 8, 2023 | Dec 11, 2023 |
| Matthew Thomas Lazaras | Financial Advocates Investment Management independent RIA | LPL Financial LLC BD affiliated | RIA to affiliated broker-dealer or bank | Nov 17, 2023 | Nov 15, 2023 |
| Rebecca Marie Vanhorn | Financial Advocates Investment Management independent RIA | LPL Financial LLC BD affiliated | RIA to affiliated broker-dealer or bank | Nov 7, 2023 | Nov 7, 2023 |
| Lee Stanley Martin | Financial Advocates Investment Management independent RIA | Avior Wealth Management, LLC independent RIA | RIA to RIA | Oct 10, 2023 | Oct 16, 2023 |
| Kerry Lynn Prichard | Financial Advocates Investment Management independent RIA | LPL Financial LLC BD affiliated | RIA to affiliated broker-dealer or bank | Oct 6, 2023 | Sep 22, 2023 |
| Terry Robert Cleman | Financial Advocates Investment Management independent RIA | LPL Financial LLC BD affiliated | RIA to affiliated broker-dealer or bank | Oct 6, 2023 | Sep 22, 2023 |
| Heather Ann Pratt | Financial Advocates Investment Management independent RIA | Osaic Wealth, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Oct 6, 2023 | Jul 17, 2024 (285 d) |
| Mohammad Soliman Popal | Financial Advocates Investment Management independent RIA | Solid State Wealth Advisory Group no RAUM | RIA to a newly registered adviser | Oct 6, 2023 | Sep 1, 2026 (1061 d) |
| Taryn Weiks | Financial Advocates Investment Management independent RIA | LPL Financial LLC BD affiliated | RIA to affiliated broker-dealer or bank | Oct 6, 2023 | Sep 22, 2023 |
| Ryan Michael Sundberg | Financial Advocates Investment Management independent RIA | LPL Financial LLC BD affiliated | RIA to affiliated broker-dealer or bank | Oct 6, 2023 | Sep 22, 2023 |
| Rease Morin | Financial Advocates Investment Management independent RIA | LPL Financial LLC BD affiliated | RIA to affiliated broker-dealer or bank | Oct 6, 2023 | Sep 22, 2023 |
| Summer Sawdey | Financial Advocates Investment Management independent RIA | LPL Financial LLC BD affiliated | RIA to affiliated broker-dealer or bank | Oct 6, 2023 | Sep 23, 2023 |
| Melissa Elise Buttafoco | Financial Advocates Investment Management independent RIA | LPL Financial LLC BD affiliated | RIA to affiliated broker-dealer or bank | Oct 6, 2023 | Sep 22, 2023 |
| Joshua Ryan Larson | Financial Advocates Investment Management independent RIA | LPL Financial LLC BD affiliated | RIA to affiliated broker-dealer or bank | Sep 25, 2023 | Sep 29, 2023 |
| Matthew Brooke Mullowney | Financial Advocates Investment Management independent RIA | Lifeworks Advisors, LLC independent RIA | RIA to RIA | Sep 15, 2023 | Sep 20, 2023 |
| Lora Lynn Leavenworth | Financial Advocates Investment Management independent RIA | Fisher Investments independent RIA | RIA to RIA | Aug 29, 2023 | Sep 12, 2023 |
| Nazaree Jackson | Financial Advocates Investment Management independent RIA | Edward Jones national BD | RIA to affiliated broker-dealer or bank | Jun 2, 2023 | Nov 3, 2023 (154 d) |
| Marshall J Thomas | Financial Advocates Investment Management independent RIA | Cetera Investment Advisers LLC BD affiliated | RIA to affiliated broker-dealer or bank | May 11, 2023 | Mar 21, 2024 (315 d) |
| Travis Lauren Venable | Financial Advocates Investment Management independent RIA | Cetera Investment Advisers LLC BD affiliated | RIA to affiliated broker-dealer or bank | May 11, 2023 | Mar 21, 2024 (315 d) |
| Jocelyn Pierre Andre Servignat | Financial Advocates Investment Management independent RIA | Naviquant no RAUM | RIA to a newly registered adviser | May 2, 2023 | Apr 27, 2023 |
| Steve Everett Montgomery | Financial Advocates Investment Management independent RIA | Legion Private Wealth Management state registered | RIA to a state-registered adviser | Apr 25, 2023 | Apr 7, 2023 |
| Shawna Kristine Bain | Financial Advocates Investment Management independent RIA | Merit Financial Advisors independent RIA | RIA to RIA | Apr 14, 2023 | Apr 14, 2023 |
| Christopher Stephen Loutsis | Financial Advocates Investment Management independent RIA | Merit Financial Advisors independent RIA | RIA to RIA | Apr 14, 2023 | Apr 14, 2023 |
| Michelle Robin Jones | Financial Advocates Investment Management independent RIA | Cetera Investment Advisers LLC BD affiliated | RIA to affiliated broker-dealer or bank | Mar 13, 2023 | Mar 21, 2024 (374 d) |
209 moves match.