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 |
|---|---|---|---|---|---|
| Johnny Lee Meador | Park Avenue Securities LLC BD affiliated | Equitable Advisors, LLC national BD | Affiliated broker-dealer or bank to another | Sep 15, 2026 | Sep 8, 2026 |
| Noah Mahlon Eberhart | LPL Financial LLC BD affiliated | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 15, 2026 | Sep 16, 2026 |
| Mark Avallone | Commonwealth Financial Network national BD | Apollon Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 14, 2026 | Sep 9, 2026 |
| Michael Vincent Addessi | Commonwealth Financial Network national BD | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 14, 2026 | Sep 1, 2026 |
| Evans Lee Taylor | Cetera Investment Advisers LLC BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Sep 14, 2026 | Sep 4, 2026 |
| John Walton Simmons | Invicta Advisors LLC independent RIA | Rothschild Wealth LLC independent RIA | RIA to RIA | Sep 14, 2026 | Aug 20, 2026 |
| Ty Schommer | Arbor Capital Management Inc independent RIA | Wealth Enhancement Advisory Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Sep 14, 2026 | Sep 1, 2026 |
| Allen Paul Gardner Brown | Northwestern Mutual Investment Services,LLC no RAUM | Northwestern Mutual Wealth Management Company unclassified | Other | Sep 14, 2026 | Nov 16, 2006 |
| Christine Jane Mclean | Commonwealth Financial Network national BD | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 14, 2026 | Sep 8, 2026 |
| Laura Noel Woods | Commonwealth Financial Network national BD | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 14, 2026 | Sep 4, 2026 |
| John David Orem | Commonwealth Financial Network national BD | Apollon Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 14, 2026 | Sep 9, 2026 |
| Janet Elizabeth Davis | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Raymond James Financial Services Advisors, Inc BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 14, 2026 | Sep 15, 2026 |
| Ingrid Miller | Ameriprise Financial Services, LLC national BD | Tbg-Bedford Group LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 14, 2026 | Sep 13, 2026 |
| Robert Paul Marchesano | Truist Advisory Services, Inc. BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Sep 14, 2026 | Sep 8, 2026 |
| Matthew Blair Kolesky | Arbor Capital Management Inc independent RIA | Wealth Enhancement Advisory Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Sep 14, 2026 | Sep 1, 2026 |
| Bobbie Dean Bascombe | LPL Financial LLC BD affiliated | Authentic Wealth Partners LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Sep 14, 2026 | Sep 1, 2026 |
| John Robert Hall | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Sep 14, 2026 | Sep 4, 2026 |
| Erguis Mertiri | Main Street Asset Management LLC state registered | Empire State Wealth Advisors Inc state registered | Other | Sep 14, 2026 | Aug 11, 2025 |
| Jennifer Lynn Goddard | Commonwealth Financial Network national BD | Diversify Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 14, 2026 | Sep 14, 2026 |
| Jarad Michael Minsky | Commonwealth Financial Network national BD | Diversify Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 14, 2026 | Sep 14, 2026 |
| Thomas M. Fox | Strategic Advisers LLC national BD | Edelman Financial Engines independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 14, 2026 | Sep 16, 2026 |
| Michele Kitta | Arbor Capital Management Inc independent RIA | Wealth Enhancement Advisory Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Sep 14, 2026 | Sep 1, 2026 |
| Michael Oconnor Addessi | Commonwealth Financial Network national BD | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 14, 2026 | Sep 1, 2026 |
| Eric Stephen Lovett | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 14, 2026 | Sep 2, 2026 |
| Jolie Mccarthy | Socha Financial Group, LLC independent RIA | Savant Wealth Management independent RIA | RIA to RIA | Sep 14, 2026 | Sep 1, 2026 |
| Robert Mark Hoyt | Mcm Wealth independent RIA | Vectis Capital no RAUM | RIA to a newly registered adviser | Sep 14, 2026 | Jun 16, 2026 |
| Schanice Lanae' Staples | Northwestern Mutual Investment Services,LLC no RAUM | Cetera Investment Advisers LLC BD affiliated | Other | Sep 14, 2026 | Sep 11, 2026 |
| Matthew John Draganchuk | Commonwealth Financial Network national BD | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 14, 2026 | Sep 4, 2026 |
| Aaron Myers Lyon | Commonwealth Financial Network national BD | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 14, 2026 | Sep 4, 2026 |
| William Arthur Stephenson | Ameriprise Financial Services, LLC national BD | Rise Private Wealth Management no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Sep 14, 2026 | Sep 10, 2026 |
