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 Advisors Asset Management, 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
Thomas P HigginsAdvisors Asset Management, Inc. mixed wealthRBC Capital Markets, LLC national BDRIA to affiliated broker-dealer or bankAug 7, 2026Aug 6, 2026
Daric Hugh OlsonAdvisors Asset Management, Inc. mixed wealthPcm Encore, LLC independent RIARIA to RIAJul 8, 2026Sep 10, 2026 (64 d)
Hayes Patrick GriffinAdvisors Asset Management, Inc. mixed wealthCetera Investment Advisers LLC BD affiliatedRIA to affiliated broker-dealer or bankJun 29, 2026Jul 13, 2026
Terence Riordan WardAdvisors Asset Management, Inc. mixed wealthParnassus Investments, LLC asset managerOtherJun 17, 2026Jul 16, 2026
Jonah Marcus BeauduyAdvisors Asset Management, Inc. mixed wealthRaymond James & Associates, Inc. national BDRIA to affiliated broker-dealer or bankApr 13, 2026Apr 22, 2026
Tonio CrudeleAdvisors Asset Management, Inc. mixed wealthZacks Investment Management, Inc. mixed wealthRIA to RIAMar 18, 2026Mar 26, 2026
James Albert TietzeAdvisors Asset Management, Inc. mixed wealthNorthern Capital Securities Corporation state registeredRIA to a state-registered adviserMar 3, 2026Mar 16, 2026
Dennis Alan MacdonaldAdvisors Asset Management, Inc. mixed wealthAmplify Etfs asset managerOtherFeb 5, 2026Aug 10, 2026 (186 d)
Jared Ross FischerAdvisors Asset Management, Inc. mixed wealthRaymond James Financial Services Advisors, Inc BD affiliatedRIA to affiliated broker-dealer or bankFeb 5, 2026Feb 12, 2026
Thomas Leslie SherwoodAdvisors Asset Management, Inc. mixed wealthSwbc Investment Company independent RIARIA to RIAJan 8, 2026Jan 6, 2026
Philip MartiniAdvisors Asset Management, Inc. mixed wealthJ.P. Morgan Securities LLC wirehouseRIA to wirehouseDec 1, 2025Dec 17, 2025
Steven John MajorisAdvisors Asset Management, Inc. mixed wealthWells Fargo Investment Institute, Inc. independent RIARIA to RIANov 11, 2025Nov 17, 2025
Jason Benton StewartAdvisors Asset Management, Inc. mixed wealthAtalanta Sosnoff Management, LLC otherOtherOct 28, 2025Mar 24, 2026 (147 d)
Morgan Elizabeth TedescoAdvisors Asset Management, Inc. mixed wealthNuveen Asset Management, LLC mixed wealthRIA to RIAOct 9, 2025Oct 16, 2025
Charles R MillerAdvisors Asset Management, Inc. mixed wealthT. Rowe Price Associates, Inc. asset managerOtherAug 12, 2025Feb 6, 2026 (178 d)
Kenneth Troy EvansAdvisors Asset Management, Inc. mixed wealthRaymond James Investment Management asset managerOtherJul 29, 2025Sep 5, 2025 (38 d)
Michael DayAdvisors Asset Management, Inc. mixed wealthTouchstone Advisors Inc asset managerOtherJun 9, 2025Jul 2, 2025
Steven Erwin FlewellingAdvisors Asset Management, Inc. otherCumberland Advisors independent RIAOtherApr 4, 2025Sep 24, 2025 (173 d)
David T. KuziaAdvisors Asset Management, Inc. otherRaymond James Investment Management asset managerOtherApr 4, 2025Jun 6, 2025 (63 d)
Christopher Robert DewlenAdvisors Asset Management, Inc. otherSwbc Investment Company independent RIAOtherApr 4, 2025Sep 9, 2025 (158 d)
Brandon Locke DanielsAdvisors Asset Management, Inc. otherVictory Capital Management Inc. asset managerOtherApr 4, 2025Oct 2, 2025 (181 d)
Ami Vastupal ShahAdvisors Asset Management, Inc. otherSterling Capital Management LLC otherOtherMar 20, 2025May 7, 2025 (48 d)
Jose Dejesus CervantesAdvisors Asset Management, Inc. otherEasterly Investment Partners LLC otherOtherMar 20, 2025Apr 16, 2026 (392 d)
Derek William JanuarioAdvisors Asset Management, Inc. otherAmplify Etfs asset managerOtherNov 19, 2024Aug 4, 2026 (623 d)
Richard G JaegerAdvisors Asset Management, Inc. otherGuggenheim Investments asset managerOtherSep 9, 2024Nov 7, 2024 (59 d)
Robert John KruseAdvisors Asset Management, Inc. otherLPL Financial LLC BD affiliatedOtherAug 5, 2024Oct 29, 2024 (85 d)
Jason Bruce HagemannAdvisors Asset Management, Inc. otherAvantax Advisory Services BD affiliatedOtherAug 5, 2024Jul 31, 2024
Andrew James GoodenoughAdvisors Asset Management, Inc. otherThe London Company Of Virginia mixed wealthOtherMay 7, 2024Nov 20, 2024 (197 d)
