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.

AdvisorFromToTypeLeftRegistered
Daniel MauserTru Independence Asset Management 2, LLC independent RIACosmos Wealth, LLC no RAUMRIA to a newly registered adviserSep 2, 2026Jul 29, 2026
Kenneth R RoqueMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseCitizens Securities, Inc. BD affiliatedWirehouse to affiliated broker-dealer or bankSep 2, 2026Sep 1, 2026
Scott Maxwell WaxenbaumInvesco Advisers, Inc. asset managerInvesco Managed Accounts, LLC otherOtherSep 2, 2026Sep 2, 2026
Abigail Flores ChaoTru Independence Asset Management 2, LLC independent RIACosmos Wealth, LLC no RAUMRIA to a newly registered adviserSep 2, 2026Aug 11, 2026
Mohammed Ali DhanjiJ.P. Morgan Securities LLC wirehouseCitigroup Global Markets Inc. BD affiliatedWirehouse to affiliated broker-dealer or bankSep 2, 2026Aug 31, 2026
Grant Anthony SeyboldOsaic Wealth, Inc. BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherSep 2, 2026Aug 31, 2026
Brian Scott FeltonMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseU.S. Bancorp Advisors, LLC BD affiliatedWirehouse to affiliated broker-dealer or bankSep 2, 2026Aug 31, 2026
Paulson EdumCetera Investment Advisers LLC BD affiliatedTd Private Client Wealth LLC BD affiliatedAffiliated broker-dealer or bank to anotherSep 2, 2026Sep 15, 2026
Ryan BomberryMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseWells Fargo Advisors wirehouseWirehouse to wirehouseSep 2, 2026Sep 1, 2026
Stephen Earl WagnerUBS Financial Services Inc. wirehouseMariner BD affiliatedWirehouse to affiliated broker-dealer or bankSep 2, 2026Aug 25, 2026
James CruiseJ.P. Morgan Securities LLC wirehouseWells Fargo Advisors wirehouseWirehouse to wirehouseSep 2, 2026Sep 1, 2026
Trent Scott SeyboldOsaic Wealth, Inc. BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherSep 2, 2026Aug 31, 2026
Peter Alexander KemosLPL Financial LLC BD affiliatedRaymond James Financial Services Advisors, Inc BD affiliatedAffiliated broker-dealer or bank to anotherSep 2, 2026Aug 17, 2026
Anders Johnson SkagerbergAlbion Financial Group independent RIAOrigin Investment Advisory LLC independent RIARIA to RIASep 2, 2026Sep 10, 2026
Jing XuMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseJ.P. Morgan Securities LLC wirehouseWirehouse to wirehouseSep 2, 2026Sep 11, 2026
Jesus Eduardo Zepeda CastroLido independent RIASavant Wealth Management independent RIARIA to RIASep 2, 2026Sep 17, 2026
Deyanily Maria WyckoffPark Avenue Securities LLC BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherSep 2, 2026Sep 15, 2026
Tanner Lane KennedyOsaic Wealth, Inc. BD affiliatedCetera Investment Advisers LLC BD affiliatedAffiliated broker-dealer or bank to anotherSep 2, 2026Aug 31, 2026
Noah LabelleRealta Investment Advisors, Inc BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherSep 2, 2026Sep 4, 2026
Joshua BrooksOsaic Wealth, Inc. BD affiliatedThe Ameriflex Group BD affiliatedAffiliated broker-dealer or bank to anotherSep 2, 2026Aug 31, 2026
Randall SloanThirteen Twenty-Two Advisors independent RIAJ.P. Morgan Securities LLC wirehouseRIA to wirehouseSep 2, 2026Aug 18, 2026
Sean KilmurrayAmeriprise Financial Services, LLC national BDUBS Financial Services Inc. wirehouseAffiliated broker-dealer or bank to wirehouseSep 2, 2026Aug 31, 2026
Bruno Faria AmorosoSchwab Wealth Advisory, Inc. no RAUMCharles Schwab & Co., Inc. national BDOtherSep 2, 2026Sep 3, 2026
Matthew Jacob DavisPrimerica Advisors national BDAmb Wealth, LLC independent RIAAffiliated broker-dealer or bank to independent RIASep 2, 2026Sep 1, 2026
Zachary Fraser VolinskyLPL Financial LLC BD affiliatedFocus Partners Wealth, LLC independent RIAAffiliated broker-dealer or bank to independent RIASep 2, 2026Sep 1, 2026
Jake Anthony KeysAppalaches Capital, LLC unclassifiedE. S. Barr & Company independent RIAOtherSep 2, 2026Sep 8, 2026
Nathaniel Christian WilliamsFisher Investments independent RIAD.A. Davidson & Co. independent RIARIA to RIASep 2, 2026Sep 14, 2026
Cade Frederick NelsonRBC Capital Markets, LLC national BDLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherSep 2, 2026Aug 18, 2026
Kamal KabraRetirement Planning Solutions, LLC independent RIAPrivate Advisor Group, LLC BD affiliatedRIA to affiliated broker-dealer or bankSep 2, 2026Sep 2, 2026
Nathaniel Scott FarneyOsaic Wealth, Inc. BD affiliatedThe Ameriflex Group BD affiliatedAffiliated broker-dealer or bank to anotherSep 2, 2026Aug 31, 2026
Tristan Allen BishopLido independent RIAGrimes & Company independent RIARIA to RIASep 2, 2026Sep 3, 2026
