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.

AdvisorFromToTypeLeftRegistered
Christian Samuel D'UrsoFinancial Advocates Investment Management independent RIATradewinds Wealth Management independent RIARIA to RIAMar 9, 2023Nov 29, 2023 (265 d)
Brandon Alexander TrankFinancial Advocates Investment Management independent RIATradewinds Wealth Management independent RIARIA to RIAMar 9, 2023Apr 23, 2023 (45 d)
Kataya Lorelei PlettFinancial Advocates Investment Management independent RIATradewinds Wealth Management no RAUMRIA to a newly registered adviserMar 9, 2023Mar 9, 2023
James Paul SpanglerFinancial Advocates Investment Management independent RIATradewinds Wealth Management independent RIARIA to RIAMar 9, 2023Nov 30, 2023 (266 d)
Lawrence Joseph WellerFinancial Advocates Investment Management independent RIAEcf Wealth, Inc. state registeredRIA to a state-registered adviserFeb 28, 2023Dec 6, 2022
Yan LeeFinancial Advocates Investment Management independent RIAKey Investment Services LLC BD affiliatedRIA to affiliated broker-dealer or bankJan 24, 2023May 18, 2023 (114 d)
Steven William BraceFinancial Advocates Investment Management independent RIAScs independent RIARIA to RIAOct 3, 2022Aug 9, 2022
Virak MannFinancial Advocates Investment Management independent RIALPL Financial LLC BD affiliatedRIA to affiliated broker-dealer or bankSep 6, 2022Mar 23, 2021
Alec FourieFinancial Advocates Investment Management independent RIALPL Financial LLC independent RIARIA to RIAAug 1, 2022Aug 15, 2022
Shawn Patrick WhatleyFinancial Advocates Investment Management independent RIAAmeriprise Financial Services, LLC national BDRIA to affiliated broker-dealer or bankMay 5, 2022May 5, 2022
Christopher Anton DimeFinancial Advocates Investment Management independent RIAMariner Advisor Network independent RIARIA to RIAApr 26, 2022Apr 26, 2022
Devin Wray HansonFinancial Advocates Investment Management independent RIAWealth Enhancement Advisory Services, LLC BD affiliatedRIA to affiliated broker-dealer or bankApr 11, 2022Apr 25, 2022
Jeffrey Daniel EischenFinancial Advocates Investment Management independent RIAPace Financial Advisors no RAUMRIA to a newly registered adviserApr 1, 2022Mar 8, 2022
Nathan Edward BauerFinancial Advocates Investment Management independent RIAPace Financial Advisors no RAUMRIA to a newly registered adviserApr 1, 2022Mar 9, 2022
Christopher Jerome MetteeFinancial Advocates Investment Management independent RIAPace Financial Advisors no RAUMRIA to a newly registered adviserApr 1, 2022Mar 9, 2022
Elvis MedicaFinancial Advocates Investment Management independent RIAAvantax Advisory Services BD affiliatedRIA to affiliated broker-dealer or bankDec 17, 2021Jan 14, 2022
Richard Patrick ArzagaFinancial Advocates Investment Management independent RIAThe Real Estate Whisperer(R) state registeredRIA to a state-registered adviserDec 17, 2021Jan 30, 2023 (409 d)
Scott M SwansonFinancial Advocates Investment Management independent RIANorthwestern Mutual Investment Services,LLC no RAUMOtherOct 8, 2021Nov 30, 2021 (53 d)
Cameron RelFinancial Advocates Investment Management independent RIAFidelity Personal And Workplace Advisors BD affiliatedRIA to affiliated broker-dealer or bankSep 28, 2021Jun 21, 2022 (266 d)
Martin Jeffrey LombranoFinancial Advocates Investment Management independent RIAWealth Management Solutions, LLC independent RIARIA to RIAAug 27, 2021May 20, 2021
Matthew C MeadFinancial Advocates Investment Management independent RIAWells Fargo Advisors wirehouseRIA to wirehouseAug 2, 2021Aug 20, 2021
Jeremy Frank LewisFinancial Advocates Investment Management independent RIAFortitude Financial LLC independent RIARIA to RIAJul 16, 2021Aug 24, 2021 (39 d)
Noelle Yvonne SeippFinancial Advocates Investment Management independent RIAFortitude Financial LLC independent RIARIA to RIAJul 16, 2021Aug 24, 2021 (39 d)
Benjamin Kohls ChaseFinancial Advocates Investment Management independent RIAFortitude Financial LLC independent RIARIA to RIAJul 16, 2021Aug 24, 2021 (39 d)
Matthew F GreveFinancial Advocates Investment Management independent RIAFortitude Financial LLC independent RIARIA to RIAJul 16, 2021Aug 24, 2021 (39 d)
Richard Anthony RivaFinancial Advocates Investment Management independent RIAWealth Management Solutions, LLC independent RIARIA to RIAJul 15, 2021May 20, 2021
Matthew Shane LuskFinancial Advocates Investment Management independent RIAJmk & Associates, LLC no RAUMRIA to a newly registered adviserJun 30, 2021Mar 10, 2021
Brandon Blaine MichaelsenFinancial Advocates Investment Management independent RIAJmk & Associates, LLC no RAUMRIA to a newly registered adviserJun 30, 2021Mar 9, 2021
James Madison KingFinancial Advocates Investment Management independent RIAJmk & Associates, LLC no RAUMRIA to a newly registered adviserJun 30, 2021Mar 11, 2021
Glen Gaylord GavinFinancial Advocates Investment Management independent RIAJmk & Associates, LLC no RAUMRIA to a newly registered adviserJun 30, 2021Mar 9, 2021
