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
Alex LimaMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseCharles Schwab & Co., Inc. national BDWirehouse to affiliated broker-dealer or bankAug 28, 2026Sep 16, 2026
Brian Robert PultroLPL Financial LLC BD affiliatedMaridea Wealth Management independent RIAAffiliated broker-dealer or bank to independent RIAAug 28, 2026Aug 14, 2026
Heather M AeschlimanFounders Financial Securities, LLC independent RIACreative Planning independent RIARIA to RIAAug 28, 2026Sep 16, 2026
Mark Daniel BattyAmeriprise Financial Services, LLC national BDLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherAug 28, 2026Aug 27, 2026
Ruben G TorresJ.P. Morgan Securities LLC wirehouseWells Fargo Advisors wirehouseWirehouse to wirehouseAug 28, 2026Aug 27, 2026
Matthew Dylan PriceTruist Advisory Services, Inc. BD affiliatedMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseAffiliated broker-dealer or bank to wirehouseAug 28, 2026Aug 27, 2026
Jennifer AngellPayne Capital Management, LLC independent RIARfg Advisory, LLC independent RIARIA to RIAAug 28, 2026Aug 27, 2026
Kellen Blaise BeardVirtue Capital Management, LLC independent RIAUnited Advisor Group independent RIARIA to RIAAug 28, 2026Aug 28, 2026
Andrew Ogden GileLPL Financial LLC BD affiliatedGile Agnew, LLC state registeredAffiliated broker-dealer or bank to a state-registered adviserAug 28, 2026Jan 9, 2026
Adilene CalixtroDiversify Advisory Services, LLC BD affiliatedDiversify Wealth Management, LLC independent RIAAffiliated broker-dealer or bank to independent RIAAug 28, 2026Aug 28, 2026
Alexandra PayneCreative Planning independent RIASeia BD affiliatedRIA to affiliated broker-dealer or bankAug 28, 2026Aug 31, 2026
Keith William GregorMellig Group, LLC state registeredFjell Capital independent RIAOtherAug 28, 2026Aug 25, 2026
Dalton Jacob HelveyU.S. Private Wealth, LLC independent RIA1977 Wealth, LLC no RAUMRIA to a newly registered adviserAug 28, 2026Aug 6, 2026
Jack Ryan KornutikRange Advisory, LLC independent RIAPrime Capital Financial mixed wealthRIA to RIAAug 28, 2026Sep 14, 2026
Dilan David SimonContego Capital Group, Inc. mixed wealthVan Clemens Wealth Management, LLC independent RIARIA to RIAAug 28, 2026Aug 26, 2026
Ryan A SalinasJ.P. Morgan Securities LLC wirehouseWells Fargo Advisors wirehouseWirehouse to wirehouseAug 28, 2026Aug 27, 2026
Jonathan TriebellStrategic Advisers LLC national BDEmpower Advisory Group, LLC BD affiliatedAffiliated broker-dealer or bank to anotherAug 28, 2026Sep 8, 2026
Steven Michael SnowdenU.S. Private Wealth, LLC independent RIA1977 Wealth, LLC no RAUMRIA to a newly registered adviserAug 28, 2026Aug 6, 2026
Lauren Parente StapletonDiversify Advisory Services, LLC BD affiliatedDiversify Wealth Management, LLC independent RIAAffiliated broker-dealer or bank to independent RIAAug 28, 2026May 15, 2026
Valentina Maria CanonacoCetera Investment Advisers LLC BD affiliatedForum Financial Management, LP independent RIAAffiliated broker-dealer or bank to independent RIAAug 28, 2026Aug 25, 2026
Bennett Warren CanadyRBC Capital Markets, LLC national BDIeq Capital, LLC independent RIAAffiliated broker-dealer or bank to independent RIAAug 28, 2026Aug 17, 2026
Sara Dejay WillisAlliancebernstein L.P. otherNew Edge Wealth BD affiliatedOtherAug 28, 2026Aug 17, 2026
Esteban UribeBci Securities, Inc. mixed wealthJ.P. Morgan Securities LLC wirehouseRIA to wirehouseAug 28, 2026Sep 11, 2026
Gregory McdonaldAmeriprise Financial Services, LLC national BDLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherAug 28, 2026Sep 1, 2026
Michael Taylor BrownMML Investors Services, LLC BD affiliatedAmeriprise Financial Services, LLC national BDAffiliated broker-dealer or bank to anotherAug 28, 2026Aug 27, 2026
Suzanna CoelhoUnited Planners' Financial Services Of America A Limited Partner independent RIAFocus Financial independent RIARIA to RIAAug 28, 2026Sep 4, 2026
Jack Wilson MccartyOne Charles Private Wealth independent RIACoastal Bridge Advisors independent RIARIA to RIAAug 28, 2026Aug 11, 2026
Clark Douglas BuchananMoss, Luse & Womble, LLC independent RIASuccession Financial, Inc independent RIARIA to RIAAug 28, 2026Aug 24, 2026
Michael V LewisLPL Financial LLC BD affiliatedStrategic Advisers LLC national BDAffiliated broker-dealer or bank to anotherAug 28, 2026Sep 16, 2026
Veronica Anne WalshOne Charles Private Wealth independent RIACoastal Bridge Advisors independent RIARIA to RIAAug 28, 2026Aug 11, 2026
Oscar Cole BuntingOne Charles Private Wealth independent RIACoastal Bridge Advisors independent RIARIA to RIAAug 28, 2026Aug 11, 2026
