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
Tony Edward DuboseLwm Advisory Services, LLC independent RIAModern Wealth Management, LLC independent RIARIA to RIAAug 31, 2026Mar 27, 2026
Cheryl Annette GreenFirst Investment Corporation otherFarther independent RIAOtherAug 31, 2026May 5, 2026
Omar GanoomCentral States Capital Markets, LLC otherSb Advisory, LLC independent RIAOtherAug 31, 2026Sep 1, 2026
Paul Leonard GoennerBfc Planning, Inc. BD affiliatedCambridge Investment Research Advisors, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherAug 31, 2026Aug 31, 2026
John Anthony RojasNewedge Advisors BD affiliatedRossby Financial, LLC independent RIAAffiliated broker-dealer or bank to independent RIAAug 31, 2026Sep 8, 2026
Gayle Elizabeth BlachuraFinancial Security Advisory Inc independent RIARaymond James Financial Services Advisors, Inc BD affiliatedRIA to affiliated broker-dealer or bankAug 31, 2026Sep 1, 2026
David Joseph BromeierHfg Advisors independent RIAWalnut Street Advisers Inc unclassifiedOtherAug 31, 2026Nov 16, 2001
Joel Angel PalatnikLwm Advisory Services, LLC independent RIALPL Financial LLC independent RIARIA to RIAAug 31, 2026Dec 22, 2017
Sharon Ann MerkleLatitude Advisors, LLC independent RIAPinnacle Wealth Strategies, LLC state registeredRIA to a state-registered adviserAug 31, 2026Aug 16, 2021
Chad MitchellEdward Jones national BDOsaic Wealth, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherAug 31, 2026Aug 28, 2026
Brenda Marie OldhamIams Wealth Management, LLC independent RIARam Legacy Wealth Management state registeredRIA to a state-registered adviserAug 31, 2026Aug 12, 2026
Kenneth Wayne GreenFirst Investment Corporation otherFarther independent RIAOtherAug 31, 2026May 7, 2026
Butch Marc SafyurtluWells Fargo Advisors wirehouseBlue Chip Financial Advisors, LLC otherOtherAug 31, 2026Aug 17, 2026
Sae Chin KimFinancial Security Advisory Inc independent RIARaymond James Financial Services Advisors, Inc BD affiliatedRIA to affiliated broker-dealer or bankAug 31, 2026Sep 1, 2026
Randall Glen WoolleyAmeriprise Financial Services, LLC national BDRaymond James Financial Services Advisors, Inc BD affiliatedAffiliated broker-dealer or bank to anotherAug 31, 2026Aug 26, 2026
Michael J WohlgemuthMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseNew Edge Wealth BD affiliatedWirehouse to affiliated broker-dealer or bankAug 31, 2026Sep 2, 2026
April Dawn Waff-ManoFinancial Security Advisory Inc independent RIARaymond James Financial Services Advisors, Inc BD affiliatedRIA to affiliated broker-dealer or bankAug 31, 2026Sep 1, 2026
Jose Rene VelezRaymond James & Associates, Inc. national BDRaymond James Financial Services Advisors, Inc BD affiliatedAffiliated broker-dealer or bank to anotherAug 31, 2026Sep 1, 2026
Thomas Vincent WinklerVirtus Investment Advisers, LLC asset managerAptus Capital Advisors, LLC independent RIAOtherAug 31, 2026Sep 16, 2026
Joanne AmorosiMML Investors Services, LLC BD affiliatedCetera Investment Advisers LLC BD affiliatedAffiliated broker-dealer or bank to anotherAug 31, 2026Aug 26, 2026
Michael James MoyRaymond James Financial Services Advisors, Inc BD affiliatedAmeriprise Financial Services, LLC national BDAffiliated broker-dealer or bank to anotherAug 31, 2026Aug 31, 2026
Derek Jefferson MoffattStrategic Financial Concepts, LLC independent RIAMoffatt Financial Strategies independent RIARIA to RIAAug 31, 2026Jul 17, 2025
Gabriela RubioThe Blackmont Group state registeredRaymond James Financial Services Advisors, Inc BD affiliatedOtherAug 31, 2026Sep 8, 2026
Johnny Arthur WilliamsAlly Invest Advisors independent RIAPresent Day Financial Planning, LLC state registeredRIA to a state-registered adviserAug 31, 2026Aug 31, 2026
Rodd Robert MillerGolden State Wealth Management, LLC independent RIAMiller Wealth Management no RAUMRIA to a newly registered adviserAug 31, 2026Aug 28, 2026
Ryan Christopher GappingerHfg Advisors independent RIAFarther independent RIARIA to RIAAug 31, 2026Apr 2, 2026
Gerald R ObandoMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseJ.P. Morgan Securities LLC wirehouseWirehouse to wirehouseAug 31, 2026Sep 17, 2026
Lesley Kay DegenhartNewedge Advisors BD affiliatedRossby Financial, LLC independent RIAAffiliated broker-dealer or bank to independent RIAAug 31, 2026Sep 8, 2026
Derrick Kyle HobbsAdvanced Wealth Management independent RIANeil Jesani Wealth Management independent RIARIA to RIAAug 31, 2026Aug 24, 2026
Hetal Lilish SakiAmc Wealth Management, LLC state registeredSaaga Wealth Planning LLC state registeredOtherAug 31, 2026Jul 24, 2026
Benjamin Martin DubinskiMML Investors Services, LLC BD affiliatedCetera Investment Advisers LLC BD affiliatedAffiliated broker-dealer or bank to anotherAug 31, 2026Aug 25, 2026
