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
Registration changes, newest first
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.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Steve Don Loftin | Wagner Loftin Investment Services LLC independent RIA | Osaic Wealth, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Sep 2, 2026 | Jul 14, 2026 |
| Raymond Brent Cooley | Wealthplans, LLC independent RIA | Waverly Advisors, LLC independent RIA | RIA to RIA | Sep 2, 2026 | May 29, 2026 |
| Richard G Williams | Edward Jones national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 2, 2026 | Aug 31, 2026 |
| Ted Hamstra | William Blair & Company L.L.C. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 2, 2026 | Aug 19, 2026 |
| Jill Ann Guintu | Wagner Loftin Investment Services LLC independent RIA | Osaic Wealth, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Sep 2, 2026 | Jul 14, 2026 |
| David James Drzadinski | F/M Investments LLC asset manager | F L Putnam Investment Management Co. independent RIA | Other | Sep 2, 2026 | Sep 1, 2026 |
| Jason J Braun | Raymond James Financial Services Advisors, Inc BD affiliated | Wealth Enhancement Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 2, 2026 | Sep 1, 2026 |
| Shari Helaine Mason | J.P. Morgan Securities LLC wirehouse | Wells Fargo Advisors wirehouse | Wirehouse to wirehouse | Sep 2, 2026 | Sep 1, 2026 |
| Kenneth Joseph Dow | Raymond James Financial Services Advisors, Inc BD affiliated | Sage Private Wealth Group, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 2, 2026 | Sep 1, 2026 |
| Zachary Steven Newcomer | F/M Investments LLC asset manager | F L Putnam Investment Management Co. independent RIA | Other | Sep 2, 2026 | Sep 1, 2026 |
| William Michael Mcdonald | Ameriprise Financial Services, LLC national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 2, 2026 | Sep 1, 2026 |
| Robert D Selleck | Morgan Stanley wirehouse | Moors & Cabot, Inc BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 2, 2026 | Aug 31, 2026 |
| Vince Lagatta | Osaic Wealth, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 2, 2026 | Sep 2, 2026 |
| Jean Belcher Gadd | Northwestern Mutual Investment Services,LLC no RAUM | Onepoint Bfg Wealth Partners independent RIA | Other | Sep 2, 2026 | Sep 9, 2026 |
| Peter Roman | J.P. Morgan Securities LLC wirehouse | Wells Fargo Advisors wirehouse | Wirehouse to wirehouse | Sep 2, 2026 | Sep 1, 2026 |
| Anthony Joseph Truino | Stratos Wealth Partners, Ltd BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 2, 2026 | Apr 29, 2025 |
| Kimberly Michelle Anderson | Voya Financial Advisors, Inc. BD affiliated | Voya Retirement Advisors, LLC other | Other | Sep 2, 2026 | Apr 29, 2021 |
| Gerald Gilberto Guintu | Wagner Loftin Investment Services LLC independent RIA | Osaic Wealth, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Sep 2, 2026 | Jul 14, 2026 |
| Renee Penland Sorrell | Wells Fargo Advisors wirehouse | Morgan Stanley wirehouse | Wirehouse to wirehouse | Sep 2, 2026 | Sep 1, 2026 |
| Sam Te Su | Ameriprise Financial Services, LLC national BD | Aegis Capital Corp. BD affiliated | Affiliated broker-dealer or bank to another | Sep 2, 2026 | Sep 15, 2026 |
| Regina Mckelvey Spehl | Ameriprise Financial Services, LLC national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 2, 2026 | Sep 11, 2026 |
| David J Naber | Ameriprise Financial Services, LLC national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 2, 2026 | Aug 27, 2026 |
| Jarret Michael Shattuck | Hartford Funds asset manager | Virtus Investment Advisers, LLC asset manager | Other | Sep 2, 2026 | Sep 14, 2026 |
| Molly Grimm | Ameriprise Financial Services, LLC national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 2, 2026 | Aug 27, 2026 |
| Craig William Pfau | LPL Financial LLC BD affiliated | Arca Wealth, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 2, 2026 | Sep 1, 2026 |
| Brian Scott Dunckley | Plum Pointe Wealth Management independent RIA | Savvy independent RIA | RIA to RIA | Sep 2, 2026 | Jul 31, 2026 |
| Quintin J Gardner | Ameriprise Financial Services, LLC national BD | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Sep 2, 2026 | Aug 20, 2026 |
| Brian Ashley Nelson | Osaic Wealth, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 2, 2026 | Sep 2, 2026 |
| Timothy Beau Dollar | LPL Financial LLC BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Sep 2, 2026 | Aug 14, 2026 |
| Eric Lee Utesch | J.P. Morgan Securities LLC wirehouse | Cetera Investment Advisers LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 2, 2026 | Sep 1, 2026 |
