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 Northwestern Mutual Investment Services,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.

AdvisorFromToTypeLeftRegistered
Ethan Thomas FavreNorthwestern Mutual Investment Services,LLC no RAUMSimplyria Advisor Network independent RIAOtherMar 27, 2026Jun 11, 2026 (76 d)
Maureen Coogan HolsenNorthwestern Mutual Investment Services,LLC no RAUMJohnson Wealth Inc. mixed wealthOtherMar 25, 2026May 12, 2026 (48 d)
Thomas ChiswickNorthwestern Mutual Investment Services,LLC no RAUMJ.P. Morgan Securities LLC wirehouseOtherMar 20, 2026Jun 17, 2026 (89 d)
Brendan Robert McmurtrieNorthwestern Mutual Investment Services,LLC no RAUMFinancial Sense Advisors, Inc. independent RIAOtherMar 17, 2026Mar 18, 2026
Kevin Bruce JohnsonNorthwestern Mutual Investment Services,LLC no RAUMNorthwestern Mutual Wealth Management Company unclassifiedOtherMar 16, 2026Mar 23, 2006
Thomas Albert HowellNorthwestern Mutual Investment Services,LLC no RAUMComposition Wealth, LLC independent RIAOtherMar 16, 2026Mar 16, 2026
Tyler Ross HjelsethNorthwestern Mutual Investment Services,LLC no RAUMComposition Wealth, LLC independent RIAOtherMar 16, 2026Mar 16, 2026
Caleb Kenton BrownNorthwestern Mutual Investment Services,LLC no RAUMComposition Wealth, LLC independent RIAOtherMar 16, 2026Mar 16, 2026
Roberta TondoNorthwestern Mutual Investment Services,LLC no RAUMWhite Lighthouse Investment Management, Inc. independent RIAOtherMar 5, 2026Mar 19, 2026
Richard Norris PrestonNorthwestern Mutual Investment Services,LLC no RAUMNorthwestern Mutual Wealth Management Company unclassifiedOtherFeb 26, 2026Mar 9, 2006
Rachel Anne IrwinNorthwestern Mutual Investment Services,LLC no RAUMCharles Schwab & Co., Inc. national BDOtherFeb 20, 2026Apr 1, 2026 (40 d)
Mary Anne HartiganNorthwestern Mutual Investment Services,LLC no RAUMWells Fargo Advisors wirehouseOtherFeb 19, 2026Mar 5, 2026
Lars RontenNorthwestern Mutual Investment Services,LLC no RAUMPark Avenue Securities LLC BD affiliatedOtherFeb 17, 2026Mar 6, 2026
William Wyatt WeikumNorthwestern Mutual Investment Services,LLC no RAUMJ.P. Morgan Securities LLC wirehouseOtherFeb 17, 2026Mar 16, 2026
Stephen Edward MillerNorthwestern Mutual Investment Services,LLC no RAUMComposition Wealth, LLC independent RIAOtherFeb 16, 2026Feb 18, 2026
Sadie Joy BresnahanNorthwestern Mutual Investment Services,LLC no RAUMOnepoint Bfg Wealth Partners independent RIAOtherFeb 10, 2026Jan 29, 2026
Daniel GuadalupeNorthwestern Mutual Investment Services,LLC no RAUMRockefeller Capital Management BD affiliatedOtherFeb 9, 2026May 12, 2026 (92 d)
Sibghat Ullah SheikhNorthwestern Mutual Investment Services,LLC no RAUMSignaturefd, LLC independent RIAOtherFeb 5, 2026Mar 30, 2026 (53 d)
Ian David StelterNorthwestern Mutual Investment Services,LLC no RAUMOnepoint Bfg Wealth Partners independent RIAOtherFeb 4, 2026Jan 29, 2026
Brian J EderNorthwestern Mutual Investment Services,LLC no RAUMOnepoint Bfg Wealth Partners independent RIAOtherFeb 3, 2026Jan 29, 2026
Brady Andrews ArnettNorthwestern Mutual Investment Services,LLC no RAUMOnepoint Bfg Wealth Partners independent RIAOtherFeb 3, 2026Jan 29, 2026
Brett Dale CarsonNorthwestern Mutual Investment Services,LLC no RAUMBridges Investment Management Inc independent RIAOtherJan 27, 2026Feb 12, 2026
Joseph PrioreNorthwestern Mutual Investment Services,LLC no RAUMMorgan Stanley wirehouseOtherJan 23, 2026Feb 5, 2026
David LussoNorthwestern Mutual Investment Services,LLC no RAUMCreative Planning independent RIAOtherJan 20, 2026Jan 21, 2026
James M CasanovaNorthwestern Mutual Investment Services,LLC no RAUMRetirement Solutions Group independent RIAOtherJan 16, 2026Feb 19, 2026 (34 d)
Karen F RickettsNorthwestern Mutual Investment Services,LLC no RAUMYour Ia, LLC no RAUMOtherJan 15, 2026Feb 18, 2026 (34 d)
Rebekah MoreinNorthwestern Mutual Investment Services,LLC no RAUMMariner Independent independent RIAOtherJan 13, 2026Jan 13, 2026
Jonathan Joseph WilksNorthwestern Mutual Investment Services,LLC no RAUMMariner Independent independent RIAOtherJan 13, 2026Jan 13, 2026
Ethan BowlingNorthwestern Mutual Investment Services,LLC no RAUMMariner Independent independent RIAOtherJan 13, 2026Jan 14, 2026
