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 Mariner Advisor Network

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
Fred Andrew WoodMariner Advisor Network BD affiliatedRivertree Wealth independent RIAAffiliated broker-dealer or bank to independent RIAApr 12, 2024Apr 19, 2024
Kevin C. SwansonMariner Advisor Network BD affiliatedPotentia Wealth no RAUMAffiliated broker-dealer or bank to a newly registered adviserApr 3, 2024Apr 1, 2024
Craig Steven PineMariner Advisor Network BD affiliatedPotentia Wealth independent RIAAffiliated broker-dealer or bank to independent RIAApr 3, 2024Jan 1, 2025 (273 d)
Daniel MccurdyMariner Advisor Network BD affiliatedMccurdy Financial Solutions state registeredAffiliated broker-dealer or bank to a state-registered adviserApr 3, 2024Jul 25, 2024 (113 d)
Sandra Louise SwansonMariner Advisor Network BD affiliatedPotentia Wealth independent RIAAffiliated broker-dealer or bank to independent RIAApr 3, 2024May 27, 2025 (419 d)
Adam Joseph RobertsMariner Advisor Network BD affiliatedPotentia Wealth no RAUMAffiliated broker-dealer or bank to a newly registered adviserApr 3, 2024Apr 2, 2024
Brenda Leigh FriederichMariner Advisor Network BD affiliatedAbundit Wealth state registeredAffiliated broker-dealer or bank to a state-registered adviserApr 2, 2024Mar 13, 2024
Raghunandan KrishnanMariner Advisor Network BD affiliatedPotentia Wealth no RAUMAffiliated broker-dealer or bank to a newly registered adviserApr 2, 2024Apr 1, 2024
Emily Linn BrilloMariner Advisor Network BD affiliatedPotentia Wealth independent RIAAffiliated broker-dealer or bank to independent RIAApr 2, 2024May 27, 2025 (420 d)
Austin CuaMariner Advisor Network BD affiliatedPotentia Wealth independent RIAAffiliated broker-dealer or bank to independent RIAApr 2, 2024Jan 1, 2025 (274 d)
Paul Stanton VirenMariner Advisor Network BD affiliatedMerit Financial Advisors independent RIAAffiliated broker-dealer or bank to independent RIAMar 8, 2024Mar 8, 2024
Michael Philip SmalleyMariner Advisor Network BD affiliatedMerit Financial Advisors independent RIAAffiliated broker-dealer or bank to independent RIAMar 8, 2024Mar 8, 2024
Cassandra Anne FrederiksenMariner Advisor Network BD affiliatedMerit Financial Advisors independent RIAAffiliated broker-dealer or bank to independent RIAMar 8, 2024Mar 8, 2024
Thomas Russell CroxtonMariner Advisor Network BD affiliatedCompound Planning, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAJan 16, 2024Jan 26, 2024
Clarence BarneyMariner Advisor Network BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherOct 10, 2023Nov 28, 2023 (49 d)
Giulio CannatelloMariner Advisor Network BD affiliatedFidelity Personal And Workplace Advisors BD affiliatedAffiliated broker-dealer or bank to anotherAug 21, 2023Jan 22, 2021
Jessica J MeunierMariner Advisor Network BD affiliatedEdward Jones national BDAffiliated broker-dealer or bank to anotherJul 17, 2023Apr 28, 2025 (651 d)
Fadel KrishtMariner Advisor Network BD affiliatedGoldman Sachs Wealth Services, L.P. BD affiliatedAffiliated broker-dealer or bank to anotherApr 18, 2023Apr 28, 2023
Kirsten Marie GruberMariner Advisor Network independent RIAAmeriprise Financial Services, LLC national BDRIA to affiliated broker-dealer or bankMar 23, 2023May 3, 2023 (41 d)
Bradley MarshallMariner Advisor Network independent RIACadaret Grant & Co Inc BD affiliatedRIA to affiliated broker-dealer or bankJan 27, 2023Jan 24, 2023
Patrick Glenn BennettMariner Advisor Network independent RIACadaret Grant & Co Inc BD affiliatedRIA to affiliated broker-dealer or bankJan 27, 2023Jan 25, 2023
Dominick RuizMariner Advisor Network independent RIACadaret Grant & Co Inc BD affiliatedRIA to affiliated broker-dealer or bankJan 27, 2023Jan 25, 2023
Robert A ClarosMariner Advisor Network independent RIACadaret Grant & Co Inc BD affiliatedRIA to affiliated broker-dealer or bankJan 27, 2023Jan 24, 2023
John C PolovickMariner Advisor Network independent RIAKeystone Private Wealth independent RIARIA to RIANov 4, 2022Nov 2, 2022
Minh Ngoc DinhMariner Advisor Network independent RIALPL Financial LLC independent RIARIA to RIAJul 14, 2022Jul 7, 2022
Jay H KimMariner Advisor Network independent RIACambridge Investment Research Advisors, Inc. BD affiliatedRIA to affiliated broker-dealer or bankApr 11, 2022Jun 1, 2022 (51 d)
Shelly Lane DukesMariner Advisor Network independent RIARaymond James & Associates, Inc. national BDRIA to affiliated broker-dealer or bankMar 2, 2022Jan 28, 2022
Alexander AmundsonMariner Advisor Network independent RIALPL Financial LLC independent RIARIA to RIAFeb 16, 2022Jun 21, 2022 (125 d)
Alexandro DuranMariner Advisor Network independent RIAFidelity Personal And Workplace Advisors BD affiliatedRIA to affiliated broker-dealer or bankNov 30, 2021Nov 29, 2021
