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 Calton & Associates, Inc.

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
Ryan KimesCalton & Associates, Inc. independent RIAThe Wealth Consulting Group independent RIARIA to RIAFeb 26, 2021Sep 19, 2024 (1301 d)
Brian Patrick RiggsCalton & Associates, Inc. independent RIABuckingham Strategic Wealth, LLC independent RIARIA to RIAFeb 14, 2021Mar 18, 2021 (32 d)
Joseph EberleCalton & Associates, Inc. independent RIAUnion Capital Company independent RIARIA to RIAJan 31, 2021May 28, 2021 (117 d)
James RiceCalton & Associates, Inc. independent RIARmr Wealth Builders, Inc. mixed wealthRIA to RIADec 4, 2020Nov 4, 2020
James Wesley PfeilCalton & Associates, Inc. independent RIAHarbour Investments, Inc. independent RIARIA to RIANov 12, 2020Nov 12, 2020
Christian Joel O'ConnorCalton & Associates, Inc. independent RIAHarbour Investments, Inc. independent RIARIA to RIANov 12, 2020Nov 12, 2020
William Blake NelsonCalton & Associates, Inc. independent RIAKestra Advisory Services, LLC BD affiliatedRIA to affiliated broker-dealer or bankNov 9, 2020Nov 18, 2020
Andrew Roy FerretteCalton & Associates, Inc. independent RIAReilly Financial Advisors independent RIARIA to RIAAug 19, 2020Aug 20, 2020
Dawn Marie MayCalton & Associates, Inc. independent RIAAffiliated Financial Advisors Inc independent RIARIA to RIAAug 2, 2020Dec 7, 2020 (127 d)
Ronald Dean SegonCalton & Associates, Inc. independent RIANext Financial Group, Inc. BD affiliatedRIA to affiliated broker-dealer or bankJul 9, 2020Jul 10, 2020
Julia Kay WhitleyCalton & Associates, Inc. independent RIADick Rivera & Associates independent RIARIA to RIAJul 2, 2020Mar 23, 2016
Norman Frank HallCalton & Associates, Inc. independent RIALPL Financial LLC BD affiliatedRIA to affiliated broker-dealer or bankApr 9, 2020Apr 9, 2020
Jacob Bryan AckermanCalton & Associates, Inc. independent RIALPL Financial LLC BD affiliatedRIA to affiliated broker-dealer or bankMar 4, 2020Mar 9, 2020
William S MorrisCalton & Associates, Inc. independent RIACape Investment Advisory, Inc. independent RIARIA to RIAFeb 4, 2020Apr 6, 2020 (62 d)
Mary Sarres NelsonCalton & Associates, Inc. independent RIARaymond James Financial Services Advisors, Inc BD affiliatedRIA to affiliated broker-dealer or bankNov 15, 2019Dec 3, 2019
Rebekah Joy PowersCalton & Associates, Inc. independent RIARaymond James & Associates, Inc. national BDRIA to affiliated broker-dealer or bankSep 20, 2019Oct 2, 2019
Kathryn Lynn MorenoCalton & Associates, Inc. independent RIABearing Financial Advisors, LLC state registeredRIA to a state-registered adviserSep 4, 2019Sep 9, 2019
Scott Dennis BussyCalton & Associates, Inc. independent RIABearing Financial Advisors, LLC state registeredRIA to a state-registered adviserSep 4, 2019Sep 6, 2019
Harry Tuller JohnsonCalton & Associates, Inc. independent RIAIpi Wealth Management, Inc. BD affiliatedRIA to affiliated broker-dealer or bankJul 31, 2019Aug 1, 2019
Eric H ZoldanCalton & Associates, Inc. independent RIAA.G.P / Alliance Global Partners BD affiliatedRIA to affiliated broker-dealer or bankJul 29, 2019Jul 30, 2019
Allen KellerCalton & Associates, Inc. independent RIACambridge Investment Research Advisors, Inc. BD affiliatedRIA to affiliated broker-dealer or bankApr 1, 2019Sep 5, 2019 (157 d)
Christopher Joseph MccoyCalton & Associates, Inc. independent RIARmr Wealth Builders, Inc. otherOtherJan 22, 2019Jan 22, 2019
Timothy Alexander DonaldsonCalton & Associates, Inc. independent RIALPL Financial LLC independent RIARIA to RIADec 24, 2018Jan 8, 2019
Timothy Cordell SittlerCalton & Associates, Inc. independent RIAWaterloo Capital independent RIARIA to RIANov 28, 2018Nov 28, 2018
Jean Ann BrownCalton & Associates, Inc. independent RIACaptrust institutionalOtherNov 27, 2018Feb 8, 2019 (73 d)
David Hughes PetryCalton & Associates, Inc. independent RIAReap In Wealth Management, LLC state registeredRIA to a state-registered adviserOct 29, 2018Nov 14, 2018
Tino SalarisCalton & Associates, Inc. independent RIAMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseRIA to wirehouseOct 26, 2018Dec 20, 2018 (55 d)