Jesse Cyrus AlfanostjohnEquitable Advisors, LLC national BDJ.P. Morgan Securities LLC wirehouseAffiliated broker-dealer or bank to wirehouseSep 2, 2026Sep 16, 2026
Marjan SoleimaniehGosho Financial Group state registeredMarin Wealth Advisors LLC independent RIAOtherSep 2, 2026Jan 8, 2026
Joseph Charles JansmaEquitable Advisors, LLC national BDMorgan Stanley wirehouseAffiliated broker-dealer or bank to wirehouseSep 2, 2026Sep 11, 2026
Andrew ChristensenLido independent RIAStifel, Nicolaus & Company, Incorporated national BDRIA to affiliated broker-dealer or bankSep 2, 2026Sep 11, 2026
Hannah Gracie HuntLPL Financial LLC BD affiliatedAmeriprise Financial Services, LLC national BDAffiliated broker-dealer or bank to anotherSep 2, 2026Aug 14, 2026
Kyra L HershkowitzEquitable Advisors, LLC national BDSecondmarket Financial, LLC asset managerOtherSep 2, 2026Sep 11, 2026
Jeffrey DingleLido independent RIABrooklyn Fi, LLC independent RIARIA to RIASep 2, 2026Sep 4, 2026
John Brian FranklinPrincipal Securities, Inc. BD affiliatedIndependent Financial Group, LLC BD affiliatedAffiliated broker-dealer or bank to anotherSep 1, 2026Sep 4, 2026
Ronald Glen HargisRaymond James Financial Services Advisors, Inc BD affiliatedAmeriprise Financial Services, LLC national BDAffiliated broker-dealer or bank to anotherSep 1, 2026Aug 31, 2026
Lawrence Todd JacksonRaymond James Financial Services Advisors, Inc BD affiliatedWealth Enhancement Advisory Services, LLC BD affiliatedAffiliated broker-dealer or bank to anotherSep 1, 2026Sep 1, 2026
James Mark TripponTrippon Wealth Management Group LLC independent RIAWealth Enhancement Advisory Services, LLC BD affiliatedRIA to affiliated broker-dealer or bankSep 1, 2026Jul 16, 2026
Christine Craig HeckmanAegis Wealth Management, LLC independent RIADelta Capital Management, LLC independent RIARIA to RIASep 1, 2026Dec 23, 2019
Kevin Patrick NixStratos Wealth Partners, Ltd BD affiliatedStratos Wealth Advisors LLC independent RIAAffiliated broker-dealer or bank to independent RIASep 1, 2026Sep 9, 2026
Andrew ChattosOsaic Wealth, Inc. BD affiliatedPnc Wealth Management BD affiliatedAffiliated broker-dealer or bank to anotherSep 1, 2026Sep 3, 2026
Michael Richard LaceyNicolet Wealth Management independent RIALPL Financial LLC BD affiliatedRIA to affiliated broker-dealer or bankSep 1, 2026Sep 18, 2026
Rowland PepitoAmerican Century Investments Private Client Group, Inc. BD affiliatedWealth Enhancement Advisory Services, LLC BD affiliatedAffiliated broker-dealer or bank to anotherSep 1, 2026Aug 19, 2026
Ernest Lee SmithNewsong Capital Management, Inc. independent RIACbiz Investment Advisory Services, LLC institutionalOtherSep 1, 2026Jun 16, 2026
Stacey Lynn TuckerProspera Financial Services, Inc. BD affiliatedOnedigital institutionalOtherSep 1, 2026Sep 1, 2026
Keith Kavell CarterRaymond James Financial Services Advisors, Inc BD affiliatedAmeriprise Financial Services, LLC national BDAffiliated broker-dealer or bank to anotherSep 1, 2026Aug 31, 2026
Jason NusseBlackrock Financial Management, Inc otherT. Rowe Price Associates, Inc. asset managerOtherSep 1, 2026Sep 10, 2026
Ryan Patrick CollinSynovus Securities, Inc. BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherSep 1, 2026Aug 31, 2026
Narcisse DargensonStrategic Advisers LLC national BDFacet independent RIAAffiliated broker-dealer or bank to independent RIASep 1, 2026Aug 20, 2026
Amy Elizabeth HarperRaymond James Financial Services Advisors, Inc BD affiliatedAmeriprise Financial Services, LLC national BDAffiliated broker-dealer or bank to anotherSep 1, 2026Aug 31, 2026
Dustin Tye HellamsRaymond James Financial Services Advisors, Inc BD affiliatedAmeriprise Financial Services, LLC national BDAffiliated broker-dealer or bank to anotherSep 1, 2026Aug 31, 2026
Michael Charles CummingsLPL Financial LLC BD affiliatedRaymond James Financial Services Advisors, Inc BD affiliatedAffiliated broker-dealer or bank to anotherSep 1, 2026Aug 18, 2026
Travis MayWells Fargo Advisors wirehouseKey Investment Services LLC BD affiliatedWirehouse to affiliated broker-dealer or bankSep 1, 2026Sep 10, 2026
Kristy Lee LeavittJ.P. Morgan Securities LLC wirehouseUBS Financial Services Inc. wirehouseWirehouse to wirehouseSep 1, 2026Aug 31, 2026
Kimberly Ann WatkinsonWells Fargo Advisors wirehouseRBC Capital Markets, LLC national BDWirehouse to affiliated broker-dealer or bankSep 1, 2026Aug 20, 2026
Benjamin Bing YinEagle Strategies LLC BD affiliatedGenerational Financial Partners, LLC no RAUMAffiliated broker-dealer or bank to a newly registered adviserSep 1, 2026Aug 24, 2026
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383,209 moves match.