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.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Justin William Jack Wollman | Amoretti Capital Management state registered | Composed Capital LLC state registered | Other | Sep 3, 2026 | May 20, 2026 |
| Pranay G Laharia | Beacon Ridge Advisors LLC state registered | The London Company Of Virginia mixed wealth | Other | Sep 3, 2026 | Sep 8, 2026 |
| John Thomas Dougherty | Stratos Wealth Partners, Ltd BD affiliated | Twenty Four Wealth no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Sep 3, 2026 | Aug 31, 2026 |
| Stephan Allan Colglazier | Sharp Financial independent RIA | Belpointe Asset Management LLC independent RIA | RIA to RIA | Sep 3, 2026 | Aug 21, 2026 |
| Alexandre Martins Santos | UBS Financial Services Inc. wirehouse | Cresset Asset Management, LLC independent RIA | Wirehouse to independent RIA | Sep 3, 2026 | Aug 26, 2026 |
| Catherine T. Fisher | J.P. Morgan Securities LLC wirehouse | LPL Financial LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 3, 2026 | Sep 3, 2026 |
| Corey Lee Jackson | Manning & Napier Advisors, LLC mixed wealth | UBS Financial Services Inc. wirehouse | RIA to wirehouse | Sep 3, 2026 | Aug 24, 2026 |
| John Coltrane Landers | Key Investment Services LLC BD affiliated | Pnc Wealth Management BD affiliated | Affiliated broker-dealer or bank to another | Sep 3, 2026 | Sep 8, 2026 |
| Evan Lee Blake | UBS Financial Services Inc. wirehouse | Cresset Asset Management, LLC independent RIA | Wirehouse to independent RIA | Sep 3, 2026 | Aug 27, 2026 |
| Matthew Joseph O'Keefe | Equitable Advisors, LLC national BD | Back Bay Financial Planning & Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 3, 2026 | Aug 31, 2026 |
| Veronica Martinez | UBS Financial Services Inc. wirehouse | Cresset Asset Management, LLC independent RIA | Wirehouse to independent RIA | Sep 3, 2026 | Sep 4, 2026 |
| Joann Fontanez | Osaic Advisory Services, LLC BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 3, 2026 | Sep 3, 2026 |
| Christine S Sloboth | UBS Financial Services Inc. wirehouse | Cresset Asset Management, LLC independent RIA | Wirehouse to independent RIA | Sep 3, 2026 | Aug 26, 2026 |
| David Howard Knight | Stonepath Wealth Management independent RIA | Signature Equity Partners, LLC independent RIA | RIA to RIA | Sep 3, 2026 | Sep 1, 2026 |
| Gregory Carl Drozdow | Las Olas Capital Advisors, LLC mixed wealth | Las Olas Capital Wealth LLC no RAUM | RIA to a newly registered adviser | Sep 3, 2026 | Jul 23, 2026 |
| Chiraag Kirpalani | Stratos Wealth Partners, Ltd BD affiliated | Twenty Four Wealth no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Sep 3, 2026 | Aug 31, 2026 |
| Claudia Elizabeth De La Rosa | Osaic Advisory Services, LLC BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 3, 2026 | Sep 17, 2024 |
| Christopher Zapata | Stratos Wealth Partners, Ltd BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 3, 2026 | Sep 10, 2025 |
| Charles Austin Carazo | Spire Wealth Management, LLC BD affiliated | Carazo Wealth Management no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Sep 3, 2026 | Sep 4, 2026 |
| Kennah G Parham | Innovative Wealth Building LLC independent RIA | Private Advisor Group, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Sep 3, 2026 | Sep 15, 2026 |
| Thomas Henry Gallardo | Osaic Advisory Services, LLC BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 3, 2026 | Sep 17, 2024 |
| John Paetsch | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Ameriprise Financial Services, LLC national BD | Wirehouse to affiliated broker-dealer or bank | Sep 3, 2026 | Aug 21, 2026 |
| Ryan James Hunter | Stratos Wealth Partners, Ltd BD affiliated | Twenty Four Wealth no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Sep 3, 2026 | Aug 31, 2026 |
| Steven Richard Cottillion | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Wells Fargo Advisors wirehouse | Wirehouse to wirehouse | Sep 3, 2026 | Sep 2, 2026 |
| Richard J Bettger | Moneta Group Investment Advisors, LLC independent RIA | Edward Jones national BD | RIA to affiliated broker-dealer or bank | Sep 3, 2026 | Sep 8, 2026 |
| Richard Dustin Sloss | Edward Jones national BD | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Sep 3, 2026 | Aug 6, 2026 |
| William Carroll Vaughan | Corient independent RIA | Ritholtz Wealth Management independent RIA | RIA to RIA | Sep 3, 2026 | Sep 3, 2026 |
| Joseph Robert Viger | Stratos Wealth Partners, Ltd BD affiliated | Twenty Four Wealth no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Sep 3, 2026 | Aug 31, 2026 |
| Jeffrey French Foose | Edward Jones national BD | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Sep 3, 2026 | Sep 1, 2026 |
| Kinsey Adair Parker | Wells Fargo Advisors wirehouse | Ameriprise Financial Services, LLC national BD | Wirehouse to affiliated broker-dealer or bank | Sep 3, 2026 | Sep 14, 2026 |
