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 Capital Analysts

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
James Wayne RobinsonCapital Analysts BD affiliatedWells Fargo Advisors wirehouseAffiliated broker-dealer or bank to wirehouseOct 30, 2023Oct 30, 2023
Ryan Thomas LogueCapital Analysts BD affiliatedLincoln Investment BD affiliatedAffiliated broker-dealer or bank to anotherOct 30, 2023Feb 7, 2019
Sean LogueCapital Analysts BD affiliatedWells Fargo Advisors wirehouseAffiliated broker-dealer or bank to wirehouseOct 30, 2023Oct 31, 2023
Michael Timothy MamminiCapital Analysts BD affiliatedCommonwealth Financial Network national BDAffiliated broker-dealer or bank to anotherOct 25, 2023Oct 25, 2023
Christopher M LandwairCapital Analysts BD affiliatedCommonwealth Financial Network national BDAffiliated broker-dealer or bank to anotherOct 25, 2023Oct 25, 2023
Mitchell Lino MamminiCapital Analysts BD affiliatedLincoln Investment independent RIAAffiliated broker-dealer or bank to independent RIAOct 25, 2023Jul 12, 2023
Jeremy Scott ClarkCapital Analysts BD affiliatedBeacon Financial Advisory LLC otherOtherOct 5, 2023Jul 1, 2015
Debra HerrlingerCapital Analysts BD affiliatedPruco Securities, LLC BD affiliatedAffiliated broker-dealer or bank to anotherOct 4, 2023Oct 23, 2023
Joshua Adam SmithCapital Analysts BD affiliatedPruco Securities, LLC BD affiliatedAffiliated broker-dealer or bank to anotherOct 4, 2023Oct 6, 2023
Kyle MillerCapital Analysts BD affiliatedPruco Securities, LLC BD affiliatedAffiliated broker-dealer or bank to anotherOct 4, 2023Oct 4, 2023
Esther F Miller-SmithCapital Analysts BD affiliatedPruco Securities, LLC BD affiliatedAffiliated broker-dealer or bank to anotherOct 4, 2023Oct 3, 2023
Sage Justin BleakneyCapital Analysts BD affiliatedLincoln Investment otherOtherSep 27, 2023Dec 5, 2016
Chad Ryan MullenCapital Analysts BD affiliatedAdvisory Services Network independent RIAAffiliated broker-dealer or bank to independent RIASep 20, 2023Jan 31, 2024 (133 d)
Jennifer SellersCapital Analysts BD affiliatedLPL Enterprise, LLC BD affiliatedAffiliated broker-dealer or bank to anotherSep 12, 2023Apr 15, 2025 (581 d)
Henry P MilanoCapital Analysts BD affiliatedPark Avenue Securities LLC BD affiliatedAffiliated broker-dealer or bank to anotherSep 11, 2023Dec 4, 2023 (84 d)
Kasey Patrick GeorgeCapital Analysts BD affiliatedCambridge Investment Research Advisors, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherAug 31, 2023Aug 31, 2023
Jason Andrew BeattyCapital Analysts BD affiliatedEdelman Financial Engines mixed wealthAffiliated broker-dealer or bank to independent RIAAug 31, 2023Nov 27, 2023 (88 d)
Marques Jellani BoboCapital Analysts BD affiliatedLincoln Investment BD affiliatedAffiliated broker-dealer or bank to anotherAug 21, 2023Aug 20, 2021
Ryan J McmahonCapital Analysts BD affiliatedShepherd Financial Investment Advisory LLC institutionalOtherAug 3, 2023Aug 10, 2021
Brandon Joseph ArmellaCapital Analysts BD affiliatedPnc Wealth Management BD affiliatedAffiliated broker-dealer or bank to anotherJun 20, 2023Jun 30, 2023
Monisha Leigh PotterCapital Analysts BD affiliatedKestra Advisory Services, LLC BD affiliatedAffiliated broker-dealer or bank to anotherJun 7, 2023Jun 7, 2023
Daniel James PrenticeCapital Analysts BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherJun 5, 2023Jul 24, 2023 (49 d)
Jordan JacksonCapital Analysts BD affiliatedLincoln Investment BD affiliatedAffiliated broker-dealer or bank to anotherMay 24, 2023Sep 11, 2019
Ronald Thomas ReitzCapital Analysts BD affiliatedHorizon Wealth Management independent RIAAffiliated broker-dealer or bank to independent RIAApr 24, 2023Jun 1, 2023 (38 d)
Alexondra Nicole BrouwerCapital Analysts BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherApr 21, 2023May 8, 2023
Johnathan IrionsCapital Analysts BD affiliatedLincoln Investment BD affiliatedAffiliated broker-dealer or bank to anotherMar 21, 2023Aug 10, 2021
Courtenay Marie LyonsCapital Analysts BD affiliatedAmeriprise Financial Services, LLC national BDAffiliated broker-dealer or bank to anotherMar 10, 2023Mar 10, 2023
Carl Edward EricksonCapital Analysts BD affiliatedAmeriprise Financial Services, LLC national BDAffiliated broker-dealer or bank to anotherMar 10, 2023Mar 13, 2023
Brandon LopezCapital Analysts BD affiliatedLincoln Investment independent RIAAffiliated broker-dealer or bank to independent RIAFeb 22, 2023Nov 28, 2022
Joseph Thomas NolaCapital Analysts BD affiliatedMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseAffiliated broker-dealer or bank to wirehouseFeb 6, 2023Jan 13, 2025 (707 d)
Michael J GarciaCapital Analysts BD affiliatedEagle Strategies LLC BD affiliatedAffiliated broker-dealer or bank to anotherJan 2, 2023Mar 17, 2023 (74 d)
