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 Ameriprise Financial Services, 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.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Thomas Alan Gregg | LPL Financial LLC BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Aug 11, 2026 | Jul 27, 2026 |
| Yue Qiu | Osaic Wealth, Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Aug 11, 2026 | Aug 7, 2026 |
| Dawson Muth | MML Investors Services, LLC BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Aug 11, 2026 | Aug 7, 2026 |
| Katherine Elizabeth Maher | Thrivent Investment Management Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Aug 10, 2026 | Aug 10, 2026 |
| Christopher Lappas | Oppenheimer & Co. Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Aug 7, 2026 | Aug 7, 2026 |
| Courtney Katie Robert | Wells Fargo Advisors wirehouse | Ameriprise Financial Services, LLC national BD | Wirehouse to affiliated broker-dealer or bank | Aug 7, 2026 | Sep 4, 2026 |
| Jordan Kealaonalani Izumi | Crossmark Global Investments, Inc. mixed wealth | Ameriprise Financial Services, LLC national BD | RIA to affiliated broker-dealer or bank | Aug 6, 2026 | Aug 26, 2026 |
| Cooper Ryan Smith | MML Investors Services, LLC BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Aug 6, 2026 | Jul 31, 2026 |
| William Blaise Conte | LPL Financial LLC BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Aug 5, 2026 | Jul 17, 2026 |
| John M. Dunlap | Morgan Stanley wirehouse | Ameriprise Financial Services, LLC national BD | Wirehouse to affiliated broker-dealer or bank | Aug 3, 2026 | Aug 26, 2026 |
| Adam Kenneth Carter | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Ameriprise Financial Services, LLC national BD | Wirehouse to affiliated broker-dealer or bank | Aug 3, 2026 | Jul 17, 2026 |
| David Xavier Howell | LPL Financial LLC BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jul 31, 2026 | Jul 20, 2026 |
| Anthony Todd Jones | LPL Financial LLC BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jul 29, 2026 | Jul 13, 2026 |
| Heidi Fifield | Osaic Wealth, Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jul 29, 2026 | Jul 22, 2026 |
| Gerald Schuelke | Intrua Financial independent RIA | Ameriprise Financial Services, LLC national BD | RIA to affiliated broker-dealer or bank | Jul 27, 2026 | Aug 11, 2026 |
| Paul Schuelke | Intrua Financial independent RIA | Ameriprise Financial Services, LLC national BD | RIA to affiliated broker-dealer or bank | Jul 27, 2026 | Aug 11, 2026 |
| Steven Alexander Kaufman | Morgan Stanley wirehouse | Ameriprise Financial Services, LLC national BD | Wirehouse to affiliated broker-dealer or bank | Jul 27, 2026 | Jul 28, 2026 |
| Shawn Michael Steffee | LPL Financial LLC BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jul 24, 2026 | Jul 15, 2026 |
| Sarah Meade Wood | Wells Fargo Advisors wirehouse | Ameriprise Financial Services, LLC national BD | Wirehouse to affiliated broker-dealer or bank | Jul 20, 2026 | Sep 18, 2026 (60 d) |
| Christopher James Carruthers | Dovetail Wealth Management, LLC independent RIA | Ameriprise Financial Services, LLC national BD | RIA to affiliated broker-dealer or bank | Jul 20, 2026 | Jul 17, 2026 |
| Adam Jones | Wells Fargo Advisors wirehouse | Ameriprise Financial Services, LLC national BD | Wirehouse to affiliated broker-dealer or bank | Jul 20, 2026 | Jul 14, 2026 |
| Casey Tindle Phillips | J.P. Morgan Securities LLC wirehouse | Ameriprise Financial Services, LLC national BD | Wirehouse to affiliated broker-dealer or bank | Jul 19, 2026 | Jul 22, 2026 |
| Efrain Fernandez | Edward Jones national BD | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jul 18, 2026 | Jul 17, 2026 |
| Chase A Witthuhn | Charles Schwab & Co., Inc. national BD | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jul 18, 2026 | Jul 20, 2026 |
| Aaron Elkins | LPL Financial LLC BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jul 17, 2026 | Jun 18, 2026 |
| Wendell Anthony Rounds | Huntington Financial Advisors BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jul 17, 2026 | Jul 2, 2026 |
| Sara Marie Fisher | Edward Jones national BD | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jul 17, 2026 | Jul 10, 2026 |
| Joseph P Quinn | Kestra Advisory Services, LLC BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jul 17, 2026 | Jul 17, 2026 |
| Justin Arter | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Ameriprise Financial Services, LLC national BD | Wirehouse to affiliated broker-dealer or bank | Jul 16, 2026 | Jul 10, 2026 |
| Keith A Bjerk | Raymond James Financial Services Advisors, Inc BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jul 15, 2026 | Jul 10, 2026 |
