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.

AdvisorFromToTypeLeftRegistered
Anthony Joseph MartinezOsaic Wealth, Inc. BD affiliatedJ.P. Morgan Securities LLC wirehouseAffiliated broker-dealer or bank to wirehouseSep 9, 2026Sep 17, 2026
Thomas Carl O'NeillRaymond James & Associates, Inc. national BDSteward Partners Investment Advisory, LLC BD affiliatedAffiliated broker-dealer or bank to anotherSep 9, 2026Sep 10, 2026
Jonathan Lyn BoothRaymond James Financial Services Advisors, Inc BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherSep 9, 2026Sep 8, 2026
Nicole Elise BurdickLPL Financial LLC BD affiliatedSavvy independent RIAAffiliated broker-dealer or bank to independent RIASep 9, 2026Sep 1, 2026
James M. EusticeJ.P. Morgan Securities LLC wirehouseWells Fargo Advisors wirehouseWirehouse to wirehouseSep 9, 2026Sep 8, 2026
Austin James DeleryCwm, LLC BD affiliatedEntrewealth independent RIAAffiliated broker-dealer or bank to independent RIASep 9, 2026Sep 15, 2026
Thomas LawsonPnc Wealth Management BD affiliatedCreative Planning independent RIAAffiliated broker-dealer or bank to independent RIASep 9, 2026Sep 14, 2026
Evan S BrooksRaymond James & Associates, Inc. national BDStifel, Nicolaus & Company, Incorporated national BDAffiliated broker-dealer or bank to anotherSep 9, 2026Sep 8, 2026
Clayton MillenJ.P. Morgan Securities LLC wirehouseFisher Investments independent RIAWirehouse to independent RIASep 9, 2026Sep 17, 2026
Austin Taylor KobilkaBrookstone Capital Management LLC independent RIAAltruist Advisors LLC no RAUMRIA to a newly registered adviserSep 9, 2026Sep 10, 2026
Austin Taylor KobilkaBrookstone Wealth Advisors, LLC no RAUMBrookstone Capital Management LLC independent RIAOtherSep 9, 2026Jan 14, 2022
Richard A FertigBlackridge Asset Management, LLC independent RIABlue Monarch Financial Inc. state registeredRIA to a state-registered adviserSep 9, 2026Sep 8, 2026
Gerald HornMorgan Stanley wirehouseUBS Financial Services Inc. wirehouseWirehouse to wirehouseSep 9, 2026Sep 4, 2026
Fernando A GimenezPrime Fiduciary state registeredFitzwilliams Wealth Management Inc. independent RIAOtherSep 9, 2026Feb 9, 2026
Lauren Ashley GironGood Life Advisors, LLC independent RIARaymond James Financial Services Advisors, Inc BD affiliatedRIA to affiliated broker-dealer or bankSep 9, 2026Sep 8, 2026
Luke Daniel EberlyCwm, LLC BD affiliatedDrost Financial state registeredAffiliated broker-dealer or bank to a state-registered adviserSep 9, 2026Sep 10, 2026
Kendall Scott ThammRaymond James Financial Services Advisors, Inc BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherSep 9, 2026Sep 8, 2026
Pierre Leon SoreeMarietta Wealth Management, LLC independent RIAInman Park Wealth Management state registeredRIA to a state-registered adviserSep 9, 2026Sep 11, 2026
Dempsey GroverLPL Financial LLC BD affiliatedMorgan Stanley wirehouseAffiliated broker-dealer or bank to wirehouseSep 9, 2026Aug 14, 2026
Jaden SebringEquitable Advisors, LLC national BDCetera Investment Advisers LLC BD affiliatedAffiliated broker-dealer or bank to anotherSep 9, 2026Sep 2, 2026
Conner J. PendleyStrategic Advisers LLC national BDMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseAffiliated broker-dealer or bank to wirehouseSep 9, 2026Sep 2, 2026
David VerbruggenTradeway independent RIAIntegrity Investing state registeredRIA to a state-registered adviserSep 9, 2026Sep 15, 2026
Andrew McconnellJ.P. Morgan Securities LLC wirehouseWells Fargo Advisors wirehouseWirehouse to wirehouseSep 9, 2026Sep 8, 2026
George Peter AjiRaymond James Financial Services Advisors, Inc BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherSep 9, 2026Sep 8, 2026
Chase Kenyon LedererPinnacle Wealth Management, LLC independent RIACwm, LLC BD affiliatedRIA to affiliated broker-dealer or bankSep 9, 2026Jul 1, 2026
Christian A DefalcoMorgan Stanley wirehouseMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseWirehouse to wirehouseSep 9, 2026Sep 3, 2026
Brian Joseph WyzgowskiLPL Financial LLC BD affiliatedLincoln Investment independent RIAAffiliated broker-dealer or bank to independent RIASep 9, 2026Aug 17, 2026
Shannon L AllenMorgan Stanley wirehouseMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseWirehouse to wirehouseSep 9, 2026Aug 21, 2026
Wenbo JiangCetera Investment Advisers LLC BD affiliatedCitigroup Global Markets Inc. BD affiliatedAffiliated broker-dealer or bank to anotherSep 9, 2026Sep 10, 2026
John GiannattasioSanctuary Advisors, LLC BD affiliatedCreative Planning independent RIAAffiliated broker-dealer or bank to independent RIASep 9, 2026Sep 15, 2026
