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 |
|---|---|---|---|---|---|
| Kyle Paul Mahle | Vanguard Advisers, Inc. BD affiliated | Silver Oak Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 31, 2026 | Aug 21, 2026 |
| Kimberly Rose Blakely | Mariner BD affiliated | Robert W. Baird & Co. Incorporated mixed wealth | Affiliated broker-dealer or bank to independent RIA | Aug 31, 2026 | Sep 2, 2026 |
| Joseph David Gard | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Pnc Wealth Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 31, 2026 | Aug 26, 2026 |
| Kyle John Heuchert | Morgan Stanley wirehouse | LPL Financial LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 31, 2026 | Sep 2, 2026 |
| Willis David Gaer | Dmkc Advisory Services, LLC independent RIA | Raymond James & Associates, Inc. national BD | RIA to affiliated broker-dealer or bank | Aug 31, 2026 | Aug 31, 2026 |
| Ariana Noel Frankenstein-Archer | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Morgan Stanley wirehouse | Wirehouse to wirehouse | Aug 31, 2026 | Sep 1, 2026 |
| Brandon Blevins | Strategic Advisers LLC national BD | Pnc Wealth Management BD affiliated | Affiliated broker-dealer or bank to another | Aug 31, 2026 | Aug 28, 2026 |
| Antonio Joseph Bugli | LPL Financial LLC BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 31, 2026 | Sep 16, 2026 |
| Huseyn Maharram Balayev | Morgan Stanley wirehouse | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Wirehouse to wirehouse | Aug 31, 2026 | Sep 9, 2026 |
| Michael J Layton | Strategic Advisers LLC national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 31, 2026 | Sep 16, 2026 |
| Jaden Bryan Blansett | Pandowealth. LLC mixed wealth | Root Financial Partners independent RIA | RIA to RIA | Aug 31, 2026 | Aug 31, 2026 |
| William Charles Fox | Lombard Advisers Incorporated independent RIA | LPL Financial LLC BD affiliated | RIA to affiliated broker-dealer or bank | Aug 31, 2026 | Sep 2, 2026 |
| Alberto J Pujols | Ameriprise Financial Services, LLC national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 31, 2026 | Sep 8, 2026 |
| Domenic Bosco | Strategic Advisers LLC national BD | Planmember Securities Corporation independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 31, 2026 | Sep 16, 2026 |
| Paul Anthony Marconi | Raymond James Financial Services Advisors, Inc BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Aug 31, 2026 | Sep 4, 2026 |
| Macisaac John Oliver Armstrong | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Voya Financial Advisors, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 31, 2026 | Sep 14, 2026 |
| Nicholas Robert Tuccelli | Strategic Advisers LLC national BD | Voya Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 31, 2026 | Sep 14, 2026 |
| Owen Ross Kay | Raymond James Financial Services Advisors, Inc BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Aug 31, 2026 | Aug 31, 2026 |
| Jonpaul Wesley Ursick | LPL Financial LLC BD affiliated | Scsc Advisors, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Aug 31, 2026 | Aug 18, 2026 |
| Thomas Gibson | LPL Enterprise, LLC BD affiliated | Td Private Client Wealth LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 31, 2026 | Sep 10, 2026 |
| Patrick James Tuite | Compass Financial Advisory Services, LLC independent RIA | Ramsey Smith Investment Solutions state registered | RIA to a state-registered adviser | Aug 30, 2026 | Jul 27, 2026 |
| Amanda Marie Wray | Brightscape Investment Centers state registered | Next Up Wealth Advisors, LLC no RAUM | Other | Aug 30, 2026 | May 15, 2026 |
| Sophia Rose Gerhards | J.P. Morgan Securities LLC wirehouse | Advice And Planning Services BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 30, 2026 | Sep 18, 2026 |
| Taylor James Jay | Charles Schwab & Co., Inc. national BD | Sharkey Howes & Javer Inc independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 29, 2026 | Sep 10, 2026 |
| Ryleigh Williams | Charles Schwab & Co., Inc. national BD | Alliancebernstein L.P. other | Other | Aug 29, 2026 | Sep 9, 2026 |
| William Carroll Parente | Diversify Advisory Services, LLC BD affiliated | Diversify Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 28, 2026 | Jun 30, 2026 |
| Monica Ann Mccarthy | Seascape Capital Management,LLC independent RIA | F L Putnam Investment Management Co. independent RIA | RIA to RIA | Aug 28, 2026 | Jul 17, 2026 |
| Michael Francis Pultro | LPL Financial LLC BD affiliated | Maridea Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 28, 2026 | Aug 17, 2026 |
| Richard Jagodzinski | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Morgan Stanley wirehouse | Wirehouse to wirehouse | Aug 28, 2026 | Aug 27, 2026 |
