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
Michael Sean MacdonaldUBS Financial Services Inc. wirehouseCresset Asset Management, LLC independent RIAWirehouse to independent RIASep 4, 2026Aug 25, 2026
Mark Elliott SearEvoke Advisors independent RIAInbalance Advisors, LLC independent RIARIA to RIASep 4, 2026Jun 16, 2023
Scott Michael WallaceCetera Investment Advisers LLC BD affiliatedKovack Advisors, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherSep 4, 2026Aug 21, 2026
Bernard SuissaRBC Capital Markets, LLC national BDSuissa Private Wealth no RAUMAffiliated broker-dealer or bank to a newly registered adviserSep 4, 2026Sep 4, 2026
Jason N RappByrne Asset Management, LLC independent RIADumont & Blake Investment Advisors LLC independent RIARIA to RIASep 4, 2026Mar 30, 2026
John Walton BartonFreegulliver, LLC independent RIARidge Road Wealth Management, LLC no RAUMRIA to a newly registered adviserSep 4, 2026Sep 4, 2026
Craig M SarembockBartlett & Co. Wealth Management LLC independent RIAFarther independent RIARIA to RIASep 4, 2026Aug 10, 2026
William Stuart MarinoUBS Financial Services Inc. wirehouseCresset Asset Management, LLC independent RIAWirehouse to independent RIASep 4, 2026Aug 25, 2026
David Joseph CoppolaLPL Financial LLC BD affiliatedCommonwealth Financial Network national BDAffiliated broker-dealer or bank to anotherSep 4, 2026Sep 8, 2026
James Matthew DesrocherKeynote Financial Services, LLC independent RIADenovo Financial state registeredRIA to a state-registered adviserSep 4, 2026Aug 17, 2026
Carl Anthony HindsRBC Capital Markets, LLC national BDLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherSep 4, 2026Aug 19, 2026
Justin Mark BonavitacolaVandalia Wealth independent RIAEdward Jones national BDRIA to affiliated broker-dealer or bankSep 4, 2026Sep 4, 2026
Justin Mark BonavitacolaAxxcess Wealth Management, LLC independent RIAVandalia Wealth no RAUMRIA to a newly registered adviserSep 4, 2026Apr 27, 2026
Eric Michael DerocheFreegulliver, LLC independent RIARidge Road Wealth Management, LLC no RAUMRIA to a newly registered adviserSep 4, 2026Sep 4, 2026
Christine Marie Larson-PostelPinnacle Advisors independent RIAMinerva Planning Group independent RIARIA to RIASep 4, 2026Sep 16, 2026
Jason FaganCambridge Investment Research Advisors, Inc. BD affiliatedSowell Management independent RIAAffiliated broker-dealer or bank to independent RIASep 4, 2026Sep 8, 2026
Jason Allen StewartBlackridge Asset Management, LLC independent RIAIndependent Solutions Wealth Management, LLC independent RIARIA to RIASep 4, 2026Dec 18, 2025
Christopher LalaUBS Financial Services Inc. wirehouseCharles Schwab & Co., Inc. national BDWirehouse to affiliated broker-dealer or bankSep 4, 2026Sep 14, 2026
Shay C DelaneyEdward Jones national BDAmeritas Advisory Services, LLC BD affiliatedAffiliated broker-dealer or bank to anotherSep 4, 2026Sep 15, 2026
Melanie C JonesEvoke Advisors independent RIAInbalance Advisors, LLC independent RIARIA to RIASep 4, 2026Jun 16, 2023
Ryan Charles AustinBankers Life Advisory Services, Inc. BD affiliatedSavvy independent RIAAffiliated broker-dealer or bank to independent RIASep 4, 2026Sep 17, 2026
Nicolas George DumasRetirement Planning Group, LLC independent RIASilver Oak Securities, Inc. BD affiliatedRIA to affiliated broker-dealer or bankSep 4, 2026Sep 1, 2026
Daniel Augustine LeyvaLPL Financial LLC BD affiliatedKingswood Wealth Advisors, LLC BD affiliatedAffiliated broker-dealer or bank to anotherSep 4, 2026Aug 25, 2026
Emily Ann SchoettlerRBC Capital Markets, LLC national BDLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherSep 4, 2026Aug 20, 2026
D'Andre ThortvedtFisher Investments independent RIAWealth Enhancement Advisory Services, LLC BD affiliatedRIA to affiliated broker-dealer or bankSep 4, 2026Aug 4, 2026
Joshua Daniel EllisCambridge Investment Research Advisors, Inc. BD affiliatedSowell Management independent RIAAffiliated broker-dealer or bank to independent RIASep 4, 2026Sep 2, 2026
Sarah Danielle PonczekUBS Financial Services Inc. wirehouseCresset Asset Management, LLC independent RIAWirehouse to independent RIASep 4, 2026Aug 25, 2026
Ryan GibbonsTlg Advisors, Inc. BD affiliatedPark Avenue Securities LLC BD affiliatedAffiliated broker-dealer or bank to anotherSep 4, 2026Sep 15, 2026
Emily A FennellRBC Capital Markets, LLC national BDSuissa Private Wealth no RAUMAffiliated broker-dealer or bank to a newly registered adviserSep 4, 2026Sep 4, 2026
David Samuel MarshallUBS Financial Services Inc. wirehouseMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseWirehouse to wirehouseSep 4, 2026Sep 10, 2026
