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 Facet

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
Joelle M HindsOneamerica Securities, Inc. BD affiliatedFacet independent RIAAffiliated broker-dealer or bank to independent RIAMay 11, 2023Aug 2, 2023 (83 d)
Terry Jay MontanoCapital Directions LLC independent RIAFacet independent RIARIA to RIAApr 11, 2023Mar 25, 2021
John LeeCerity Partners LLC independent RIAFacet independent RIARIA to RIAJan 4, 2023Jun 20, 2023 (167 d)
Lucas M PelletierCharles Schwab & Co., Inc. national BDFacet independent RIAAffiliated broker-dealer or bank to independent RIANov 22, 2022Mar 11, 2026 (1205 d)
Thomas Douglas Davis GraffBrown Advisory mixed wealthFacet independent RIARIA to RIAOct 5, 2022Sep 28, 2022
Brian Andrew TurnerPersonal Capital Advisors Corporation independent RIAFacet independent RIARIA to RIAOct 4, 2022Oct 3, 2022
Ryan Laurence FurlongBrooklyn Fi, LLC independent RIAFacet independent RIARIA to RIASep 12, 2022Oct 6, 2022
Christopher KadowakiNarrow Path Financial Inc. state registeredFacet independent RIAOtherMay 13, 2022Oct 6, 2022 (146 d)
Anthony Alejandrino RegaladoSchwab Wealth Advisory, Inc. no RAUMFacet independent RIAOtherApr 10, 2022Aug 18, 2026 (1591 d)
Jeffrey Peirce GaringerAmundi Asset Management US, Inc. asset managerFacet independent RIAOtherJan 27, 2022Feb 20, 2025 (1120 d)
Ashley Elizabeth MorrisVanguard Advisers, Inc. BD affiliatedFacet independent RIAAffiliated broker-dealer or bank to independent RIAJan 24, 2022Jan 21, 2022
Lee Anne PrzybylaBroadway Wealth Solutions independent RIAFacet independent RIARIA to RIAJan 14, 2022Jan 18, 2022
Justin Thomas BellowsTlwm Financial independent RIAFacet independent RIARIA to RIADec 31, 2021Jan 21, 2022
Kenneth E O'ConnorKelly Financial Services LLC independent RIAFacet independent RIARIA to RIADec 22, 2021Jan 20, 2022
Sean Wilburn PowleyUBS Financial Services Inc. wirehouseFacet independent RIAWirehouse to independent RIADec 16, 2021Jan 21, 2022 (36 d)
Laura Lea KimballAspire Planning Associates, Inc. independent RIAFacet independent RIARIA to RIADec 3, 2021Apr 15, 2021
Carlos Daniel RuizFinancial Pathways unclassifiedFacet independent RIAOtherNov 17, 2021Nov 17, 2021
Patrick Joseph FinneranHamilton Capital independent RIAFacet independent RIARIA to RIAOct 18, 2021Nov 5, 2021
Matthew Alan StrattonRaymond James & Associates, Inc. national BDFacet independent RIAAffiliated broker-dealer or bank to independent RIAOct 4, 2021Oct 8, 2021
Michael Walsh GormanForvis Mazars Wealth Advisors, LLC independent RIAFacet independent RIARIA to RIASep 30, 2021Oct 26, 2021
Nicolas WeachterVanguard Advisers, Inc. BD affiliatedFacet independent RIAAffiliated broker-dealer or bank to independent RIASep 27, 2021Sep 23, 2021
Samuel Eaton TerminelloVanguard Advisers, Inc. BD affiliatedFacet independent RIAAffiliated broker-dealer or bank to independent RIASep 27, 2021Sep 27, 2021
Matthew Daniel MccoyIndependent Advisor Alliance, LLC independent RIAFacet independent RIARIA to RIASep 13, 2021Oct 8, 2021
Laura Rose HauptCliftonlarsonallen Wealth Advisors, LLC BD affiliatedFacet independent RIAAffiliated broker-dealer or bank to independent RIASep 10, 2021Sep 20, 2021
Justin Michael FloresSchwab Wealth Advisory, Inc. no RAUMFacet independent RIAOtherSep 1, 2021Sep 1, 2021
Patrick Charles SabolTraphagen Financial Group independent RIAFacet independent RIARIA to RIAAug 26, 2021Sep 1, 2021
Bryant Robert MalloyCuso Financial Services, L.P. BD affiliatedFacet independent RIAAffiliated broker-dealer or bank to independent RIAAug 20, 2021Sep 20, 2021 (31 d)
Maria Dianne Aprill ErgasVanguard Advisers, Inc. BD affiliatedFacet independent RIAAffiliated broker-dealer or bank to independent RIAAug 6, 2021Aug 3, 2021
Robert Connor DillonVanguard Advisers, Inc. BD affiliatedFacet independent RIAAffiliated broker-dealer or bank to independent RIAAug 6, 2021Aug 10, 2021
Larry Roger MeltonCharles Schwab & Co., Inc. national BDFacet independent RIAAffiliated broker-dealer or bank to independent RIAAug 5, 2021Jul 30, 2021
