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 |
|---|---|---|---|---|---|
| Benjamin Mitchell Brown | Charles Schwab & Co., Inc. national BD | Calton & Associates, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 3, 2026 | Aug 25, 2026 |
| Brandon Bergert | Key Investment Services LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 3, 2026 | Aug 27, 2026 |
| Dongfang Pei | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Td Private Client Wealth LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 3, 2026 | Sep 8, 2026 |
| Marco-Antonio Altamirano | Equitable Advisors, LLC national BD | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 3, 2026 | Sep 18, 2026 |
| Scott Daniel Graziano | J. W. Cole Advisors, Inc. BD affiliated | Chicago Investment Advisory Council, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 3, 2026 | Aug 28, 2026 |
| Kevin Mark Wheeler | Fifth Third Securities, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 3, 2026 | Sep 2, 2026 |
| Madison Lee | Stratos Wealth Partners, Ltd BD affiliated | Twenty Four Wealth no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Sep 3, 2026 | Aug 31, 2026 |
| Josiah Nicely | Edward Jones national BD | Pnc Wealth Management BD affiliated | Affiliated broker-dealer or bank to another | Sep 3, 2026 | Sep 10, 2026 |
| Thomas Walter Delaney | Lee Danner & Bass Inc independent RIA | Valtrion Capital Management, LLC independent RIA | RIA to RIA | Sep 3, 2026 | Sep 15, 2026 |
| Colin Hopkins | Florida Financial Advisors, LLC BD affiliated | LPL Enterprise, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 3, 2026 | Sep 9, 2026 |
| Ronald Andrew Murad | Wells Fargo Advisors wirehouse | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Wirehouse to wirehouse | Sep 2, 2026 | Aug 20, 2026 |
| Jeffrey Blake Dickerson | 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 |
| Jon Randall Garberg | Stifel, Nicolaus & Company, Incorporated national BD | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Sep 2, 2026 | Aug 26, 2026 |
| Jeanine Marie Gaston | Stifel, Nicolaus & Company, Incorporated national BD | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Sep 2, 2026 | Aug 25, 2026 |
| Richard Aaron Burling | F/M Investments LLC asset manager | F L Putnam Investment Management Co. independent RIA | Other | Sep 2, 2026 | Sep 1, 2026 |
| Ronald Joseph Wagner | 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 |
| Rebecca Marie Hellman | Stifel, Nicolaus & Company, Incorporated national BD | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Sep 2, 2026 | Aug 25, 2026 |
| Joel Dennis Vrabel | F/M Investments LLC asset manager | F L Putnam Investment Management Co. independent RIA | Other | Sep 2, 2026 | Sep 1, 2026 |
| Mark Christopher 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 |
| 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 |
| Michael Scott Lynch | Farther independent RIA | Lynch Financial Advisors independent RIA | RIA to RIA | Sep 2, 2026 | Sep 18, 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 |
| Neville Eric Melvin | Truist Advisory Services, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 2, 2026 | Sep 18, 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 |
383,209 moves match.