Nicholas Richard MenziesAmeriprise Financial Services, LLC national BDTruist Advisory Services, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherSep 4, 2026Sep 10, 2026
Sophie Marie LittleMorgan Stanley wirehouseInvesco Advisers, Inc. asset managerOtherSep 4, 2026Sep 14, 2026
Ian A YiOppenheimer & Co. Inc. BD affiliatedMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseAffiliated broker-dealer or bank to wirehouseSep 4, 2026Sep 16, 2026
James Layton JonesEquitable Advisors, LLC national BDMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseAffiliated broker-dealer or bank to wirehouseSep 4, 2026Sep 15, 2026
Jackson HeinlenEquitable Advisors, LLC national BDEdward Jones national BDAffiliated broker-dealer or bank to anotherSep 4, 2026Sep 15, 2026
Brandon Joseph LevensonRBC Capital Markets, LLC national BDSuissa Private Wealth no RAUMAffiliated broker-dealer or bank to a newly registered adviserSep 4, 2026Sep 4, 2026
George M JoyauxThe Mather Group, LLC independent RIASanta Barbara Management independent RIARIA to RIASep 4, 2026Aug 7, 2026
John Timothy RossIntegrated Financial Resources, Inc. unclassifiedQuestar Capital Corporation unclassifiedOtherSep 3, 2026Aug 9, 2004
Robert Lee ThompsonIntegrated Financial Resources, Inc. unclassifiedQuestar Capital Corporation unclassifiedOtherSep 3, 2026Dec 3, 2001
Robert Farril HolmanAe Wealth Management, LLC BD affiliatedCreativeone Wealth, LLC independent RIAAffiliated broker-dealer or bank to independent RIASep 3, 2026Sep 2, 2026
Monica Salaiz NarvaezOsaic Advisory Services, LLC BD affiliatedOsaic Wealth, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherSep 3, 2026Sep 20, 2024
Stephen Gerard GooditisIam Advisory LLC independent RIANewedge Advisors BD affiliatedRIA to affiliated broker-dealer or bankSep 3, 2026Sep 1, 2026
Henry GallardoOsaic Advisory Services, LLC BD affiliatedOsaic Wealth, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherSep 3, 2026Sep 19, 2024
Ronald Joseph CarazoSpire Wealth Management, LLC BD affiliatedCarazo Wealth Management no RAUMAffiliated broker-dealer or bank to a newly registered adviserSep 3, 2026Sep 3, 2026
Michael Allen BoberUBS Financial Services Inc. wirehouseCresset Asset Management, LLC independent RIAWirehouse to independent RIASep 3, 2026Aug 25, 2026
Ettore D VentriceUBS Financial Services Inc. wirehouseCresset Asset Management, LLC independent RIAWirehouse to independent RIASep 3, 2026Aug 26, 2026
Bruno PerazaCetera Investment Advisers LLC BD affiliatedIndependent Financial Group, LLC BD affiliatedAffiliated broker-dealer or bank to anotherSep 3, 2026Sep 1, 2026
Darron Lamont CarpenterCitizens Securities, Inc. BD affiliatedWells Fargo Advisors wirehouseAffiliated broker-dealer or bank to wirehouseSep 3, 2026Sep 2, 2026
Alfred Slatten BryantCorient independent RIAMesirow Financial Investment Management, Inc. mixed wealthRIA to RIASep 3, 2026Sep 11, 2026
Christian Edward TullyMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseWells Fargo Advisors wirehouseWirehouse to wirehouseSep 3, 2026Sep 2, 2026
Richard Anthony RussoOsaic Advisory Services, LLC BD affiliatedAdvisory Services Network independent RIAAffiliated broker-dealer or bank to independent RIASep 3, 2026Sep 1, 2026
Horace Lee DanielLPL Financial LLC BD affiliatedRaymond James Financial Services Advisors, Inc BD affiliatedAffiliated broker-dealer or bank to anotherSep 3, 2026Aug 17, 2026
Major Harold BrannenBrannen & Lyle Investment Company state registeredCetera Advisors LLC BD affiliatedOtherSep 3, 2026Mar 13, 2020
Paul David BrownFaithward Advisors, LLC independent RIALPL Financial LLC BD affiliatedRIA to affiliated broker-dealer or bankSep 3, 2026Sep 17, 2026
John Troy GilmoreTlg Advisors, Inc. BD affiliatedKingswood Wealth Advisors, LLC BD affiliatedAffiliated broker-dealer or bank to anotherSep 3, 2026Aug 28, 2026
James Ellis CahnStratos Wealth Partners, Ltd BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherSep 3, 2026Nov 5, 2025
Anthony Lewis GutweinEdward Jones national BDMML Investors Services, LLC BD affiliatedAffiliated broker-dealer or bank to anotherSep 3, 2026Sep 11, 2026
Michael J CarbinoStratos Wealth Partners, Ltd BD affiliatedTwenty Four Wealth no RAUMAffiliated broker-dealer or bank to a newly registered adviserSep 3, 2026Aug 31, 2026
Joseph D PeriStratos Wealth Partners, Ltd BD affiliatedTwenty Four Wealth no RAUMAffiliated broker-dealer or bank to a newly registered adviserSep 3, 2026Aug 31, 2026
Marysol Flores SalazarMissionsquare Retirement BD affiliatedPure Financial Advisors, LLC independent RIAAffiliated broker-dealer or bank to independent RIASep 3, 2026Sep 10, 2026
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382,967 moves match.