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
James Jose JazoEagle Strategies LLC BD affiliatedOsaic Institutions, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherAug 27, 2026Sep 9, 2026
Brent Alan BenedictAmeriprise Financial Services, LLC national BDThrivent Investment Management Inc. BD affiliatedAffiliated broker-dealer or bank to anotherAug 27, 2026Sep 11, 2026
Emily Joyce MarrPrincipal Asset Management otherPrincipal Securities, Inc. BD affiliatedOtherAug 27, 2026Aug 27, 2026
Jackson HulganFlorida Financial Advisors, LLC BD affiliatedAdvisory Services Network independent RIAAffiliated broker-dealer or bank to independent RIAAug 27, 2026Aug 26, 2026
Kyle LechtenbergFbl Wealth Management, LLC BD affiliatedAmeriprise Financial Services, LLC national BDAffiliated broker-dealer or bank to anotherAug 27, 2026Aug 14, 2026
Ryan David CassCapital Analysts BD affiliatedBeacon Financial Advisory LLC independent RIAAffiliated broker-dealer or bank to independent RIAAug 27, 2026Sep 18, 2023
Zach LucasMorgan Stanley wirehouseCitigroup Global Markets Inc. BD affiliatedWirehouse to affiliated broker-dealer or bankAug 27, 2026Sep 14, 2026
Emmanuel Abednego RiversFlorida Financial Advisors, LLC BD affiliatedAdvisory Services Network independent RIAAffiliated broker-dealer or bank to independent RIAAug 27, 2026Aug 18, 2026
Kenneth Eric ThomasSuccess Wealth Management LLC independent RIACoast Wealth Management Group, LLC state registeredRIA to a state-registered adviserAug 27, 2026Aug 28, 2026
Alexa TuersShelton Capital Management mixed wealthMorgan Stanley wirehouseRIA to wirehouseAug 27, 2026Sep 8, 2026
Justin Taylor DamonNorthland Asset Management independent RIAKerberrose Wealth Management, LLC independent RIARIA to RIAAug 27, 2026Aug 27, 2026
Jonathan David CohenMML Investors Services, LLC BD affiliatedMercer Global Advisors Inc. independent RIAAffiliated broker-dealer or bank to independent RIAAug 27, 2026Sep 16, 2026
Amit BiswasCornerstone Planning Group independent RIAJ.P. Morgan Securities LLC wirehouseRIA to wirehouseAug 27, 2026Sep 3, 2026
Alfred Michael AbbamontePark Avenue Securities LLC BD affiliatedLPL Enterprise, LLC BD affiliatedAffiliated broker-dealer or bank to anotherAug 27, 2026Aug 28, 2026
Jordan Marc HirschMML Investors Services, LLC BD affiliatedOsaic Wealth, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherAug 27, 2026Aug 27, 2026
Ethan Todd InfrancoUBS Financial Services Inc. wirehouseJ.P. Morgan Securities LLC wirehouseWirehouse to wirehouseAug 27, 2026Sep 17, 2026
Max Quincy AdamsGds Wealth Management independent RIAFisher Investments independent RIARIA to RIAAug 27, 2026Sep 16, 2026
Mitchell Todd LepageT. Rowe Price Associates, Inc. asset managerCreative Planning independent RIAOtherAug 27, 2026Sep 3, 2026
Jason SiebertAdvisor Share Wealth Management, LLC independent RIASimplicity Wealth mixed wealthRIA to RIAAug 27, 2026Sep 14, 2026
Daniel Nichols HendersonEquitable Advisors, LLC national BDJ.P. Morgan Securities LLC wirehouseAffiliated broker-dealer or bank to wirehouseAug 27, 2026Sep 11, 2026
Joseph Ralph LicateUBS Financial Services Inc. wirehouseRaymond James & Associates, Inc. national BDWirehouse to affiliated broker-dealer or bankAug 27, 2026Aug 19, 2026
John Thomas EganUBS Financial Services Inc. wirehouseRaymond James & Associates, Inc. national BDWirehouse to affiliated broker-dealer or bankAug 27, 2026Aug 19, 2026
Peter Eliot RobbinsH.M. Payson independent RIACorient independent RIARIA to RIAAug 26, 2026Aug 27, 2026
Timothy David O'ConnellMML Investors Services, LLC BD affiliatedCetera Investment Advisers LLC BD affiliatedAffiliated broker-dealer or bank to anotherAug 26, 2026Aug 25, 2026
Paul Bennett PlesserInnovative Family Office LLC independent RIAInnovative Private Wealth Management Inc. mixed wealthRIA to RIAAug 26, 2026Jul 16, 2026
Karen Lee ZarambaCharter Oak Capital Management independent RIAMercer Global Advisors Inc. independent RIARIA to RIAAug 26, 2026Apr 23, 2026
Jeffrey Scott TroianoCharter Oak Capital Management independent RIAMercer Global Advisors Inc. independent RIARIA to RIAAug 26, 2026Apr 20, 2026
Mark Townsend DuvallOpes Wealth Management, LLC independent RIAEp Wealth Advisors independent RIARIA to RIAAug 26, 2026Jun 26, 2026
James Daniel McdermottOsaic Wealth, Inc. BD affiliatedWedbush Securities Inc. BD affiliatedAffiliated broker-dealer or bank to anotherAug 26, 2026Sep 14, 2026
David Scott BoersigAmeriprise Financial Services, LLC national BDLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherAug 26, 2026Aug 21, 2026