| Thomas Peter Mcdonnell | Lido independent RIA | Merit Financial Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Sep 2, 2026 | Sep 3, 2026 |
| Michael Kristopher Jones | Pnc Wealth Management BD affiliated | LPL Enterprise, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 2, 2026 | Sep 14, 2026 |
| Jeffrey Chad Muri | LPL Financial LLC BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 2, 2026 | Aug 11, 2026 |
| Sheena Ann Culp | Wagner Loftin Investment Services LLC independent RIA | Osaic Wealth, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Sep 2, 2026 | Jul 14, 2026 |
| Alex Charles Meintel | Dividend Assets Capital, LLC independent RIA | Tidal Creek Capital Advisors independent RIA | RIA to RIA | Sep 2, 2026 | Sep 2, 2026 |
| Stephen Claude Carter | Osaic Wealth, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 2, 2026 | Aug 31, 2026 |
| Desi Julian Dimaio | Alliance Wealth Management Group, LLC independent RIA | Dimaio Private Wealth, LLC no RAUM | RIA to a newly registered adviser | Sep 2, 2026 | Sep 9, 2026 |
| Robert B Robinson | Tru Independence Asset Management 2, LLC independent RIA | Cosmos Wealth, LLC no RAUM | RIA to a newly registered adviser | Sep 2, 2026 | Jul 30, 2026 |
| Christine Kaydee Hoenig Garcia | Osaic Wealth, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 2, 2026 | Sep 1, 2026 |
| Daniel Mauser | Tru Independence Asset Management 2, LLC independent RIA | Cosmos Wealth, LLC no RAUM | RIA to a newly registered adviser | Sep 2, 2026 | Jul 29, 2026 |
| Kenneth R Roque | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Citizens Securities, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 2, 2026 | Sep 1, 2026 |
| Scott Maxwell Waxenbaum | Invesco Advisers, Inc. asset manager | Invesco Managed Accounts, LLC other | Other | Sep 2, 2026 | Sep 2, 2026 |
| Abigail Flores Chao | Tru Independence Asset Management 2, LLC independent RIA | Cosmos Wealth, LLC no RAUM | RIA to a newly registered adviser | Sep 2, 2026 | Aug 11, 2026 |
| Mohammed Ali Dhanji | J.P. Morgan Securities LLC wirehouse | Citigroup Global Markets Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 2, 2026 | Aug 31, 2026 |
| Grant Anthony Seybold | Osaic Wealth, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 2, 2026 | Aug 31, 2026 |
| Brian Scott Felton | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | U.S. Bancorp Advisors, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 2, 2026 | Aug 31, 2026 |
| Paulson Edum | Cetera Investment Advisers LLC BD affiliated | Td Private Client Wealth LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 2, 2026 | Sep 15, 2026 |
| Ryan Bomberry | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Wells Fargo Advisors wirehouse | Wirehouse to wirehouse | Sep 2, 2026 | Sep 1, 2026 |
| Stephen Earl Wagner | UBS Financial Services Inc. wirehouse | Mariner BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 2, 2026 | Aug 25, 2026 |
| James Cruise | J.P. Morgan Securities LLC wirehouse | Wells Fargo Advisors wirehouse | Wirehouse to wirehouse | Sep 2, 2026 | Sep 1, 2026 |
| Trent Scott Seybold | Osaic Wealth, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 2, 2026 | Aug 31, 2026 |
| Peter Alexander Kemos | LPL Financial LLC BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Sep 2, 2026 | Aug 17, 2026 |
| Anders Johnson Skagerberg | Albion Financial Group independent RIA | Origin Investment Advisory LLC independent RIA | RIA to RIA | Sep 2, 2026 | Sep 10, 2026 |
| Jing Xu | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | J.P. Morgan Securities LLC wirehouse | Wirehouse to wirehouse | Sep 2, 2026 | Sep 11, 2026 |
| Jesus Eduardo Zepeda Castro | Lido independent RIA | Savant Wealth Management independent RIA | RIA to RIA | Sep 2, 2026 | Sep 17, 2026 |
| Deyanily Maria Wyckoff | Park Avenue Securities LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 2, 2026 | Sep 15, 2026 |
| Tanner Lane Kennedy | Osaic Wealth, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 2, 2026 | Aug 31, 2026 |
| Noah Labelle | Realta Investment Advisors, Inc BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 2, 2026 | Sep 4, 2026 |
| Joshua Brooks | Osaic Wealth, Inc. BD affiliated | The Ameriflex Group BD affiliated | Affiliated broker-dealer or bank to another | Sep 2, 2026 | Aug 31, 2026 |
| Randall Sloan | Thirteen Twenty-Two Advisors independent RIA | J.P. Morgan Securities LLC wirehouse | RIA to wirehouse | Sep 2, 2026 | Aug 18, 2026 |
382,967 moves match.