Brian Carlos MeadowsFinancial Advocates Investment Management independent RIAU.S. Bancorp Investments, Inc. BD affiliatedRIA to affiliated broker-dealer or bankApr 19, 2021Apr 16, 2021
Matthew James WiensFinancial Advocates Investment Management independent RIACapitol Family Office, Inc. no RAUMRIA to a newly registered adviserApr 1, 2021Feb 1, 2021
Mark David NortmanFinancial Advocates Investment Management independent RIACapitol Family Office, Inc. no RAUMRIA to a newly registered adviserApr 1, 2021Feb 1, 2021
Erica Gail NortmanFinancial Advocates Investment Management independent RIACapitol Family Office, Inc. no RAUMRIA to a newly registered adviserApr 1, 2021Feb 1, 2021
Stephen Alan CrabbFinancial Advocates Investment Management independent RIACapitol Family Office, Inc. no RAUMRIA to a newly registered adviserApr 1, 2021Feb 1, 2021
Garrett James ParkerFinancial Advocates Investment Management independent RIACapitol Family Office, Inc. no RAUMRIA to a newly registered adviserApr 1, 2021Jan 31, 2021
Jason KennedyFinancial Advocates Investment Management independent RIALockton Investment Advisors, LLC institutionalOtherFeb 4, 2021Mar 5, 2021
Daniel Kelly CroninFinancial Advocates Investment Management independent RIACorecap Advisors BD affiliatedRIA to affiliated broker-dealer or bankJan 6, 2021Feb 7, 2021 (32 d)
Wayne Von BorstelFinancial Advocates Investment Management independent RIAVon Borstel & Associates no RAUMRIA to a newly registered adviserAug 31, 2020Aug 4, 2020
Craig Ryan SmithFinancial Advocates Investment Management independent RIAVon Borstel & Associates no RAUMRIA to a newly registered adviserAug 19, 2020Aug 18, 2020
Michael Stephen TuellFinancial Advocates Investment Management independent RIAAmeriprise Financial Services, LLC national BDRIA to affiliated broker-dealer or bankAug 11, 2020Aug 10, 2020
John Michael TuellFinancial Advocates Investment Management independent RIAAmeriprise Financial Services, LLC national BDRIA to affiliated broker-dealer or bankAug 11, 2020Sep 3, 2020
Gregg Stewart SaundersFinancial Advocates Investment Management independent RIALPL Financial LLC BD affiliatedRIA to affiliated broker-dealer or bankAug 3, 2020Aug 3, 2020
James Masashi AokiFinancial Advocates Investment Management independent RIARaymond James Financial Services Advisors, Inc BD affiliatedRIA to affiliated broker-dealer or bankMar 3, 2020Jun 10, 2025 (1925 d)
Frank Anthony GambardellaFinancial Advocates Investment Management independent RIACommonwealth Financial Network national BDRIA to affiliated broker-dealer or bankJan 28, 2020Jan 29, 2020
Eric Jonathan RungeFinancial Advocates Investment Management independent RIAVeritas Wealth Management independent RIARIA to RIAJan 10, 2020Dec 5, 2025 (2156 d)
Scott Alan BrueskeFinancial Advocates Investment Management independent RIAB3 Wealth Strategies no RAUMRIA to a newly registered adviserOct 17, 2019Jul 2, 2019
Heather M CarlsonFinancial Advocates Investment Management independent RIALPL Financial LLC independent RIARIA to RIAOct 17, 2019Nov 10, 2017
Tiffany Elise CoteFinancial Advocates Investment Management independent RIAFinancial Advocates Advisory Services no RAUMOtherOct 17, 2019Mar 5, 2012
Alexander Scott BrueskeFinancial Advocates Investment Management independent RIAB3 Wealth Strategies no RAUMRIA to a newly registered adviserOct 17, 2019Jul 2, 2019
Spencer Alan BrueskeFinancial Advocates Investment Management independent RIAB3 Wealth Strategies no RAUMRIA to a newly registered adviserOct 17, 2019Jul 2, 2019
Michael Robert GrimmeFinancial Advocates Investment Management independent RIAPark + Elm Investment Advisers state registeredRIA to a state-registered adviserOct 14, 2019Oct 30, 2019
Christopher PaceFinancial Advocates Investment Management independent RIACitigroup Global Markets Inc. BD affiliatedRIA to affiliated broker-dealer or bankOct 7, 2019Sep 22, 2021 (716 d)
David AndersonFinancial Advocates Investment Management independent RIAM Holdings Securities, Inc. BD affiliatedRIA to affiliated broker-dealer or bankOct 7, 2019Dec 2, 2019 (56 d)
Laura Carrera WarnockFinancial Advocates Investment Management independent RIALPL Financial LLC otherOtherAug 1, 2019Feb 18, 2016
Andres LuceroFinancial Advocates Investment Management independent RIAEdward Jones national BDRIA to affiliated broker-dealer or bankJul 18, 2019Aug 2, 2019
Krista Michelle Van SickleFinancial Advocates Investment Management independent RIAU.S. Bancorp Investments, Inc. BD affiliatedRIA to affiliated broker-dealer or bankJul 16, 2019Jul 23, 2019
Paul Edward GrutznerFinancial Advocates Investment Management independent RIALPL Financial LLC otherOtherApr 10, 2019Jan 13, 2016
Michael R BrownFinancial Advocates Investment Management independent RIALPL Financial LLC otherOtherApr 10, 2019Mar 16, 2017
Tait Christopher LaneFinancial Advocates Investment Management independent RIATriad Investment Management no RAUMRIA to a newly registered adviserMar 29, 2019Dec 11, 2018
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209 moves match.