Lance Avery DunnRaymond James Financial Services Advisors, Inc BD affiliatedWells Fargo Advisors wirehouseAffiliated broker-dealer or bank to wirehouseAug 26, 2026Aug 21, 2026
Lincoln Adrian DacostaInnovative Family Office LLC independent RIAInnovative Private Wealth Management Inc. mixed wealthRIA to RIAAug 26, 2026Jul 16, 2026
Sean Michael PahutLPL Financial LLC BD affiliatedRaymond James Financial Services Advisors, Inc BD affiliatedAffiliated broker-dealer or bank to anotherAug 26, 2026Aug 20, 2026
Brian T AbrahamMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseRaymond James & Associates, Inc. national BDWirehouse to affiliated broker-dealer or bankAug 26, 2026Aug 24, 2026
Christian Joseph FainoLPL Enterprise, LLC BD affiliatedPrincipal Securities, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherAug 26, 2026Aug 18, 2026
Michael Anthony O'MalleyOsaic Wealth, Inc. BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherAug 26, 2026Aug 24, 2026
Todd Michael CescaCharter Oak Capital Management independent RIAMercer Global Advisors Inc. independent RIARIA to RIAAug 26, 2026Apr 17, 2026
James Allen BossieuxCharter Oak Capital Management independent RIAMercer Global Advisors Inc. independent RIARIA to RIAAug 26, 2026Apr 9, 2026
Daniel James HockingRBC Capital Markets, LLC national BDLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherAug 26, 2026Aug 18, 2026
Jeffrey Paul NizzardoWells Fargo Advisors wirehouseAdvisors Asset Management, Inc. mixed wealthWirehouse to independent RIAAug 26, 2026Sep 16, 2026
Gerald DiduckWealth Enhancement Advisory Services, LLC BD affiliatedFqi Capital Management LLC state registeredAffiliated broker-dealer or bank to a state-registered adviserAug 26, 2026Aug 28, 2026
Katy Morrison CarrCharter Oak Capital Management independent RIAMercer Global Advisors Inc. independent RIARIA to RIAAug 26, 2026Apr 10, 2026
Jesus Manuel BeltranLPL Financial LLC BD affiliatedCetera Investment Advisers LLC BD affiliatedAffiliated broker-dealer or bank to anotherAug 26, 2026Aug 19, 2026
David Reed HinesH.M. Payson independent RIACorient independent RIARIA to RIAAug 26, 2026Aug 21, 2026
Natalie Anne GrossWells Fargo Advisors wirehouseCapitol Securities Management, Inc. independent RIAWirehouse to independent RIAAug 26, 2026Sep 2, 2026
Cory Paul SlovikInnovative Family Office LLC independent RIAInnovative Private Wealth Management Inc. mixed wealthRIA to RIAAug 26, 2026Jul 27, 2026
Natasha Nasha AllenLPL Financial LLC BD affiliatedCwm, LLC BD affiliatedAffiliated broker-dealer or bank to anotherAug 26, 2026Sep 16, 2026
Bradley Russell SaurbaughChicago Investment Advisory Council, Inc. independent RIAHarbour Investments, Inc. independent RIARIA to RIAAug 26, 2026Aug 17, 2026
Samuel Richardson ReidCharter Oak Capital Management independent RIAMercer Global Advisors Inc. independent RIARIA to RIAAug 26, 2026Apr 15, 2026
Boman Wayne RichardsonCredit Union Investment Services state registeredWells Fargo Advisors wirehouseOtherAug 26, 2026Sep 8, 2026
Nathan Craig SchipperThrivent Investment Management Inc. BD affiliatedRBC Capital Markets, LLC national BDAffiliated broker-dealer or bank to anotherAug 26, 2026Aug 21, 2026
J Tyler EverhartLPL Enterprise, LLC BD affiliatedVector Financial Solutions, Inc. state registeredAffiliated broker-dealer or bank to a state-registered adviserAug 26, 2026Aug 28, 2026
Lena WyandCharter Oak Capital Management independent RIAMercer Global Advisors Inc. independent RIARIA to RIAAug 26, 2026Apr 10, 2026
Lindy ChanCentric Advisors, LLC independent RIAVibrance Wealth Management LLC state registeredRIA to a state-registered adviserAug 26, 2026Sep 3, 2026
Stephen Andrew BraatzRBC Capital Markets, LLC national BDLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherAug 26, 2026Aug 18, 2026
Jessica Lynn KregerCharter Oak Capital Management independent RIAMercer Global Advisors Inc. independent RIARIA to RIAAug 26, 2026Apr 9, 2026
Sunil Kumar HandaInnovative Family Office LLC independent RIAInnovative Private Wealth Management Inc. independent RIARIA to RIAAug 26, 2026Jun 25, 2025
Steven Andrew TomisekKirk Capital Advisors LLC independent RIAEvermay Wealth Management, LLC independent RIARIA to RIAAug 26, 2026Sep 14, 2026
Sarah Serling ClappCharter Oak Capital Management independent RIAMercer Global Advisors Inc. independent RIARIA to RIAAug 26, 2026Apr 14, 2026
Darnell S. HegartyLPL Enterprise, LLC BD affiliatedPrincipal Securities, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherAug 26, 2026Aug 18, 2026
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383,209 moves match.