Jacob ToomeyMariner Advisor Network independent RIAFidelity Personal And Workplace Advisors BD affiliatedRIA to affiliated broker-dealer or bankOct 12, 2021Nov 2, 2021
Nazaree JacksonMariner Advisor Network independent RIAFinancial Advocates Investment Management independent RIARIA to RIAOct 8, 2021Oct 20, 2021
Yun-Yu SzuMariner Advisor Network independent RIACuso Financial Services, L.P. BD affiliatedRIA to affiliated broker-dealer or bankSep 8, 2021Aug 20, 2021
Christopher Bartolomeo GiordanoMariner Advisor Network independent RIAAllworth Financial, L.P. independent RIARIA to RIAJul 6, 2021Jul 2, 2021
Allegra Marie SwanMariner Advisor Network independent RIAAllworth Financial, L.P. independent RIARIA to RIAJul 6, 2021Jul 2, 2021
Andrew Arthur ZittellMariner Advisor Network independent RIAThe Wealth Consulting Group independent RIARIA to RIAFeb 22, 2021Feb 22, 2021
Scott E GroomsMariner Advisor Network independent RIACetera Advisor Networks LLC BD affiliatedRIA to affiliated broker-dealer or bankJan 4, 2021Dec 18, 2020
Eric Edward MakiMariner Advisor Network independent RIAFinancial Advocates Investment Management independent RIARIA to RIANov 3, 2020Nov 6, 2020
Tyler Edward MackesonMariner Advisor Network independent RIALPL Financial LLC independent RIARIA to RIANov 3, 2020Jan 16, 2018
Dale Quintin RiceMariner Advisor Network independent RIADale Q. Rice Investment Management no RAUMRIA to a newly registered adviserOct 2, 2020Oct 1, 2020
Nicholas Alton OstdiekMariner Advisor Network independent RIALPL Financial LLC BD affiliatedRIA to affiliated broker-dealer or bankApr 13, 2020Apr 9, 2020
Jennifer Elise DuensingMariner Advisor Network independent RIALPL Financial LLC BD affiliatedRIA to affiliated broker-dealer or bankNov 18, 2019Nov 13, 2019
Kevin Scott SanderfordMariner Advisor Network independent RIACimarron Wealth Management, Inc. no RAUMRIA to a newly registered adviserOct 18, 2019Jul 15, 2019
Betty Jo TomlinsonMariner Advisor Network independent RIACimarron Wealth Management, Inc. no RAUMRIA to a newly registered adviserOct 18, 2019Jul 11, 2019
Michael Jonathan MurphyMariner Advisor Network independent RIACimarron Wealth Management, Inc. no RAUMRIA to a newly registered adviserOct 18, 2019Jul 11, 2019
Amir A BararMariner Advisor Network independent RIARaymond James Financial Services Advisors, Inc BD affiliatedRIA to affiliated broker-dealer or bankSep 27, 2019Sep 27, 2019
Craig WeinsteinMariner Advisor Network independent RIARaymond James Financial Services Advisors, Inc BD affiliatedRIA to affiliated broker-dealer or bankSep 27, 2019Sep 27, 2019
Stephanie Xiaoqian ChangMariner Advisor Network independent RIAPillar Pacific Capital Management LLC independent RIARIA to RIAJul 2, 2019Jan 22, 2021 (570 d)
Jevon Mark WebsterMariner Advisor Network independent RIAInspire Advisors, LLC no RAUMRIA to a newly registered adviserMay 31, 2019May 15, 2019
Scott Allen Van EppsMariner Advisor Network independent RIAProcess Wealth, LLC unclassifiedOtherMay 1, 2019May 22, 2019
Ryan S ChavezMariner Advisor Network independent RIAThe Advisory Group Of San Francisco, LLC mixed wealthRIA to RIAOct 24, 2018Oct 30, 2018
Frank Andrew DeptolaMariner Advisor Network independent RIACommonwealth Financial Network national BDRIA to affiliated broker-dealer or bankJul 13, 2018Jul 13, 2018
Matthew David FoustMariner Advisor Network independent RIAColumbia Advisory Partners, LLC independent RIARIA to RIAMay 31, 2018May 30, 2018
Jeffery Jay SeitzMariner Advisor Network independent RIALPL Financial LLC independent RIARIA to RIAMay 21, 2018May 1, 2018
Jonathan TanMariner Advisor Network independent RIALPL Financial LLC BD affiliatedRIA to affiliated broker-dealer or bankMay 18, 2018Sep 2, 2021 (1203 d)
Edgardo BruzzoneMariner Advisor Network independent RIASecurian Financial Services, Inc. BD affiliatedRIA to affiliated broker-dealer or bankMay 17, 2018May 29, 2018
Eric Carl JohnsonMariner Advisor Network independent RIAMoneco Advisors independent RIARIA to RIAMar 26, 2018Mar 26, 2018
Katie Ann Kovich EdlingMariner Advisor Network independent RIACambridge Investment Research Advisors, Inc. BD affiliatedRIA to affiliated broker-dealer or bankMar 26, 2018Mar 20, 2025 (2551 d)
Charles William RoccoMariner Advisor Network independent RIAMoneco Advisors independent RIARIA to RIAMar 26, 2018Mar 26, 2018
Lilian LoMariner Advisor Network otherVivaldi Capital Management LP otherOtherOct 12, 2017Nov 6, 2017
Nasser AhmadMariner Advisor Network otherSecurities America Advisors, Inc. otherOtherMar 22, 2017Mar 22, 2017
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123 moves match.