| Shannon Nicole Montell | Huntington Financial Advisors BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jul 14, 2026 | Jul 23, 2026 |
| Keenan Dwyer | Eaton Vance Management asset manager | Ameriprise Financial Services, LLC national BD | Other | Jul 14, 2026 | Jul 16, 2026 |
| Jason Brian Smith | Citigroup Global Markets Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jul 13, 2026 | Jul 30, 2026 |
| Beth Ann Gibson | Lincoln Investment independent RIA | Ameriprise Financial Services, LLC national BD | RIA to affiliated broker-dealer or bank | Jul 9, 2026 | Jul 23, 2026 |
| Timothy Roberts | International Assets Investment Management, LLC BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jul 8, 2026 | Jul 13, 2026 |
| Kathleen Ann O'Kane | Edward Jones national BD | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jul 7, 2026 | Jun 26, 2026 |
| Ryan Hartneck | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Ameriprise Financial Services, LLC national BD | Wirehouse to affiliated broker-dealer or bank | Jul 7, 2026 | Jul 1, 2026 |
| Amanda Ditzler Galassini | LPL Enterprise, LLC BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jul 6, 2026 | Jun 26, 2026 |
| Trevor Morley | Esi Financial Advisors independent RIA | Ameriprise Financial Services, LLC national BD | RIA to affiliated broker-dealer or bank | Jul 2, 2026 | Sep 18, 2026 (78 d) |
| Samuel Lafevers | Stifel, Nicolaus & Company, Incorporated national BD | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jun 30, 2026 | Jun 5, 2026 |
| Glen Scot Sher | Wells Fargo Advisors wirehouse | Ameriprise Financial Services, LLC national BD | Wirehouse to affiliated broker-dealer or bank | Jun 29, 2026 | Jun 5, 2026 |
| Patrick D'Agostino | Capitol Securities Management, Inc. independent RIA | Ameriprise Financial Services, LLC national BD | RIA to affiliated broker-dealer or bank | Jun 29, 2026 | Jun 5, 2026 |
| Kenneth Peter Steinmetz | Janney Montgomery Scott LLC BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jun 29, 2026 | Jun 18, 2026 |
| James C Jackson | Janney Montgomery Scott LLC BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jun 29, 2026 | Jun 18, 2026 |
| Adam John Mcdonough | LPL Enterprise, LLC BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jun 29, 2026 | Jun 29, 2026 |
| Callie Noelle Gracie | LPL Financial LLC BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jun 29, 2026 | Aug 10, 2026 (42 d) |
| Daniel Tila-Cohen | Janney Montgomery Scott LLC BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jun 29, 2026 | Jun 30, 2026 |
| Joseph Garrett | Hornor, Townsend & Kent, LLC independent RIA | Ameriprise Financial Services, LLC national BD | RIA to affiliated broker-dealer or bank | Jun 29, 2026 | Jul 9, 2026 |
| Scott Accamando | Lincoln Investment independent RIA | Ameriprise Financial Services, LLC national BD | RIA to affiliated broker-dealer or bank | Jun 26, 2026 | Jul 10, 2026 |
| Ingrid K Lamb | Money Concepts Advisory Service BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jun 26, 2026 | Jun 25, 2026 |
| Shelby Marie Jennings | Edward Jones national BD | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jun 26, 2026 | Jul 7, 2026 |
| Andrew David Gosselin | Strategic Advisers LLC national BD | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jun 26, 2026 | Jun 29, 2026 |
| Bridgette Silverman | Valic Financial Advisors, Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jun 26, 2026 | Jun 24, 2026 |
| John Mitchel Hardin | Morgan Stanley wirehouse | Ameriprise Financial Services, LLC national BD | Wirehouse to affiliated broker-dealer or bank | Jun 23, 2026 | Jun 22, 2026 |
| Joseph Todd Williams | Raymond James Financial Services Advisors, Inc BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jun 23, 2026 | Jun 30, 2026 |
| Delroy George Parkinson | Raymond James & Associates, Inc. national BD | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jun 23, 2026 | Jun 23, 2026 |
| Richard P Branco | Advice And Planning Services BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jun 22, 2026 | Jun 22, 2026 |
| Sally J Stresnak | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Ameriprise Financial Services, LLC national BD | Wirehouse to affiliated broker-dealer or bank | Jun 22, 2026 | Jun 29, 2026 |
| John Keith Rinehart | Edward Jones national BD | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jun 22, 2026 | Jun 22, 2026 |
| Michele Maddaloni | Valley National Advisers Inc independent RIA | Ameriprise Financial Services, LLC national BD | RIA to affiliated broker-dealer or bank | Jun 22, 2026 | Aug 17, 2026 (56 d) |
7,106 moves match.