Mary P ZizumboCapital Analysts BD affiliatedNationwide Investment Advisors, LLC BD affiliatedAffiliated broker-dealer or bank to anotherDec 31, 2022Dec 7, 2023 (341 d)
Jose GautierCapital Analysts BD affiliatedSantander Securities BD affiliatedAffiliated broker-dealer or bank to anotherDec 22, 2022Jan 9, 2023
Tanner Jay BettsCapital Analysts BD affiliatedRaymond James & Associates, Inc. national BDAffiliated broker-dealer or bank to anotherDec 16, 2022Jan 4, 2023
Paul Timothy ReidyCapital Analysts BD affiliatedIntegrity Alliance, LLC independent RIAAffiliated broker-dealer or bank to independent RIADec 8, 2022Dec 21, 2022
Robert C CapuanoCapital Analysts BD affiliatedLPL Financial LLC independent RIAAffiliated broker-dealer or bank to independent RIADec 8, 2022Dec 9, 2022
Tyler Caldwell CurtisCapital Analysts BD affiliatedLPL Financial LLC independent RIAAffiliated broker-dealer or bank to independent RIADec 8, 2022Dec 9, 2022
Michael Ara SarafianCapital Analysts BD affiliatedLPL Financial LLC independent RIAAffiliated broker-dealer or bank to independent RIADec 8, 2022Dec 13, 2022
Michael Gallagher CollinsCapital Analysts BD affiliatedLPL Financial LLC independent RIAAffiliated broker-dealer or bank to independent RIANov 28, 2022Nov 28, 2022
Justin Travis HardyCapital Analysts BD affiliatedLPL Financial LLC independent RIAAffiliated broker-dealer or bank to independent RIANov 17, 2022Nov 17, 2022
Luis Alejandro VeraCapital Analysts BD affiliatedLPL Financial LLC independent RIAAffiliated broker-dealer or bank to independent RIANov 17, 2022Nov 21, 2022
Lyle Harley ColeCapital Analysts BD affiliatedBco Wealth Management, LLC no RAUMAffiliated broker-dealer or bank to a newly registered adviserNov 4, 2022Jul 8, 2022
John Milo OverstreetCapital Analysts BD affiliatedBco Wealth Management, LLC no RAUMAffiliated broker-dealer or bank to a newly registered adviserNov 4, 2022Jul 11, 2022
Matthew Allen PetersenCapital Analysts BD affiliatedCharles Schwab & Co., Inc. national BDAffiliated broker-dealer or bank to anotherOct 27, 2022Apr 26, 2023 (181 d)
Dean Dirk WeemhoffCapital Analysts BD affiliatedBeacon Financial Advisory LLC otherOtherOct 24, 2022Sep 9, 2015
Bradley Dean WeemhoffCapital Analysts BD affiliatedLincoln Investment BD affiliatedAffiliated broker-dealer or bank to anotherOct 24, 2022Jan 30, 2019
Andre La Monte ThomasCapital Analysts BD affiliatedLincoln Investment BD affiliatedAffiliated broker-dealer or bank to anotherOct 11, 2022Nov 23, 2020
Ernest Brad HatleyCapital Analysts BD affiliatedCredit Union Investment Services state registeredAffiliated broker-dealer or bank to a state-registered adviserOct 10, 2022Nov 8, 2022
Jarrod Levi MoreauCapital Analysts BD affiliatedKestra Advisory Services, LLC BD affiliatedAffiliated broker-dealer or bank to anotherSep 29, 2022Sep 29, 2022
Attilio Anthony FoschiniCapital Analysts BD affiliatedIntegrity Alliance, LLC independent RIAAffiliated broker-dealer or bank to independent RIASep 27, 2022Sep 27, 2022
Brett Thomas CiarloCapital Analysts BD affiliatedIntegrity Alliance, LLC independent RIAAffiliated broker-dealer or bank to independent RIASep 26, 2022Sep 23, 2022
Margherita Sandra FoschiniCapital Analysts BD affiliatedIntegrity Alliance, LLC independent RIAAffiliated broker-dealer or bank to independent RIASep 26, 2022Sep 23, 2022
Anne Marie SaguisagCapital Analysts BD affiliatedIntegrity Alliance, LLC independent RIAAffiliated broker-dealer or bank to independent RIASep 26, 2022Sep 23, 2022
Daniel Patrick CondonCapital Analysts BD affiliatedLincoln Investment BD affiliatedAffiliated broker-dealer or bank to anotherSep 26, 2022Oct 2, 2020
Christopher Lawrence ClelandCapital Analysts BD affiliatedIntegrity Alliance, LLC independent RIAAffiliated broker-dealer or bank to independent RIASep 26, 2022Sep 23, 2022
Paul ShortierCapital Analysts BD affiliatedIntegrity Alliance, LLC independent RIAAffiliated broker-dealer or bank to independent RIASep 26, 2022Sep 25, 2022
Jay M SabotCapital Analysts BD affiliatedIntegrity Alliance, LLC independent RIAAffiliated broker-dealer or bank to independent RIASep 26, 2022Oct 4, 2022
Zachary David MeyerCapital Analysts BD affiliatedLincoln Investment BD affiliatedAffiliated broker-dealer or bank to anotherSep 26, 2022Jan 7, 2020
Matthew DogaliCapital Analysts BD affiliatedIntegrity Alliance, LLC independent RIAAffiliated broker-dealer or bank to independent RIASep 26, 2022Oct 3, 2022
James Thomas BeyerCapital Analysts BD affiliatedLincoln Investment BD affiliatedAffiliated broker-dealer or bank to anotherSep 26, 2022Sep 22, 2020
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371 moves match.