| Kurt David Wedewer | Contego Capital Group, Inc. mixed wealth | Van Clemens Wealth Management, LLC independent RIA | RIA to RIA | Aug 28, 2026 | Aug 26, 2026 |
| William Robert Sturges | LPL Financial LLC BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 28, 2026 | Aug 12, 2026 |
| Paul Michael Schaefer | Valic Financial Advisors, Inc. BD affiliated | Empower Advisory Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 28, 2026 | Sep 9, 2026 |
| William Ellison Grayson | RBC Capital Markets, LLC national BD | Ieq Capital, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 28, 2026 | Aug 11, 2026 |
| Michael Joseph Fehrenback | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | LPL Financial LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 28, 2026 | Aug 20, 2026 |
| Lauri Ann Smith | Northwestern Mutual Investment Services,LLC no RAUM | Trajan Wealth, L.L.C. independent RIA | Other | Aug 28, 2026 | Aug 31, 2026 |
| Jack Clayton Murray | LPL Financial LLC BD affiliated | D.A. Davidson & Co. independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 28, 2026 | Aug 12, 2026 |
| Paul Andrew Squarcia | One Charles Private Wealth independent RIA | Coastal Bridge Advisors independent RIA | RIA to RIA | Aug 28, 2026 | Aug 4, 2026 |
| Erik Randall Wallin | One Charles Private Wealth independent RIA | Coastal Bridge Advisors independent RIA | RIA to RIA | Aug 28, 2026 | Jul 20, 2026 |
| Douglas Luther Vowels | Advisory Services Network independent RIA | Intentional Wealth Planning no RAUM | RIA to a newly registered adviser | Aug 28, 2026 | Aug 6, 2026 |
| Nicholas Kakas | LPL Financial LLC BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 28, 2026 | Aug 12, 2026 |
| John Phillip Passey | Good Life Advisors, LLC independent RIA | Private Advisor Group, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Aug 28, 2026 | Aug 28, 2026 |
| Robert Loporto | Commonwealth Financial Network national BD | Diversify Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 28, 2026 | Aug 28, 2026 |
| Andrew Mark Litzerman | Seascape Capital Management,LLC independent RIA | F L Putnam Investment Management Co. independent RIA | RIA to RIA | Aug 28, 2026 | Aug 12, 2026 |
| Ross Austin Morrow | Howard Financial Services, Ltd. independent RIA | Quotient Wealth Partners, LLC independent RIA | RIA to RIA | Aug 28, 2026 | Aug 11, 2026 |
| Shannon Michael Willems | Alliancebernstein L.P. other | New Edge Wealth BD affiliated | Other | Aug 28, 2026 | Aug 17, 2026 |
| Christopher Shane Danner | Good Life Advisors, LLC independent RIA | Convergence Financial independent RIA | RIA to RIA | Aug 28, 2026 | Sep 4, 2026 |
| William Joseph Aldrich | Cambridge Investment Research Advisors, Inc. BD affiliated | Aldrich Investment Management state registered | Affiliated broker-dealer or bank to a state-registered adviser | Aug 28, 2026 | Aug 31, 2026 |
| Peter J Hall | MML Investors Services, LLC BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 28, 2026 | Aug 25, 2026 |
| Laurie Barrett | Seascape Capital Management,LLC independent RIA | F L Putnam Investment Management Co. independent RIA | RIA to RIA | Aug 28, 2026 | Jul 13, 2026 |
| Neil Allen Bailey | Ameriprise Financial Services, LLC national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 28, 2026 | Aug 27, 2026 |
| Casey John Robinson | Kestra Advisory Services, LLC BD affiliated | Confluence Financial Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 28, 2026 | Aug 31, 2026 |
| David Steven Zoller | Lasalle St. Investment Advisors, L.L.C. BD affiliated | Lifeworks Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 28, 2026 | Sep 14, 2026 |
| Douglas Jones | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Morgan Stanley wirehouse | Wirehouse to wirehouse | Aug 28, 2026 | Aug 27, 2026 |
| Shane Michael Higgins | David Vaughan Investments, LLC independent RIA | Apella Wealth independent RIA | RIA to RIA | Aug 28, 2026 | Sep 4, 2026 |
| Jeffrey William Thompson | Alliancebernstein L.P. other | Sanford C. Bernstein & Co., LLC no RAUM | Other | Aug 28, 2026 | Feb 26, 2013 |
| Matthew Thomas Crawford | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | LPL Financial LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 28, 2026 | Aug 28, 2026 |
| Robert J Link | MML Investors Services, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 28, 2026 | Aug 28, 2026 |
| Christian Leigh Sullivan | Seascape Capital Management,LLC independent RIA | F L Putnam Investment Management Co. independent RIA | RIA to RIA | Aug 28, 2026 | Jul 13, 2026 |
| Tina Solorzano | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Morgan Stanley wirehouse | Wirehouse to wirehouse | Aug 28, 2026 | Aug 27, 2026 |
| Carmen Jean Richards | LPL Financial LLC BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 28, 2026 | Sep 9, 2026 |
383,209 moves match.