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 Facet

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
Clay Daniel WatkinsFacet independent RIAAe Wealth Management, LLC BD affiliatedRIA to affiliated broker-dealer or bankNov 5, 2021May 12, 2022 (188 d)
Mary H GoeselFacet independent RIASchwab Wealth Advisory, Inc. no RAUMOtherAug 6, 2021Jun 18, 2025 (1412 d)
Jessica Lee GoedtelFacet independent RIAPavilion Financial Planning state registeredRIA to a state-registered adviserAug 6, 2021Jul 27, 2021
Natalie PisaroFacet independent RIACharles Schwab & Co., Inc. national BDRIA to affiliated broker-dealer or bankJul 26, 2021Jul 29, 2021
Kyle Andrew MooreFacet independent RIACru Wealth Management state registeredRIA to a state-registered adviserJul 22, 2021Aug 9, 2021
Kevin SmithFacet independent RIAVanguard Advisers, Inc. BD affiliatedRIA to affiliated broker-dealer or bankJun 17, 2021Jul 1, 2021
Jason PanFacet independent RIAThe Mather Group, LLC independent RIARIA to RIAJun 8, 2021Jun 10, 2021
Jordan L CrabbFacet independent RIAColumn Capital Advisors, LLC independent RIARIA to RIAJun 8, 2021Jun 15, 2021
Jessica AbramsFacet independent RIACommonwealth Financial Network national BDRIA to affiliated broker-dealer or bankMay 28, 2021Jan 13, 2025 (1326 d)
Andrew James ThurlowFacet independent RIAU.S. Bancorp Investments, Inc. BD affiliatedRIA to affiliated broker-dealer or bankMay 25, 2021Apr 19, 2022 (329 d)
Thomas Francis GintyFacet independent RIAWedmont Private Capital independent RIARIA to RIAMay 25, 2021May 12, 2021
Corey Jay GallahanFacet independent RIAMorgan Stanley wirehouseRIA to wirehouseMay 25, 2021Jul 1, 2021 (37 d)
Ellery SegebartFacet independent RIASchwab Wealth Advisory, Inc. no RAUMOtherFeb 24, 2021Mar 16, 2021
Todd Lee LatochaFacet independent RIAPersonal Capital Advisors Corporation independent RIARIA to RIAFeb 24, 2021Jan 8, 2021
John P ScolloFacet independent RIATd Ameritrade, Inc. no RAUMOtherFeb 23, 2021Feb 24, 2021
William F GallagherFacet independent RIAZynergy Retirement Planning independent RIARIA to RIAFeb 22, 2021May 12, 2021 (79 d)
Hali Browne LondonFacet independent RIAMotley Fool Wealth Management, LLC independent RIARIA to RIANov 17, 2020Dec 24, 2020 (37 d)
Todd NorrisFacet independent RIAGlass Jacobson Wealth Advisors independent RIARIA to RIANov 4, 2020Nov 20, 2020
Justin RiveraFacet independent RIAMotley Fool Wealth Management, LLC independent RIARIA to RIAOct 19, 2020Mar 29, 2021 (161 d)
Kelly Oliver JohnsonFacet independent RIASchwab Wealth Advisory, Inc. no RAUMOtherJun 22, 2020Mar 31, 2022 (647 d)
Mark A CecchiniFacet independent RIACatalyst Wealth Advisors LLC independent RIARIA to RIAJun 16, 2020Jun 29, 2020
Lisanne Penell BeardFacet independent RIASchwab Wealth Advisory, Inc. no RAUMOtherMay 1, 2020Jun 5, 2020 (35 d)
Dianna Lynn GalloFacet independent RIAE*Trade Capital Management, LLC independent RIARIA to RIAApr 28, 2020May 1, 2020
Tyler Hayden CraigFacet independent RIAJ.P. Morgan Securities LLC wirehouseRIA to wirehouseMar 27, 2020Mar 3, 2021 (341 d)
John Douglas HillFacet independent RIAEmpower Advisory Group, LLC BD affiliatedRIA to affiliated broker-dealer or bankMar 27, 2020May 3, 2022 (767 d)
Rebecca IacopelliFacet independent RIAWescott Financial Advisory Group LLC independent RIARIA to RIAJan 16, 2020May 20, 2021 (490 d)
Kimberly Ann FlynnFacet independent RIAPruco Securities, LLC BD affiliatedRIA to affiliated broker-dealer or bankNov 18, 2019Sep 9, 2020 (296 d)
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147 moves match.