| Xavier Alexander Brown | J. W. Cole Advisors, Inc. BD affiliated | Chicago Investment Advisory Council, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 3, 2026 | Aug 26, 2026 |
| Maria A Bjornson | Stratos Wealth Partners, Ltd BD affiliated | Twenty Four Wealth no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Sep 3, 2026 | Aug 31, 2026 |
| Kurtis Anderson | Cetera Investment Advisers LLC BD affiliated | Pfg Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 3, 2026 | Sep 16, 2026 |
| Maxim Nikolayevich Makhnyk | LPL Financial LLC BD affiliated | Averton Wealth state registered | Affiliated broker-dealer or bank to a state-registered adviser | Sep 3, 2026 | Aug 13, 2026 |
| Amanda Ellen Fitz | Wells Fargo Advisors wirehouse | Edward Jones national BD | Wirehouse to affiliated broker-dealer or bank | Sep 3, 2026 | Aug 17, 2026 |
| John Michael Hatton | UBS Financial Services Inc. wirehouse | Wells Fargo Advisors wirehouse | Wirehouse to wirehouse | Sep 3, 2026 | Sep 1, 2026 |
| Ryan Garrett Helm | Charles Schwab & Co., Inc. national BD | Edward Jones national BD | Affiliated broker-dealer or bank to another | Sep 3, 2026 | Aug 21, 2026 |
| Christian Brett Karras | Raymond James Financial Services Advisors, Inc BD affiliated | The Karras Company, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 3, 2026 | Sep 11, 2026 |
| Ryan Watson | Missionsquare Retirement BD affiliated | Willis Towers Watson Securities, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Sep 3, 2026 | Sep 17, 2026 |
| Hunter Rice | Good Life Advisors, LLC independent RIA | Convergence Financial independent RIA | RIA to RIA | Sep 3, 2026 | Sep 4, 2026 |
| Justin Widomski | Stratos Wealth Partners, Ltd BD affiliated | Twenty Four Wealth no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Sep 3, 2026 | Aug 31, 2026 |
| Michael Timothy Grote | Key Investment Services LLC BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 3, 2026 | Sep 16, 2026 |
| Benjamin Mitchell Brown | Charles Schwab & Co., Inc. national BD | Calton & Associates, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 3, 2026 | Aug 25, 2026 |
| Brandon Bergert | Key Investment Services LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 3, 2026 | Aug 27, 2026 |
| Dongfang Pei | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Td Private Client Wealth LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 3, 2026 | Sep 8, 2026 |
| Scott Daniel Graziano | J. W. Cole Advisors, Inc. BD affiliated | Chicago Investment Advisory Council, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 3, 2026 | Aug 28, 2026 |
| Kevin Mark Wheeler | Fifth Third Securities, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 3, 2026 | Sep 2, 2026 |
| Madison Lee | Stratos Wealth Partners, Ltd BD affiliated | Twenty Four Wealth no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Sep 3, 2026 | Aug 31, 2026 |
| Josiah Nicely | Edward Jones national BD | Pnc Wealth Management BD affiliated | Affiliated broker-dealer or bank to another | Sep 3, 2026 | Sep 10, 2026 |
| Thomas Walter Delaney | Lee Danner & Bass Inc independent RIA | Valtrion Capital Management, LLC independent RIA | RIA to RIA | Sep 3, 2026 | Sep 15, 2026 |
| Colin Hopkins | Florida Financial Advisors, LLC BD affiliated | LPL Enterprise, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 3, 2026 | Sep 9, 2026 |
| Ronald Andrew Murad | Wells Fargo Advisors wirehouse | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Wirehouse to wirehouse | Sep 2, 2026 | Aug 20, 2026 |
| Jeffrey Blake Dickerson | Raymond James Financial Services Advisors, Inc BD affiliated | Wealth Enhancement Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 2, 2026 | Sep 1, 2026 |
| Jon Randall Garberg | Stifel, Nicolaus & Company, Incorporated national BD | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Sep 2, 2026 | Aug 26, 2026 |
| Jeanine Marie Gaston | Stifel, Nicolaus & Company, Incorporated national BD | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Sep 2, 2026 | Aug 25, 2026 |
| Richard Aaron Burling | F/M Investments LLC asset manager | F L Putnam Investment Management Co. independent RIA | Other | Sep 2, 2026 | Sep 1, 2026 |
| Ronald Joseph Wagner | Wagner Loftin Investment Services LLC independent RIA | Osaic Wealth, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Sep 2, 2026 | Jul 14, 2026 |
| Rebecca Marie Hellman | Stifel, Nicolaus & Company, Incorporated national BD | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Sep 2, 2026 | Aug 25, 2026 |
| Joel Dennis Vrabel | F/M Investments LLC asset manager | F L Putnam Investment Management Co. independent RIA | Other | Sep 2, 2026 | Sep 1, 2026 |
| Mark Christopher Loftin | Wagner Loftin Investment Services LLC independent RIA | Osaic Wealth, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Sep 2, 2026 | Jul 14, 2026 |
382,967 moves match.