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 Sanders Morris LLC

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
Steve Mangold	Sanders Morris LLC independent RIA	Tectonic Capital Advisors, LLC no RAUM	RIA to a newly registered adviser	Feb 6, 2026	Dec 17, 2025
George Henry Arnold	Sanders Morris LLC independent RIA	Miller-Green Financial Services LLC other	Other	Dec 3, 2025	Jun 8, 2016
Sumeet Kaur Rai	Sanders Morris LLC independent RIA	Miller-Green Financial Services LLC other	Other	Dec 3, 2025	Jun 8, 2016
Daniel Priwin	Sanders Morris LLC independent RIA	J.P. Morgan Securities LLC wirehouse	RIA to wirehouse	Mar 18, 2022	Apr 7, 2022
Christopher Eric Pollitt	Sanders Morris LLC other	RBC Capital Markets, LLC national BD	Other	Oct 20, 2017	Sep 22, 2017
Edward William Henry Kissinger	Sanders Morris LLC other	RBC Capital Markets, LLC national BD	Other	Oct 20, 2017	Sep 22, 2017
Brandon Ross Barrett	Sanders Morris LLC other	Elbrus Partners, LLC state registered	Other	Aug 21, 2017	Apr 19, 2022 (1702 d)
James William Roland	Sanders Morris LLC other	Commonwealth Financial Network national BD	Other	Apr 10, 2017	May 10, 2017
Don Edward Gilbert	Sanders Morris LLC other	Miller Wealth Advisors, LLC other	Other	May 7, 2016	Mar 14, 2017 (311 d)
Jeffrey Glynn Rhame	Sanders Morris LLC other	Rhame & Gorrell Wealth Management no RAUM	Other	May 7, 2016	Apr 29, 2016
Kyle William Nickerson	Sanders Morris LLC other	Rhame & Gorrell Wealth Management other	Other	May 7, 2016	Oct 18, 2017 (529 d)
John Kenneth Bruno	Sanders Morris LLC other	Gfs Advisors LLC other	Other	Dec 31, 2014	Mar 23, 2011
Bert Earl Miller	Sanders Morris LLC other	Miller Wealth Advisors, LLC no RAUM	Other	Apr 15, 2014	May 14, 2014
Robert Scott Bowman	Sanders Morris LLC other	Edelman Financial Engines independent RIA	Other	Feb 24, 2014	Nov 1, 2018 (1711 d)
Terry Lee Allen	Sanders Morris LLC other	Portsmouth Financial Services unclassified	Other	Oct 17, 2013	Oct 17, 2013
Heidi Jean Weir	Sanders Morris LLC other	Edelman Financial Services, LLC other	Other	Jul 2, 2013	Jul 1, 2013
Lori Schlager Bensing	Sanders Morris LLC other	Edelman Financial Services, LLC other	Other	Dec 31, 2012	May 23, 2012
Erik Syver Klefos	Sanders Morris LLC other	B Riley Wealth Management other	Other	Dec 17, 2012	Dec 14, 2012
Brian Wayne Mitchell	Sanders Morris LLC other	B Riley Wealth Management other	Other	Dec 17, 2012	Dec 17, 2012
Karen Jennifer Ginder	Sanders Morris LLC other	B Riley Wealth Management other	Other	Dec 17, 2012	Dec 14, 2012
William Hale Mildren	Sanders Morris LLC other	B Riley Wealth Management other	Other	Dec 17, 2012	Dec 17, 2012
Rune Medhus	Sanders Morris LLC other	B Riley Wealth Management other	Other	Dec 14, 2012	Dec 17, 2012
Lisa Gaye Marcelli	Sanders Morris LLC other	B Riley Wealth Management other	Other	Dec 14, 2012	Dec 17, 2012
Roger Preston Littlefield	Sanders Morris LLC other	B Riley Wealth Management other	Other	Dec 14, 2012	Dec 14, 2012
Jon R Wessels	Sanders Morris LLC other	B Riley Wealth Management other	Other	Dec 14, 2012	Dec 17, 2012
Brent Mark Howard	Sanders Morris LLC other	B Riley Wealth Management other	Other	Dec 14, 2012	Dec 14, 2012
Brede Currier Klefos	Sanders Morris LLC other	B Riley Wealth Management other	Other	Dec 14, 2012	Dec 17, 2012
Margaret Wade Johnson	Sanders Morris LLC other	B Riley Wealth Management other	Other	Dec 14, 2012	Dec 14, 2012
Nolene Nanette Metzger	Sanders Morris LLC other	Raymond James & Associates, Inc. national BD	Other	Nov 26, 2012	Nov 26, 2012
Jon Todd Metzger	Sanders Morris LLC other	Raymond James & Associates, Inc. national BD	Other	Nov 26, 2012	Nov 26, 2012