| Cristina Montenegro | Edward Jones national BD | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Sep 14, 2026 | Sep 11, 2026 |
| Colin Gates | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Ameriprise Financial Services, LLC national BD | Wirehouse to affiliated broker-dealer or bank | Sep 14, 2026 | Sep 11, 2026 |
| Timothy Preston Kirkham | Cetera Investment Advisers LLC BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Sep 14, 2026 | Sep 14, 2026 |
| Amethyst Judith Roth | Cambridge Investment Research Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 14, 2026 | Sep 1, 2026 |
| Michelle Socha Vang | Socha Financial Group, LLC independent RIA | Savant Wealth Management independent RIA | RIA to RIA | Sep 14, 2026 | Sep 1, 2026 |
| Aaron Lee Marshall-Spitzbart | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Sep 14, 2026 | Sep 4, 2026 |
| Richard John Radmann | Strategic Advisers LLC national BD | Stifel, Nicolaus & Company, Incorporated national BD | Affiliated broker-dealer or bank to another | Sep 14, 2026 | Sep 8, 2026 |
| Quinton Ranzau | Strategic Advisers LLC national BD | Pnc Wealth Management BD affiliated | Affiliated broker-dealer or bank to another | Sep 14, 2026 | Aug 27, 2026 |
| Richard Nathaniel Law | Regal Investment Advisors LLC BD affiliated | Integrity Alliance, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 14, 2026 | Sep 14, 2026 |
| Bei Wan | LPL Enterprise, LLC BD affiliated | Navy Federal Investment Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 14, 2026 | Sep 11, 2026 |
| Travis Henry Roth | Cambridge Investment Research Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 14, 2026 | Sep 1, 2026 |
| Nina Doehrman | Range Advisory, LLC independent RIA | J.P. Morgan Securities LLC wirehouse | RIA to wirehouse | Sep 14, 2026 | Aug 19, 2026 |
| Amanda Rose Gordon | UBS Financial Services Inc. wirehouse | Cresset Asset Management, LLC independent RIA | Wirehouse to independent RIA | Sep 14, 2026 | Sep 8, 2026 |
| Michael Andrew Germo | Commonwealth Financial Network national BD | &Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 14, 2026 | Sep 8, 2026 |
| Isaac Joseph Bushen | Commonwealth Financial Network national BD | &Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 14, 2026 | Sep 16, 2026 |
| Donald C Kornse | Pacer Advisors, Inc. asset manager | Morgan Stanley wirehouse | Other | Sep 14, 2026 | Aug 19, 2026 |
| Ava P Doney | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Sep 14, 2026 | Sep 16, 2026 |
| Stephen Wayne Beckmann | Bankers Life Advisory Services, Inc. BD affiliated | Integrity Alliance, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 14, 2026 | Sep 15, 2026 |
| Kelly Lynn Vinopal | Commonwealth Financial Network national BD | &Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 14, 2026 | Sep 8, 2026 |
| Kristy L Jorgensen | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Uncommon Cents Investing independent RIA | Wirehouse to independent RIA | Sep 14, 2026 | Sep 11, 2026 |
| Justin Farmer | Exit Wealth Advisors independent RIA | Arkadios Wealth Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Sep 14, 2026 | Sep 2, 2026 |
| Andres Felipe Perea Galvez | Consultiva Wealth Management, Corp. other | Savile Private Wealth LLC no RAUM | Other | Sep 14, 2026 | Sep 14, 2026 |
| Min Jung Tavella | Arbor Capital Management Inc independent RIA | Wealth Enhancement Advisory Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Sep 14, 2026 | Sep 1, 2026 |
| Hugh Reilly | J.P. Morgan Securities LLC wirehouse | Morgan Stanley wirehouse | Wirehouse to wirehouse | Sep 13, 2026 | Sep 11, 2026 |
| Matthew Arnella | J.P. Morgan Securities LLC wirehouse | Morgan Stanley wirehouse | Wirehouse to wirehouse | Sep 13, 2026 | Sep 11, 2026 |
| Jason Li Howard | J.P. Morgan Securities LLC wirehouse | LPL Financial LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 13, 2026 | Sep 16, 2026 |
| Tami Lynne Aloisa | Oneseven independent RIA | Ltplanners state registered | RIA to a state-registered adviser | Sep 12, 2026 | Sep 12, 2026 |
| Jonathan Lopez | Platinum Wealth Management, Inc. unclassified | Ameriprise Financial Services, LLC national BD | Other | Sep 11, 2026 | Aug 13, 2026 |
| John Ramsdell Lucas | UBS Financial Services Inc. wirehouse | Raymond James & Associates, Inc. national BD | Wirehouse to affiliated broker-dealer or bank | Sep 11, 2026 | Sep 3, 2026 |
| Jason Martin Schlesinger | UBS Financial Services Inc. wirehouse | Raymond James & Associates, Inc. national BD | Wirehouse to affiliated broker-dealer or bank | Sep 11, 2026 | Sep 3, 2026 |
382,751 moves match.