Vineet KalraGlobal View Capital Management LLC independent RIACreative Planning independent RIARIA to RIAAug 28, 2026Sep 17, 2026
Adam Michael SousaOne Charles Private Wealth independent RIACoastal Bridge Advisors independent RIARIA to RIAAug 28, 2026Aug 11, 2026
Chris KostiukMiramar Capital independent RIAWealth Enhancement Advisory Services, LLC BD affiliatedRIA to affiliated broker-dealer or bankAug 27, 2026Aug 3, 2026
Theodore Partheder ChibnallCetera Investment Advisers LLC BD affiliatedKestra Advisory Services, LLC BD affiliatedAffiliated broker-dealer or bank to anotherAug 27, 2026Aug 21, 2026
Robert KalmanMiramar Capital independent RIAWealth Enhancement Advisory Services, LLC BD affiliatedRIA to affiliated broker-dealer or bankAug 27, 2026Aug 3, 2026
Max Scott WassermanMiramar Capital independent RIAWealth Enhancement Advisory Services, LLC BD affiliatedRIA to affiliated broker-dealer or bankAug 27, 2026Aug 3, 2026
Patrick Joseph ReilleyLincoln Investment independent RIACapital Analysts otherOtherAug 27, 2026Apr 15, 2015
Patrick Joseph ReilleyCapital Analysts BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherAug 27, 2026Aug 25, 2026
Marc Richard KowalskiKowalski Financial Inc. independent RIANorthrock Partners, LLC independent RIARIA to RIAAug 27, 2026Jul 15, 2026
James Christopher ShafferAllstate Financial Advisors, LLC BD affiliatedAmeritas Advisory Services, LLC BD affiliatedAffiliated broker-dealer or bank to anotherAug 27, 2026Sep 2, 2026
Jeffrey Alan TrierPrincipal Asset Management otherIntegrity Alliance, LLC BD affiliatedOtherAug 27, 2026Sep 1, 2026
Peter LevineAmeriprise Financial Services, LLC national BDVelara Wealth Management Inc. no RAUMAffiliated broker-dealer or bank to a newly registered adviserAug 27, 2026Aug 21, 2026
Ladan BoloorianAmeriprise Financial Services, LLC national BDWells Fargo Advisors wirehouseAffiliated broker-dealer or bank to wirehouseAug 27, 2026Aug 25, 2026
Nathan Allan YorkEagle Strategies LLC BD affiliatedGenerational Financial Partners, LLC no RAUMAffiliated broker-dealer or bank to a newly registered adviserAug 27, 2026Aug 21, 2026
Martin C SacksAmeriprise Financial Services, LLC national BDLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherAug 27, 2026Aug 24, 2026
Thomas Nolan PendletonEagle Strategies LLC BD affiliatedGenerational Financial Partners, LLC no RAUMAffiliated broker-dealer or bank to a newly registered adviserAug 27, 2026Aug 21, 2026
Rachelle Lynn HassanAdvice And Planning Services BD affiliatedRaymond James & Associates, Inc. national BDAffiliated broker-dealer or bank to anotherAug 27, 2026Sep 18, 2026
Bryan Adam SchimmelEagle Strategies LLC BD affiliatedAmeriprise Financial Services, LLC national BDAffiliated broker-dealer or bank to anotherAug 27, 2026Aug 24, 2026
Mary Jo KerriganEquitable Advisors, LLC national BDLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherAug 27, 2026Sep 17, 2026
Michael LapennaWells Fargo Advisors wirehouseRBC Capital Markets, LLC national BDWirehouse to affiliated broker-dealer or bankAug 27, 2026Aug 13, 2026
Mark A BarefieldGuerra Wealth Advisors independent RIAEdward Jones national BDRIA to affiliated broker-dealer or bankAug 27, 2026Aug 28, 2026
Betty Lin WangBw Financial Planning unclassifiedInnovative Financial, LLC independent RIAOtherAug 27, 2026Jul 1, 2026
Paige Alexa OttenbriteAmeriprise Financial Services, LLC national BDRaymond James Financial Services Advisors, Inc BD affiliatedAffiliated broker-dealer or bank to anotherAug 27, 2026Aug 26, 2026
Erik JensenLogan Park Wealth Management independent RIASchwab Wealth Advisory, Inc. no RAUMOtherAug 27, 2026Sep 18, 2026
Jason ClarkCharles Schwab & Co., Inc. national BDEmpower Advisory Group, LLC BD affiliatedAffiliated broker-dealer or bank to anotherAug 27, 2026Sep 8, 2026
Jason Jose ValdezThrivent Investment Management Inc. BD affiliatedEsi Financial Advisors independent RIAAffiliated broker-dealer or bank to independent RIAAug 27, 2026Aug 27, 2026
Roberto TapiaEdward Jones national BDLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherAug 27, 2026Aug 17, 2026
Jordan Jane HallAmeriprise Financial Services, LLC national BDThrivent Investment Management Inc. BD affiliatedAffiliated broker-dealer or bank to anotherAug 27, 2026Sep 3, 2026
Jordan KuntzelmanVanguard Advisers, Inc. BD affiliatedEmpower Advisory Group, LLC BD affiliatedAffiliated broker-dealer or bank to anotherAug 27, 2026Sep 18, 2026
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383,209 moves match.