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 Xml Financial Group

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
Nicole A TreiberXml Financial Group independent RIAOsaic Wealth, Inc. BD affiliatedRIA to affiliated broker-dealer or bankAug 20, 2026Sep 3, 2026
David Andrew ClarkXml Financial Group independent RIALPL Financial LLC BD affiliatedRIA to affiliated broker-dealer or bankOct 2, 2025Oct 1, 2025
Andrew Victor VillafrancaXml Financial Group independent RIALPL Financial LLC BD affiliatedRIA to affiliated broker-dealer or bankFeb 16, 2024Feb 16, 2024
Edward Ronald LaraXml Financial Group independent RIAStratos Wealth Advisors LLC independent RIARIA to RIAJul 1, 2020Dec 3, 2021 (520 d)
Paul Wayne CorleyXml Financial Group independent RIACorley Capital LLC state registeredRIA to a state-registered adviserFeb 19, 2020Mar 3, 2020
Natalie J GosselinXml Financial Group independent RIASpire Wealth Management, LLC BD affiliatedRIA to affiliated broker-dealer or bankSep 27, 2019Mar 10, 2020 (165 d)
Carter ShafferXml Financial Group independent RIAMonocacy Wealth Management, LLC no RAUMRIA to a newly registered adviserAug 26, 2019Aug 16, 2021 (721 d)
Richard James GowXml Financial Group independent RIAFiscal Wisdom Wealth Management LLC independent RIARIA to RIAMay 17, 2019Jun 3, 2019
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8 moves match.