Dan Christopher McphailDmkc Advisory Services, LLC independent RIARaymond James & Associates, Inc. national BDRIA to affiliated broker-dealer or bankAug 31, 2026Aug 31, 2026
Debra Dedman ClendeninFinancial Security Advisory Inc independent RIARaymond James Financial Services Advisors, Inc BD affiliatedRIA to affiliated broker-dealer or bankAug 31, 2026Sep 1, 2026
David Andrew HarryDtm3 Corporation state registeredSimplicity Wealth mixed wealthOtherAug 31, 2026Jul 14, 2026
Trace ShapiroMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseNew Edge Wealth BD affiliatedWirehouse to affiliated broker-dealer or bankAug 31, 2026Sep 1, 2026
James R WallaceStrategic Advisers LLC national BDLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherAug 31, 2026Aug 10, 2026
David Charles HaasDmkc Advisory Services, LLC independent RIARaymond James & Associates, Inc. national BDRIA to affiliated broker-dealer or bankAug 31, 2026Aug 31, 2026
Grant Alexander KrinockMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehousePnc Wealth Management BD affiliatedWirehouse to affiliated broker-dealer or bankAug 31, 2026Aug 26, 2026
Harvis Armando AstorgaMariner BD affiliatedGuerra Wealth Advisors independent RIAAffiliated broker-dealer or bank to independent RIAAug 31, 2026Sep 17, 2026
Alexandria Nguyen-KuwamotoJ.P. Morgan Securities LLC wirehouseCresset Asset Management, LLC independent RIAWirehouse to independent RIAAug 31, 2026Sep 11, 2026
Morgan Faye BarnhillFirst Investment Corporation otherFarther independent RIAOtherAug 31, 2026May 5, 2026
Jessica Blackburn WymanFinancial Security Advisory Inc independent RIARaymond James Financial Services Advisors, Inc BD affiliatedRIA to affiliated broker-dealer or bankAug 31, 2026Sep 1, 2026
Matthew Jeffrey StehleNorthwestern Mutual Investment Services,LLC no RAUMCitizens Securities, Inc. BD affiliatedOtherAug 31, 2026Sep 9, 2026
Melissa YanoCapital Region Financial Group, LLC mixed wealthThe Ameriflex Group BD affiliatedRIA to affiliated broker-dealer or bankAug 31, 2026Jun 12, 2026
Sara HomsiEquitable Advisors, LLC national BDAdvice And Planning Services BD affiliatedAffiliated broker-dealer or bank to anotherAug 31, 2026Sep 16, 2026
Desmond Eugene BlueMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehousePower Wealth Management independent RIAWirehouse to independent RIAAug 31, 2026Aug 31, 2026
Paul Joseph YatesMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseNew Edge Wealth BD affiliatedWirehouse to affiliated broker-dealer or bankAug 31, 2026Sep 1, 2026
Alison Blackburn RodriguezFinancial Security Advisory Inc independent RIARaymond James Financial Services Advisors, Inc BD affiliatedRIA to affiliated broker-dealer or bankAug 31, 2026Sep 1, 2026
Michael Phillip HenryCetera Investment Advisers LLC BD affiliatedSavvy independent RIAAffiliated broker-dealer or bank to independent RIAAug 31, 2026Sep 1, 2026
Colin Ryan PrestesaterPark Avenue Securities LLC BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherAug 31, 2026Aug 24, 2026
Daniel Jonathan MenendezMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehousePnc Wealth Management BD affiliatedWirehouse to affiliated broker-dealer or bankAug 31, 2026Sep 16, 2026
Kayla Thiri Aung HawcoMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseLPL Financial LLC BD affiliatedWirehouse to affiliated broker-dealer or bankAug 31, 2026Sep 16, 2026
Elisa Selene GomezMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseWells Fargo Advisors wirehouseWirehouse to wirehouseAug 31, 2026Sep 15, 2026
Michael Victor LometLPL Enterprise, LLC BD affiliatedCetera Investment Advisers LLC BD affiliatedAffiliated broker-dealer or bank to anotherAug 31, 2026Aug 18, 2026
Dane Joshua JensenBeacon Pointe Advisors, LLC independent RIADrive Wealth Advisers independent RIARIA to RIAAug 31, 2026Sep 2, 2026
Scott JeppsonAmeriprise Financial Services, LLC national BDRaymond James & Associates, Inc. national BDAffiliated broker-dealer or bank to anotherAug 31, 2026Aug 31, 2026
Gabriel S BoruffIntegrity Financial Corporation independent RIASavvy independent RIARIA to RIAAug 31, 2026Sep 17, 2026
Jeffery Demarcus CheathamEdward Jones national BDAmeriprise Financial Services, LLC national BDAffiliated broker-dealer or bank to anotherAug 31, 2026Aug 28, 2026
Ryan LandmarkNorthwestern Mutual Investment Services,LLC no RAUMOsaic Wealth, Inc. BD affiliatedOtherAug 31, 2026Aug 31, 2026
Alexander Jack DerghazianEdward Jones national BDLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherAug 31, 2026Sep 2, 2026
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383,209 moves match.