Alexander DuncanEquitable Advisors, LLC national BDSavvy independent RIAAffiliated broker-dealer or bank to independent RIASep 9, 2026Sep 14, 2026
Sanchi RanyalAccretive Wealth Management, LLC independent RIAFruitful independent RIARIA to RIASep 9, 2026May 19, 2025
Alexis TrotterMidwestern Securities Trading Co.,LLC independent RIAAusdal Financial Partners, Inc. independent RIARIA to RIASep 9, 2026Sep 15, 2026
Lily Paige KrausZoe Financial, Inc. independent RIATitan independent RIARIA to RIASep 9, 2026Sep 9, 2026
Brian GeryLeverage Planners Wealth Management, LLC state registeredBuck Wealth Strategies, LLC independent RIAOtherSep 9, 2026Jul 14, 2026
George BernardHealthview Asset Management, Inc. independent RIABennington Asset Management, LLC state registeredRIA to a state-registered adviserSep 9, 2026Sep 16, 2026
Donald Leonhard HartmannCambridge Investment Research Advisors, Inc. BD affiliatedAusdal Financial Partners, Inc. independent RIAAffiliated broker-dealer or bank to independent RIASep 8, 2026Jul 29, 2026
Richard Albert GagneCommonwealth Financial Network national BDCetera Investment Advisers LLC BD affiliatedAffiliated broker-dealer or bank to anotherSep 8, 2026Aug 31, 2026
R Mark GosselinCommonwealth Financial Network national BDGlobal Retirement Partners LLC institutionalOtherSep 8, 2026Sep 1, 2026
Daniel Richard GarvinImpact Partnership Wealth, LLC independent RIAMunn Wealth Management, LLC independent RIARIA to RIASep 8, 2026Jul 16, 2026
Peter John FendlerCommonwealth Financial Network national BDNorton Financial Services, Inc. unclassifiedOtherSep 8, 2026Mar 8, 2012
Raymond Alba EmeryCommonwealth Financial Network national BDGlobal Retirement Partners LLC institutionalOtherSep 8, 2026Sep 1, 2026
Rebecca L BastNorthwestern Mutual Investment Services,LLC no RAUMOnepoint Bfg Wealth Partners independent RIAOtherSep 8, 2026Sep 14, 2026
Sheila Adair JacobsWells Fargo Advisors wirehouse&Partners independent RIAWirehouse to independent RIASep 8, 2026Sep 3, 2026
Michael Charles MarangolaOsaic Wealth, Inc. BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherSep 8, 2026Aug 31, 2026
Richard Deane JeffordOneamerica Securities, Inc. BD affiliatedCivitas Financial LLC state registeredAffiliated broker-dealer or bank to a state-registered adviserSep 8, 2026Aug 17, 2026
Ryan LuczynskiCommonwealth Financial Network national BDGlobal Retirement Partners LLC institutionalOtherSep 8, 2026Sep 1, 2026
William Byrd KingTruist Advisory Services, Inc. BD affiliatedCetera Investment Advisers LLC BD affiliatedAffiliated broker-dealer or bank to anotherSep 8, 2026Sep 2, 2026
Michael BenkovicPrivate Advisor Group, LLC BD affiliatedDvb Private Wealth no RAUMAffiliated broker-dealer or bank to a newly registered adviserSep 8, 2026Aug 21, 2026
Lori Reed WilliamsAscensus Investment Advisors, LLC institutionalOnedigital institutionalOtherSep 8, 2026Sep 15, 2026
James Peter KosCommonwealth Financial Network national BDGlobal Retirement Partners LLC institutionalOtherSep 8, 2026Sep 1, 2026
Toby Marshall JohnstonPlanmember Securities Corporation independent RIAAmeriprise Financial Services, LLC national BDRIA to affiliated broker-dealer or bankSep 8, 2026Sep 11, 2026
Stephen Michael LafranceCommonwealth Financial Network national BDRidgestone Wealth state registeredAffiliated broker-dealer or bank to a state-registered adviserSep 8, 2026Sep 10, 2026
Jan Carlo LandiMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseTd Private Client Wealth LLC BD affiliatedWirehouse to affiliated broker-dealer or bankSep 8, 2026Sep 15, 2026
Joshua SieversFbl Wealth Management, LLC BD affiliatedFirst Heartland Consultants, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherSep 8, 2026Sep 1, 2026
Christopher RoehrkasseStrategic Advisers LLC national BDCetera Investment Advisers LLC BD affiliatedAffiliated broker-dealer or bank to anotherSep 8, 2026Aug 31, 2026
Randall Warren HarrisFirst Command Advisory Services BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherSep 8, 2026Sep 1, 2026
Brian WardB.O.S.S. Retirement Advisors, LLC independent RIARfg Advisory, LLC independent RIARIA to RIASep 8, 2026Aug 7, 2026
Mayrin FontainemoyaBanco Do Brasil Securities LLC state registeredCitigroup Global Markets Inc. BD affiliatedOtherSep 8, 2026Sep 9, 2026
Kaitlin Zeek RobinsonStrategic Advisers LLC national BDUBS Financial Services Inc. wirehouseAffiliated broker-dealer or bank to wirehouseSep 8, 2026Aug 31, 2026
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382,967 moves match.