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

Arrivals at Arete Wealth Advisors, LLC

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
David Lee RobertsCenter Street Advisors, Inc. independent RIAArete Wealth Advisors, LLC BD affiliatedRIA to affiliated broker-dealer or bankJun 13, 2023Apr 20, 2023
Christian Alexander BullaCenter Street Advisors, Inc. independent RIAArete Wealth Advisors, LLC BD affiliatedRIA to affiliated broker-dealer or bankJun 13, 2023Jan 24, 2022
Cameron Peter NatourCenter Street Advisors, Inc. independent RIAArete Wealth Advisors, LLC BD affiliatedRIA to affiliated broker-dealer or bankJun 13, 2023Jan 16, 2025 (583 d)
Richard Andrew BorbaCenter Street Advisors, Inc. independent RIAArete Wealth Advisors, LLC BD affiliatedRIA to affiliated broker-dealer or bankJun 13, 2023Mar 31, 2023
Kristen Kay CrouthamelCambridge Investment Research Advisors, Inc. BD affiliatedArete Wealth Advisors, LLC BD affiliatedAffiliated broker-dealer or bank to anotherMay 26, 2023Jun 2, 2023
Steven Harman MogulMiramar Capital independent RIAArete Wealth Advisors, LLC BD affiliatedRIA to affiliated broker-dealer or bankMay 16, 2023Jun 23, 2023 (38 d)
Victoria PantaleoBlackrock Investment Management, LLC otherArete Wealth Advisors, LLC BD affiliatedOtherFeb 27, 2023Dec 10, 2024 (652 d)
David Leon LynnAmeriprise Financial Services, LLC national BDArete Wealth Advisors, LLC BD affiliatedAffiliated broker-dealer or bank to anotherJan 11, 2023Jan 6, 2023
James Kevin JohnstonFinancial Resource Management, Inc. otherArete Wealth Advisors, LLC BD affiliatedOtherDec 31, 2022Jan 5, 2023
Jonathan Robert FratesiFinancial Resource Management, Inc. otherArete Wealth Advisors, LLC BD affiliatedOtherDec 31, 2022Jan 5, 2023
William Samuel BorleisCenter Street Advisors, Inc. independent RIAArete Wealth Advisors, LLC BD affiliatedRIA to affiliated broker-dealer or bankDec 6, 2022Dec 5, 2022
David Charles LevineB. Riley Wealth Advisors, Inc. BD affiliatedArete Wealth Advisors, LLC BD affiliatedAffiliated broker-dealer or bank to anotherNov 16, 2022Jan 19, 2023 (64 d)
David Taylor IIIBcu Wealth Advisors, LLC independent RIAArete Wealth Advisors, LLC BD affiliatedRIA to affiliated broker-dealer or bankNov 3, 2022Jul 14, 2025 (984 d)
Rene HernandezErnst & Young Investment Advisers Llp no RAUMArete Wealth Advisors, LLC BD affiliatedOtherOct 20, 2022Jul 16, 2026 (1365 d)
Dung Tien HuynhWealth Enhancement Advisory Services, LLC BD affiliatedArete Wealth Advisors, LLC BD affiliatedAffiliated broker-dealer or bank to anotherSep 16, 2022Jul 25, 2024 (678 d)
Patrick Bryan HealeyKalos Management BD affiliatedArete Wealth Advisors, LLC BD affiliatedAffiliated broker-dealer or bank to anotherAug 29, 2022Aug 29, 2022
Timothy P MooreCore Planning independent RIAArete Wealth Advisors, LLC BD affiliatedRIA to affiliated broker-dealer or bankMar 2, 2022Feb 9, 2022
Michael Loren SeidAxxcess Wealth Management, LLC independent RIAArete Wealth Advisors, LLC otherOtherDec 31, 2021Feb 11, 2015
Jonathan Daniel BrackmannAxxcess Wealth Management, LLC independent RIAArete Wealth Advisors, LLC BD affiliatedRIA to affiliated broker-dealer or bankDec 31, 2021Jun 10, 2020
