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 Northrock Partners, 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
Ryan Scott WirthRBC Capital Markets, LLC national BDNorthrock Partners, LLC independent RIAAffiliated broker-dealer or bank to independent RIAFeb 18, 2022Feb 4, 2022
Jason Michael MahnRBC Capital Markets, LLC national BDNorthrock Partners, LLC independent RIAAffiliated broker-dealer or bank to independent RIAFeb 18, 2022Feb 4, 2022
Sumit MehtaMazakali unclassifiedNorthrock Partners, LLC independent RIAOtherDec 31, 2021Nov 17, 2021
Ryan Michael PeckskampModus Advisors, LLC independent RIANorthrock Partners, LLC independent RIARIA to RIASep 30, 2021Nov 9, 2021 (40 d)
Paul HillWells Fargo Advisors wirehouseNorthrock Partners, LLC independent RIAWirehouse to independent RIASep 9, 2021Nov 9, 2021 (61 d)
Linda Kay WinkelmanU.S. Bancorp Investments, Inc. BD affiliatedNorthrock Partners, LLC independent RIAAffiliated broker-dealer or bank to independent RIAApr 13, 2021May 9, 2021
Joshua John TimblinMorgan Stanley wirehouseNorthrock Partners, LLC independent RIAWirehouse to independent RIAMar 25, 2021Mar 9, 2021
Thomas Christopher McgannonWhetstone Capital Advisors asset managerNorthrock Partners, LLC independent RIAOtherMar 9, 2021Jul 30, 2024 (1239 d)
Craig James BartlettU.S. Bancorp Investments, Inc. BD affiliatedNorthrock Partners, LLC independent RIAAffiliated broker-dealer or bank to independent RIAJan 14, 2020Apr 15, 2020 (92 d)
Mark J SommervilleFsc Securities Corporation BD affiliatedNorthrock Partners, LLC independent RIAAffiliated broker-dealer or bank to independent RIAJan 14, 2020Apr 15, 2020 (92 d)
Elliot Carl Edward RisbrudtThrivent Investment Management Inc. BD affiliatedNorthrock Partners, LLC independent RIAAffiliated broker-dealer or bank to independent RIANov 27, 2019Apr 6, 2021 (496 d)
Daniel BasingerAmeriprise Financial Services, LLC national BDNorthrock Partners, LLC independent RIAAffiliated broker-dealer or bank to independent RIAAug 15, 2019Aug 12, 2019
Joshua Robert GlorchAmeriprise Financial Services, LLC national BDNorthrock Partners, LLC independent RIAAffiliated broker-dealer or bank to independent RIAAug 13, 2019Aug 12, 2019
Christopher Warren JasperAmeriprise Financial Services, LLC national BDNorthrock Partners, LLC independent RIAAffiliated broker-dealer or bank to independent RIAAug 13, 2019Aug 9, 2019
Charles F ThalheimerAmeriprise Financial Services, LLC national BDNorthrock Partners, LLC independent RIAAffiliated broker-dealer or bank to independent RIAAug 13, 2019Aug 9, 2019
Genevieve Grace BajajAmeriprise Financial Services, LLC national BDNorthrock Partners, LLC independent RIAAffiliated broker-dealer or bank to independent RIAAug 13, 2019Aug 12, 2019
Anthony David MlachnikAmeriprise Financial Services, LLC national BDNorthrock Partners, LLC independent RIAAffiliated broker-dealer or bank to independent RIAAug 13, 2019Aug 9, 2019
Todd Alan MoserAmeriprise Financial Services, LLC national BDNorthrock Partners, LLC independent RIAAffiliated broker-dealer or bank to independent RIAAug 12, 2019Aug 9, 2019
Jed Roland MagstadtPacific Point Advisors, LLC otherNorthrock Partners, LLC otherOtherJun 16, 2017May 18, 2017
Shawn Jay JacobsonLegacy Financial Advisors Corporation otherNorthrock Partners, LLC otherOtherFeb 17, 2017Feb 10, 2017
Brent T PutzNorthwestern Mutual Investment Services,LLC no RAUMNorthrock Partners, LLC otherOtherJan 11, 2017Jan 10, 2017
Erin Robert BernsLifestage Wealth Management Group LLC otherNorthrock Partners, LLC otherOtherDec 31, 2016Dec 16, 2016
Dominic Jon KnaufThrivent Investment Management Inc. otherNorthrock Partners, LLC otherOtherJun 15, 2016Aug 4, 2016 (50 d)
Robert Dean NelsonAmeriprise Financial Services, LLC national BDNorthrock Partners, LLC no RAUMAffiliated broker-dealer or bank to a newly registered adviserOct 21, 2013Jan 23, 2014 (94 d)
Dawn Deborah JurkovichAmeriprise Financial Services, LLC national BDNorthrock Partners, LLC no RAUMAffiliated broker-dealer or bank to a newly registered adviserOct 21, 2013Dec 9, 2013 (49 d)
Brian Jon KruseAmeriprise Financial Services, LLC national BDNorthrock Partners, LLC no RAUMAffiliated broker-dealer or bank to a newly registered adviserOct 21, 2013Dec 10, 2013 (50 d)
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86 moves match.