Teresa S. Queal	Sanders Morris LLC other	Corda Investment Management, LLC other	Other	Nov 2, 2012	Dec 6, 2012 (34 d)
Robert Franklin	Sanders Morris LLC other	Nfp Advisor Services, LLC other	Other	May 31, 2012	Jun 5, 2012
Terrance Stephen Puhl	Sanders Morris LLC other	Corda Investment Management, LLC other	Other	Apr 30, 2012	Jul 10, 2012 (71 d)
Charles Wallace Mcmakin	Sanders Morris LLC other	Geneos Wealth Management, Inc. other	Other	Apr 27, 2012	Apr 30, 2012
Ronald Joseph Brown	Sanders Morris LLC other	Geneos Wealth Management, Inc. other	Other	Apr 27, 2012	Apr 27, 2012
John Elliot Dore	Sanders Morris LLC other	Geneos Wealth Management, Inc. other	Other	Apr 27, 2012	Apr 27, 2012
Jeremy Michael Perque	Sanders Morris LLC other	Geneos Wealth Management, Inc. other	Other	Apr 27, 2012	Apr 27, 2012
Steve Howell Gott	Sanders Morris LLC other	Usca Ria LLC other	Other	Apr 23, 2012	May 1, 2012
Jeffrey Warren Farley	Sanders Morris LLC other	Cambridge Investment Research Advisors, Inc. other	Other	Apr 2, 2012	Apr 2, 2012
Thomas Mahone Tolleson	Sanders Morris LLC other	The Strategic Financial Alliance other	Other	Apr 2, 2012	Apr 20, 2012
Amy Smith Rubin	Sanders Morris LLC other	Vsr Advisory Services other	Other	Mar 15, 2012	Mar 15, 2012
Christopher Shawn Ramsey	Sanders Morris LLC other	Cincinnati Analysts, Inc other	Other	Jan 30, 2012	Jan 27, 2012
Ray W Stanley	Sanders Morris LLC other	Cincinnati Analysts, Inc other	Other	Jan 30, 2012	Jan 27, 2012
Alphonsus Richard Panzera	Sanders Morris LLC other	First Financial Equity Corporation other	Other	Dec 31, 2011	Feb 16, 2012 (47 d)
Gregory David Schnelzer	Sanders Morris LLC other	Cambridge Investment Research Advisors, Inc. other	Other	Dec 31, 2011	Jan 3, 2012
Elizabeth Erwin Cummins	Sanders Morris LLC other	Morgan Stanley wirehouse	Other	Dec 12, 2011	Feb 21, 2012 (71 d)
Michael James Thaler	Sanders Morris LLC other	Cambridge Investment Research Advisors, Inc. other	Other	Nov 23, 2011	Nov 28, 2011
James Edward Ellis	Sanders Morris LLC other	Cambridge Investment Research Advisors, Inc. other	Other	Nov 23, 2011	Nov 29, 2011
David Bernard Saunders	Sanders Morris LLC other	Cambridge Investment Research Advisors, Inc. other	Other	Nov 23, 2011	Nov 22, 2011
William Thomas Saunders	Sanders Morris LLC other	Cambridge Investment Research Advisors, Inc. other	Other	Nov 23, 2011	Nov 22, 2011
Kenneth Joseph Elkins	Sanders Morris LLC other	Cambridge Investment Research Advisors, Inc. other	Other	Nov 23, 2011	Nov 22, 2011
Amy Beth Seltzer	Sanders Morris LLC other	Cambridge Investment Research Advisors, Inc. other	Other	Nov 23, 2011	Nov 22, 2011
Andrew Hunter Walker	Sanders Morris LLC other	Cambridge Investment Research Advisors, Inc. other	Other	Nov 23, 2011	Nov 22, 2011
Canon Wayne Hickman	Sanders Morris LLC other	Cambridge Investment Research Advisors, Inc. other	Other	Nov 23, 2011	Nov 22, 2011
Alexander Joseph Paoletto	Sanders Morris LLC other	Cambridge Investment Research Advisors, Inc. other	Other	Nov 23, 2011	Nov 22, 2011
Robert Alexander Solley	Sanders Morris LLC other	First Allied Advisory Services, Inc. other	Other	Nov 22, 2011	Nov 21, 2011
Richard Allan Walsh	Sanders Morris LLC other	Stifel, Nicolaus & Company, Incorporated national BD	Other	Nov 10, 2011	Nov 10, 2011
David Edward Budnik	Sanders Morris LLC other	Carlyle Wealth Planning state registered	Other	Oct 25, 2011	Apr 18, 2007
Alan Anthony Anderson	Sanders Morris LLC other	Carlyle Wealth Planning state registered	Other	Oct 25, 2011	Oct 21, 2011
Sharon H Budnik	Sanders Morris LLC other	Vsr Advisory Services other	Other	Oct 25, 2011	Oct 26, 2011

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96 moves match.