Monica Kristina SzakosAxxcess Wealth Management, LLC independent RIAArete Wealth Advisors, LLC BD affiliatedRIA to affiliated broker-dealer or bankDec 31, 2021Apr 15, 2020
Matthew Eric StockburgerVanguard Advisers, Inc. BD affiliatedArete Wealth Advisors, LLC BD affiliatedAffiliated broker-dealer or bank to anotherDec 31, 2021Jan 4, 2022
Ian ConoverPlanmember Securities Corporation independent RIAArete Wealth Advisors, LLC BD affiliatedRIA to affiliated broker-dealer or bankDec 6, 2021Jan 4, 2022
Serge AkopyanCitigroup Global Markets Inc. BD affiliatedArete Wealth Advisors, LLC BD affiliatedAffiliated broker-dealer or bank to anotherOct 5, 2021May 27, 2022 (234 d)
Kristjan SokoliMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseArete Wealth Advisors, LLC BD affiliatedWirehouse to affiliated broker-dealer or bankSep 29, 2021Nov 29, 2021 (61 d)
Frederick Maximilian KortIht Wealth Management LLC independent RIAArete Wealth Advisors, LLC BD affiliatedRIA to affiliated broker-dealer or bankSep 24, 2021Sep 29, 2021
Nandan Jagdish ShahIht Wealth Management LLC independent RIAArete Wealth Advisors, LLC BD affiliatedRIA to affiliated broker-dealer or bankSep 23, 2021Sep 23, 2021
Michael Ray WallinPanthrex Asset Management LLC asset managerArete Wealth Advisors, LLC BD affiliatedOtherJul 29, 2021Apr 18, 2019
Robert Lloyd AnnableCenter Street Advisors, Inc. independent RIAArete Wealth Advisors, LLC BD affiliatedRIA to affiliated broker-dealer or bankJul 21, 2021Mar 3, 2021
Hunter Christian AgerEquitable Advisors, LLC national BDArete Wealth Advisors, LLC BD affiliatedAffiliated broker-dealer or bank to anotherMay 5, 2021Mar 22, 2022 (321 d)
Andrew TangClaraphi Advisory Network, LLC independent RIAArete Wealth Advisors, LLC BD affiliatedRIA to affiliated broker-dealer or bankJan 29, 2021Jan 7, 2021
Nicholas Gregg BoetjerWells Fargo Advisors wirehouseArete Wealth Advisors, LLC BD affiliatedWirehouse to affiliated broker-dealer or bankJan 27, 2021Jan 15, 2021
Jonathan Paul LesterEdward Jones national BDArete Wealth Advisors, LLC BD affiliatedAffiliated broker-dealer or bank to anotherJan 7, 2021Jan 4, 2021
Vincent Della FeraGms Group otherArete Wealth Advisors, LLC BD affiliatedOtherDec 21, 2020Apr 11, 2020
Young ChoiAdvice And Planning Services BD affiliatedArete Wealth Advisors, LLC BD affiliatedAffiliated broker-dealer or bank to anotherOct 22, 2020Aug 8, 2024 (1386 d)
Steven Richard SchwarzEquitable Advisors, LLC national BDArete Wealth Advisors, LLC BD affiliatedAffiliated broker-dealer or bank to anotherOct 5, 2020Mar 14, 2022 (525 d)
Brittani Corren SchaeferEdward Jones national BDArete Wealth Advisors, LLC BD affiliatedAffiliated broker-dealer or bank to anotherSep 15, 2020Sep 11, 2020
James Nicholas SarandisPark Avenue Securities LLC BD affiliatedArete Wealth Advisors, LLC BD affiliatedAffiliated broker-dealer or bank to anotherSep 9, 2020Feb 5, 2021 (149 d)
Walter Vincent NelsonPark Avenue Securities LLC BD affiliatedArete Wealth Advisors, LLC BD affiliatedAffiliated broker-dealer or bank to anotherAug 3, 2020Jul 17, 2020