Jason WillyardAdvisors Asset Management, Inc. otherJ.P. Morgan Securities LLC wirehouseOtherMar 7, 2024Mar 19, 2024
Mark Charles KettenhofenAdvisors Asset Management, Inc. otherPacer Advisors, Inc. asset managerOtherJan 16, 2024Jan 16, 2024
Kori BrooksAdvisors Asset Management, Inc. otherEnvestnet Pmc independent RIAOtherSep 27, 2023Nov 18, 2024 (418 d)
Jason Andrews RichardAdvisors Asset Management, Inc. otherEdward Jones national BDOtherAug 29, 2023Dec 19, 2023 (112 d)
Ramy I SawagedAdvisors Asset Management, Inc. otherT. Rowe Price Associates, Inc. asset managerOtherAug 29, 2023Apr 9, 2024 (224 d)
Gina RogersAdvisors Asset Management, Inc. otherThrivent Investment Management Inc. BD affiliatedOtherAug 1, 2023Dec 7, 2023 (128 d)
Jeffrey David RosenAdvisors Asset Management, Inc. otherBahl & Gaynor LLC mixed wealthOtherJul 6, 2023Feb 28, 2024 (237 d)
Joseph David BesharaAdvisors Asset Management, Inc. otherBahl & Gaynor LLC mixed wealthOtherJul 6, 2023Feb 28, 2024 (237 d)
Neal Young LeeAdvisors Asset Management, Inc. otherBahl & Gaynor LLC mixed wealthOtherJul 6, 2023Feb 29, 2024 (238 d)
Andrew John RaiaAdvisors Asset Management, Inc. otherBahl & Gaynor LLC mixed wealthOtherJul 6, 2023Feb 28, 2024 (237 d)
Ryan Patrick WelchAdvisors Asset Management, Inc. otherBahl & Gaynor LLC mixed wealthOtherJul 6, 2023Feb 28, 2024 (237 d)
Steven Angelo MazzuchelliAdvisors Asset Management, Inc. otherBahl & Gaynor LLC mixed wealthOtherJul 6, 2023Feb 28, 2024 (237 d)
Kevin Patrick BomanAdvisors Asset Management, Inc. otherBahl & Gaynor LLC mixed wealthOtherJun 30, 2023Feb 28, 2024 (243 d)
Peter Graham KnipeAdvisors Asset Management, Inc. otherBahl & Gaynor LLC mixed wealthOtherJun 30, 2023Feb 28, 2024 (243 d)
John P GalvinAdvisors Asset Management, Inc. otherBahl & Gaynor LLC mixed wealthOtherJun 30, 2023Feb 28, 2024 (243 d)
Jayme Sue FoxAdvisors Asset Management, Inc. otherBahl & Gaynor LLC mixed wealthOtherJun 30, 2023Feb 28, 2024 (243 d)
John Patrick GalvinAdvisors Asset Management, Inc. otherBahl & Gaynor LLC mixed wealthOtherJun 30, 2023Mar 1, 2024 (245 d)
Christopher VandiverAdvisors Asset Management, Inc. otherInvesco Advisers, Inc. asset managerOtherJun 30, 2023Jul 20, 2023
Bradley Robert YocumAdvisors Asset Management, Inc. otherS.B. Value Partners, L.P. otherOtherMar 8, 2023Mar 13, 2023
Gordon Westcott PriceAdvisors Asset Management, Inc. otherMML Investors Services, LLC BD affiliatedOtherFeb 8, 2023Mar 2, 2023
Jason SandlerAdvisors Asset Management, Inc. otherAmeriprise Financial Services, LLC national BDOtherJan 11, 2023Jan 13, 2023
Brian Carlyle PerkesAdvisors Asset Management, Inc. otherThornburg Investment Management Inc asset managerOtherDec 6, 2022Feb 10, 2025 (797 d)
Nicolas WerthmanAdvisors Asset Management, Inc. otherFlexible Plan Investments Ltd mixed wealthOtherSep 13, 2022Jan 19, 2023 (128 d)
Jared Ross FischerAdvisors Asset Management, Inc. otherNorthwestern Mutual Investment Services,LLC no RAUMOtherMay 31, 2022Jun 20, 2022
Sean R BurkeAdvisors Asset Management, Inc. otherAllspring Funds Management, LLC asset managerOtherApr 22, 2022Jul 20, 2022 (89 d)
Deep PatelAdvisors Asset Management, Inc. otherGenrise Wealth Advisors LLC state registeredOtherNov 4, 2021Jan 19, 2022 (76 d)
Alec Gaston SwoffordAdvisors Asset Management, Inc. otherFirst Trust Advisors LP asset managerOtherOct 12, 2021Oct 20, 2021
Chandler StaffordAdvisors Asset Management, Inc. otherAlliancebernstein L.P. otherOtherOct 1, 2021Oct 22, 2021
Carlos Jesus GonzalezAdvisors Asset Management, Inc. otherT. Rowe Price Associates, Inc. asset managerOtherAug 20, 2021Sep 29, 2021 (40 d)
William DooleyAdvisors Asset Management, Inc. otherFirst Trust Advisors LP asset managerOtherJun 17, 2021Jun 22, 2021
Brett Richard SohnsAdvisors Asset Management, Inc. otherLifegoal Investments LLC no RAUMOtherMay 7, 2021Sep 10, 2021 (126 d)
Anthony Robert SabaAdvisors Asset Management, Inc. otherFirst Trust Advisors LP asset managerOtherFeb 12, 2021Feb 9, 2021
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182 moves match.