Jonathan Keith BrittDipaolo Financial Group, Inc. independent RIAFacet independent RIARIA to RIAAug 5, 2021Sep 23, 2021 (49 d)
Jesse James WidemanVanguard Advisers, Inc. BD affiliatedFacet independent RIAAffiliated broker-dealer or bank to independent RIAAug 5, 2021Jul 28, 2021
Emmett Nathaniel StewartCharles Schwab & Co., Inc. national BDFacet independent RIAAffiliated broker-dealer or bank to independent RIAJul 30, 2021Aug 18, 2021
Steven A SzafranskiAmeriprise Financial Services, LLC national BDFacet independent RIAAffiliated broker-dealer or bank to independent RIAJul 20, 2021Jan 18, 2022 (182 d)
Brad Paul SchuelerFidelity Personal And Workplace Advisors BD affiliatedFacet independent RIAAffiliated broker-dealer or bank to independent RIAJul 20, 2021Aug 4, 2021
Zachary Scott NovakBuckingham Strategic Wealth, LLC independent RIAFacet independent RIARIA to RIAJul 13, 2021Aug 6, 2021
Giovanni ValleMariner BD affiliatedFacet independent RIAAffiliated broker-dealer or bank to independent RIAJul 12, 2021May 23, 2022 (315 d)
Melissa Louise LeonardThreadline Wealth independent RIAFacet independent RIARIA to RIAJun 16, 2021Jun 9, 2021
Jordan Robert GilbertiAe Wealth Management, LLC BD affiliatedFacet independent RIAAffiliated broker-dealer or bank to independent RIAJun 8, 2021Apr 23, 2021
Christopher James MilliusErnst & Young Investment Advisers Llp no RAUMFacet independent RIAOtherMay 21, 2021Oct 8, 2021 (140 d)
Keenan Dean CaseyThree Points Financial, Inc. independent RIAFacet independent RIARIA to RIAMay 20, 2021Jun 4, 2021
Patricia Ann StallworthEworth Advisors unclassifiedFacet independent RIAOtherMay 18, 2021Jun 1, 2021
Edward Gregory WilliamsCitizens Private Wealth independent RIAFacet independent RIARIA to RIAMay 10, 2021Jun 8, 2021
Edward Francis JurgielewiczEagle Strategies LLC BD affiliatedFacet independent RIAAffiliated broker-dealer or bank to independent RIAMay 7, 2021Mar 30, 2022 (327 d)
Aaron Matthew BuckBrogan Financial independent RIAFacet independent RIARIA to RIAMay 4, 2021Apr 7, 2021
Joel Stephen MillerVanguard Advisers, Inc. BD affiliatedFacet independent RIAAffiliated broker-dealer or bank to independent RIAApr 29, 2021May 3, 2021
Jonathon Edward ArmstrongVirtue Capital Management, LLC independent RIAFacet independent RIARIA to RIAApr 27, 2021Jun 8, 2021 (42 d)
Bryan Phillip JimmersonTrue Wealth Nation state registeredFacet independent RIAOtherApr 26, 2021Oct 3, 2022 (525 d)
William John WernerCitizens Private Wealth independent RIAFacet independent RIARIA to RIAApr 23, 2021Apr 22, 2021
Nicholas Timothy SullivanPrairieview Partners, LLC independent RIAFacet independent RIARIA to RIAApr 20, 2021Dec 10, 2020
Ryan Laurence FurlongThe Worley Banks Group, LLC independent RIAFacet independent RIARIA to RIAApr 15, 2021Apr 23, 2021
Alex Garner McdonaldHightower Advisors, LLC BD affiliatedFacet independent RIAAffiliated broker-dealer or bank to independent RIAApr 13, 2021Mar 29, 2021
Kent Alexander DelphSanctuary Advisors, LLC BD affiliatedFacet independent RIAAffiliated broker-dealer or bank to independent RIAApr 9, 2021May 11, 2021 (32 d)
Kathleen M GriffinMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseFacet independent RIAWirehouse to independent RIAApr 5, 2021Apr 15, 2021
Jameson K StadyE*Trade Capital Management, LLC independent RIAFacet independent RIARIA to RIAMar 25, 2021Jul 1, 2021 (98 d)
Raman J SinghMutual Trust Asset Mgmt., Inc. independent RIAFacet independent RIARIA to RIAMar 23, 2021Apr 15, 2021
Jordan L CrabbColumn Capital Advisors, LLC independent RIAFacet independent RIARIA to RIAMar 19, 2021Mar 23, 2021
Danielle Carlotta AlcideAdvice And Planning Services BD affiliatedFacet independent RIAAffiliated broker-dealer or bank to independent RIAMar 17, 2021Apr 12, 2021
Anthony Joseph LabrakeTobias Financial Advisors independent RIAFacet independent RIARIA to RIAMar 10, 2021May 24, 2021 (75 d)
Emily Bost NilssonCalton & Associates, Inc. independent RIAFacet independent RIARIA to RIAMar 5, 2021Mar 23, 2021
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217 moves match.