Luke Anthony CostaNorthwestern Mutual Investment Services,LLC no RAUMMariner Independent independent RIAOtherJan 13, 2026Jan 14, 2026
Brianna Blount WilksNorthwestern Mutual Investment Services,LLC no RAUMMariner Independent independent RIAOtherJan 13, 2026Jan 13, 2026
Mackenzie Kate DelauneNorthwestern Mutual Investment Services,LLC no RAUMMariner Independent independent RIAOtherJan 13, 2026Jan 13, 2026
Yohander JimenezNorthwestern Mutual Investment Services,LLC no RAUMMora Capital Management, LLC independent RIAOtherJan 12, 2026Jan 20, 2026
Cassandra Martin ConteNorthwestern Mutual Investment Services,LLC no RAUMTaylor Financial Group, Inc. independent RIAOtherJan 9, 2026Jan 29, 2026
Hunter James PasqualiniNorthwestern Mutual Investment Services,LLC no RAUMPrivate Advisor Group, LLC BD affiliatedOtherJan 9, 2026Feb 2, 2026
Vincent GregoireNorthwestern Mutual Investment Services,LLC no RAUMJ.P. Morgan Securities LLC wirehouseOtherJan 8, 2026Feb 6, 2026
Michael ClarkNorthwestern Mutual Investment Services,LLC no RAUMCetera Investment Advisers LLC BD affiliatedOtherJan 6, 2026Feb 17, 2026 (42 d)
Jessica CrandallNorthwestern Mutual Investment Services,LLC no RAUMEmpower Advisory Group, LLC BD affiliatedOtherJan 5, 2026May 21, 2026 (136 d)
Matthew P KubicekNorthwestern Mutual Investment Services,LLC no RAUMMariner Independent independent RIAOtherJan 5, 2026Jan 8, 2026
Julianne Rose MillerNorthwestern Mutual Investment Services,LLC no RAUMAmeriprise Financial Services, LLC national BDOtherJan 5, 2026Dec 5, 2025
Michael S EllisNorthwestern Mutual Investment Services,LLC no RAUMInvestor Fan independent RIAOtherJan 2, 2026Nov 17, 2025
Jeffrey KlatzkoNorthwestern Mutual Investment Services,LLC no RAUMEsi Financial Advisors independent RIAOtherDec 31, 2025Jan 26, 2026
Sophie Shows KingNorthwestern Mutual Investment Services,LLC no RAUMMML Investors Services, LLC BD affiliatedOtherDec 31, 2025Aug 7, 2026 (219 d)
Andrew Stephen KingNorthwestern Mutual Investment Services,LLC no RAUMMML Investors Services, LLC BD affiliatedOtherDec 31, 2025Feb 20, 2026 (51 d)
Alex Gordon HillNorthwestern Mutual Investment Services,LLC no RAUMUBS Financial Services Inc. wirehouseOtherDec 31, 2025Mar 30, 2026 (89 d)
Brock Forrest LoveNorthwestern Mutual Investment Services,LLC no RAUMSouthern Capital Partners, LLC state registeredOtherDec 31, 2025Jan 26, 2026
Karen Patricia ScintoNorthwestern Mutual Investment Services,LLC no RAUMLPL Financial LLC BD affiliatedOtherDec 23, 2025Dec 2, 2025
To Trinh M QuanNorthwestern Mutual Investment Services,LLC no RAUMMML Investors Services, LLC BD affiliatedOtherDec 22, 2025Mar 3, 2026 (71 d)
Tyler CrumpNorthwestern Mutual Investment Services,LLC no RAUMAllstate Financial Advisors, LLC BD affiliatedOtherDec 21, 2025Aug 26, 2026 (248 d)
Thomas Dexter LenciNorthwestern Mutual Investment Services,LLC no RAUMLPL Financial LLC BD affiliatedOtherDec 19, 2025Dec 2, 2025
Britton Alexander HammockNorthwestern Mutual Investment Services,LLC no RAUMEsi Financial Advisors independent RIAOtherDec 18, 2025Jan 9, 2026
Eric D TollefsonNorthwestern Mutual Investment Services,LLC no RAUMSei Investments Management Corp mixed wealthOtherDec 10, 2025Mar 13, 2026 (93 d)
Jake Dean BlumNorthwestern Mutual Investment Services,LLC no RAUMMagnus Financial Group LLC independent RIAOtherDec 8, 2025Dec 11, 2025
Marcin Andrzej SzczepaniakNorthwestern Mutual Investment Services,LLC no RAUMKai Wealth LLC independent RIAOtherDec 8, 2025Feb 3, 2026 (57 d)
Malik OlatundeNorthwestern Mutual Investment Services,LLC no RAUMStrategic Advisers LLC national BDOtherDec 5, 2025Jan 5, 2026 (31 d)
Tammy TannerNorthwestern Mutual Investment Services,LLC no RAUMJ.P. Morgan Securities LLC wirehouseOtherDec 4, 2025Jan 13, 2026 (40 d)
Yvette BrownNorthwestern Mutual Investment Services,LLC no RAUMAssetmark, Inc. BD affiliatedOtherDec 1, 2025Apr 1, 2026 (121 d)
Seth Alton WheelerNorthwestern Mutual Investment Services,LLC no RAUMRockefeller Capital Management BD affiliatedOtherNov 26, 2025Nov 14, 2025
Zachary MignaccaNorthwestern Mutual Investment Services,LLC no RAUMEdward Jones national BDOtherNov 21, 2025Nov 21, 2025
Elliot Parker BorgeNorthwestern Mutual Investment Services,LLC no RAUMLifeworks Advisors, LLC independent RIAOtherNov 18, 2025Nov 24, 2025
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2,164 moves match.