Christopher Michael FehrLion Street Advisors, LLC BD affiliatedArete Wealth Advisors, LLC BD affiliatedAffiliated broker-dealer or bank to anotherJul 28, 2020Feb 2, 2026 (2015 d)
Logan D CoxPark Avenue Securities LLC BD affiliatedArete Wealth Advisors, LLC BD affiliatedAffiliated broker-dealer or bank to anotherJul 7, 2020Jun 30, 2020
Daniel Charles SouthworthSummit Financial Group Inc BD affiliatedArete Wealth Advisors, LLC BD affiliatedAffiliated broker-dealer or bank to anotherMay 19, 2020Oct 28, 2020 (162 d)
Erik G BringsjordMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseArete Wealth Advisors, LLC BD affiliatedWirehouse to affiliated broker-dealer or bankMar 25, 2020Jan 31, 2022 (677 d)
Robert Boris GellerSecurities America Advisors, Inc. BD affiliatedArete Wealth Advisors, LLC BD affiliatedAffiliated broker-dealer or bank to anotherMar 12, 2020Mar 17, 2020
Richard Raymond BrownOsaic Fa, Inc. BD affiliatedArete Wealth Advisors, LLC BD affiliatedAffiliated broker-dealer or bank to anotherDec 26, 2019Dec 21, 2025 (2187 d)
David HuntingtonEquitable Advisors, LLC national BDArete Wealth Advisors, LLC BD affiliatedAffiliated broker-dealer or bank to anotherNov 14, 2019Feb 3, 2022 (812 d)
Daniel Lozano DiazOsaic Fa, Inc. BD affiliatedArete Wealth Advisors, LLC BD affiliatedAffiliated broker-dealer or bank to anotherAug 27, 2019Aug 27, 2019
Matthew Edward RobersonOsaic Fa, Inc. BD affiliatedArete Wealth Advisors, LLC BD affiliatedAffiliated broker-dealer or bank to anotherMay 8, 2019May 7, 2019
Elizabeth WrightVance Capital Management, LLC otherArete Wealth Advisors, LLC BD affiliatedOtherDec 31, 2018Apr 10, 2024 (1927 d)
Hamilton Perkins Bouchelle PoynorLPL Financial LLC independent RIAArete Wealth Advisors, LLC BD affiliatedRIA to affiliated broker-dealer or bankNov 16, 2018Nov 14, 2018
Kinta Mack SmithLarson Financial Group, LLC BD affiliatedArete Wealth Advisors, LLC BD affiliatedAffiliated broker-dealer or bank to anotherMay 10, 2018Jan 1, 2025 (2428 d)
Dennis Shane McmillanOak Lane Advisors otherArete Wealth Advisors, LLC BD affiliatedOtherMar 29, 2018May 18, 2018 (50 d)
Jeremy M StuckMorgan Stanley wirehouseArete Wealth Advisors, LLC BD affiliatedWirehouse to affiliated broker-dealer or bankFeb 1, 2018Mar 6, 2020 (764 d)
Nathan James BrooksLarson Financial Group, LLC otherArete Wealth Advisors, LLC otherOtherNov 7, 2017Nov 3, 2017
Jeffrey Scott LarsonLarson Financial Group, LLC otherArete Wealth Advisors, LLC otherOtherAug 17, 2017Aug 1, 2017
Vayahn OnuseloguLarson Financial Group, LLC otherArete Wealth Advisors, LLC otherOtherAug 2, 2017Aug 16, 2017
Joshua Paul StatlerLarson Financial Group, LLC otherArete Wealth Advisors, LLC otherOtherAug 2, 2017Aug 2, 2017
Randall Scott LarsonLarson Financial Group, LLC otherArete Wealth Advisors, LLC otherOtherAug 2, 2017Aug 1, 2017
Brian Adam SanguinetLarson Financial Group, LLC otherArete Wealth Advisors, LLC otherOtherAug 2, 2017Aug 2, 2017
Jordan St ClairLarson Financial Group, LLC otherArete Wealth Advisors, LLC otherOtherAug 2, 2017Aug 2, 2017
Bradley Steven MeyersLarson Financial Group, LLC otherArete Wealth Advisors, LLC otherOtherAug 2, 2017Aug 2, 2017
Page 2 of 3PreviousNext
166 moves match.