Jared WeberCalton & Associates, Inc. independent RIARmr Wealth Builders, Inc. otherOtherJul 26, 2018Jul 26, 2018
Carl EdwardsCalton & Associates, Inc. independent RIAOsaic Fs, Inc. BD affiliatedRIA to affiliated broker-dealer or bankJul 9, 2018Jul 2, 2018
Paul Michael PuleoCalton & Associates, Inc. independent RIARmr Wealth Builders, Inc. otherOtherJun 20, 2018May 9, 2018
Nicholas IppolitoCalton & Associates, Inc. independent RIAPark Avenue Securities LLC BD affiliatedRIA to affiliated broker-dealer or bankJun 20, 2018Jun 13, 2018
Steven Brian ShaimanCalton & Associates, Inc. otherColorado Financial Service Corporation otherOtherDec 15, 2017Jul 13, 2018 (210 d)
George Allen MartinCalton & Associates, Inc. otherAlphastar Capital Management independent RIAOtherDec 13, 2017Mar 21, 2018 (98 d)
Christopher Blake RadfordCalton & Associates, Inc. otherPalomar Financial Services unclassifiedOtherDec 7, 2017Mar 22, 2016
Angelo Chris AngelouCalton & Associates, Inc. otherBlubuzzard Advisors, LLC unclassifiedOtherOct 11, 2017Feb 17, 2021 (1225 d)
Scott Mons BroadbentCalton & Associates, Inc. otherRaymond James Financial Services Advisors, Inc otherOtherOct 3, 2017Oct 6, 2017
Kathryn Lewin HadleyCalton & Associates, Inc. otherIams Wealth Management, LLC no RAUMOtherOct 2, 2017Sep 28, 2017
Ihechituru KanuCalton & Associates, Inc. otherKanu Asset Management, LLC state registeredOtherSep 18, 2017Feb 10, 2014
Chano Jesse John ArellanoCalton & Associates, Inc. otherKuhn Capital Partners independent RIAOtherJul 18, 2017Jun 12, 2018 (329 d)
David Charles MillerCalton & Associates, Inc. otherInvestacorp Advisory Services Inc otherOtherJun 15, 2017Jun 29, 2017
Haddon B LibbyCalton & Associates, Inc. otherWinslow Drake, Inc. state registeredOtherMar 21, 2017Mar 7, 2017
Paul T EconomouCalton & Associates, Inc. otherOsaic Institutions, Inc. otherOtherFeb 24, 2017Feb 27, 2017
Robert Michael GarciaCalton & Associates, Inc. otherWescom Financial Services, LLC independent RIAOtherNov 29, 2016Nov 23, 2016
Lynn Marie Le GoyCalton & Associates, Inc. otherH. Beck, Inc. otherOtherNov 16, 2016Nov 28, 2016
Jeffrey Charles RattiCalton & Associates, Inc. otherTd Ameritrade Investment Management, LLC independent RIAOtherNov 2, 2016Apr 6, 2018 (520 d)
Edgar Allen ThomasCalton & Associates, Inc. otherClaraphi Advisory Network, LLC otherOtherJul 29, 2016Aug 24, 2016
Trey Robert HolmanCalton & Associates, Inc. otherGlobal Financial Private Capital, Inc. otherOtherJul 22, 2016Jul 21, 2016
Jacob Justin SchreerCalton & Associates, Inc. otherUBS Financial Services Inc. wirehouseOtherJun 14, 2016Jun 17, 2016
Jeffrey Scott KrallCalton & Associates, Inc. otherPrivate Advisor Group, LLC otherOtherMay 31, 2016May 31, 2016
Heath Gary GoldsteinCalton & Associates, Inc. other1st Financial Investment, Inc. state registeredOtherMay 18, 2016May 17, 2016
Randy Eugene SmithCalton & Associates, Inc. otherFairway Financial, LLC otherOtherOct 23, 2015Sep 17, 2015
Erik Erle SimmonsCalton & Associates, Inc. otherAxxcess Wealth Management, LLC otherOtherAug 25, 2015Sep 16, 2015
Charles Taylor FossCalton & Associates, Inc. otherCore Wealth Advisors, Inc. no RAUMOtherMar 31, 2015Mar 12, 2015
Nathan Harold DunhamCalton & Associates, Inc. otherCore Wealth Advisors, Inc. no RAUMOtherMar 31, 2015Mar 12, 2015
Carol Jeanette PipitoneCalton & Associates, Inc. otherTcfg Investment Advisors, LLC otherOtherFeb 27, 2015Mar 5, 2015
Giovanni TodescoCalton & Associates, Inc. otherTcfg Investment Advisors, LLC otherOtherFeb 26, 2015Oct 9, 2015 (225 d)
Ethan G MatkinCalton & Associates, Inc. otherTcfg Investment Advisors, LLC otherOtherFeb 26, 2015Mar 11, 2015
David Earl HendershottCalton & Associates, Inc. otherBelpointe Asset Management LLC otherOtherFeb 26, 2015Apr 19, 2016 (418 d)
Nicholas Alexander NelsonCalton & Associates, Inc. otherAlliancebernstein L.P. otherOtherFeb 18, 2015Mar 31, 2015 (41 d)
Michael John BrandoneCalton & Associates, Inc. otherEagle Financial Advisors, LLC independent RIAOtherDec 22, 2014Sep 16, 2013
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144 moves match.