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 Seia
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 |
|---|---|---|---|---|---|
| Alexandra Payne | Creative Planning independent RIA | Seia BD affiliated | RIA to affiliated broker-dealer or bank | Aug 28, 2026 | Aug 31, 2026 |
| Cooper Steven Fitz | Focus Partners Wealth, LLC independent RIA | Seia BD affiliated | RIA to affiliated broker-dealer or bank | Jul 27, 2026 | Jul 28, 2026 |
| Matthew Karlson | Strategic Advisers LLC national BD | Seia BD affiliated | Affiliated broker-dealer or bank to another | Jul 7, 2026 | Jul 29, 2026 |
| Andrew Howard | Beacon Pointe Advisors, LLC independent RIA | Seia BD affiliated | RIA to affiliated broker-dealer or bank | Jul 6, 2026 | Jul 7, 2026 |
| Alexander Theodore Chumas | Composition Wealth, LLC independent RIA | Seia BD affiliated | RIA to affiliated broker-dealer or bank | Jun 24, 2026 | Aug 3, 2026 (40 d) |
| Benjamin Roger Gilmore | J.P. Morgan Securities LLC wirehouse | Seia BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jun 18, 2026 | Jun 22, 2026 |
| Megan Victoria Montes | UBS Financial Services Inc. wirehouse | Seia BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jun 8, 2026 | Jun 23, 2026 |
| Danny Murego | Vanguard Advisers, Inc. BD affiliated | Seia BD affiliated | Affiliated broker-dealer or bank to another | Mar 2, 2026 | Mar 4, 2026 |
| Craig Pierce | First Trust Advisors LP asset manager | Seia BD affiliated | Other | Feb 2, 2026 | Feb 2, 2026 |
| Eric Zachary Rosen | Signature Intelligent Portfolios, LLC independent RIA | Seia BD affiliated | RIA to affiliated broker-dealer or bank | Dec 31, 2025 | Jan 8, 2026 |
| Edgar Haroutunian | Tcw Investment Management Company LLC asset manager | Seia BD affiliated | Other | Dec 15, 2025 | Dec 10, 2025 |
| Heather Brinker | LPL Enterprise, LLC BD affiliated | Seia BD affiliated | Affiliated broker-dealer or bank to another | Dec 12, 2025 | Nov 5, 2025 |
| Jason Teich | Lido independent RIA | Seia BD affiliated | RIA to affiliated broker-dealer or bank | Oct 17, 2025 | Oct 14, 2025 |
| Alexander Theodore Chumas | UBS Financial Services Inc. wirehouse | Seia BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 16, 2025 | Sep 10, 2025 |
| Rael Rubin | Northrock Partners, LLC independent RIA | Seia BD affiliated | RIA to affiliated broker-dealer or bank | Aug 28, 2025 | Oct 1, 2025 (34 d) |
| Rodelyn Andres Kupfersmid | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Seia BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 14, 2025 | Jul 7, 2025 |
| Bradley Repinsky | Strategic Advisers LLC national BD | Seia BD affiliated | Affiliated broker-dealer or bank to another | Jul 8, 2025 | Jun 26, 2025 |
| Matthew Austin Keller | Steelpeak Wealth, LLC independent RIA | Seia BD affiliated | RIA to affiliated broker-dealer or bank | Jun 17, 2025 | Jan 2, 2026 (199 d) |
| Matthew Lincoln Mogush | Western International Securities BD affiliated | Seia BD affiliated | Affiliated broker-dealer or bank to another | Jun 12, 2025 | Jul 3, 2025 |
| Victoria Marie Murphy | Steelpeak Wealth, LLC independent RIA | Seia BD affiliated | RIA to affiliated broker-dealer or bank | Jun 4, 2025 | Sep 24, 2025 (112 d) |
| Jacob Cooper | UBS Financial Services Inc. wirehouse | Seia BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 8, 2025 | Apr 1, 2025 |
| Michael Hu | Mariner Independent independent RIA | Seia BD affiliated | RIA to affiliated broker-dealer or bank | Feb 7, 2025 | May 5, 2026 (452 d) |
| Christopher Hopkins | Fidelity Personal And Workplace Advisors BD affiliated | Seia BD affiliated | Affiliated broker-dealer or bank to another | Jan 27, 2025 | Aug 13, 2025 (198 d) |
| Daniel Gregory Nigito | Cedar Brook Group independent RIA | Seia BD affiliated | RIA to affiliated broker-dealer or bank | Dec 19, 2024 | Jun 14, 2024 |
| Matthew David Outcalt | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Seia BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 31, 2024 | Jan 29, 2026 (455 d) |
| Kade James Orsburn | Solutions 4 Wealth independent RIA | Seia BD affiliated | RIA to affiliated broker-dealer or bank | Sep 13, 2024 | Sep 17, 2024 |
| Samuel David Orr | Truist Advisory Services, Inc. BD affiliated | Seia BD affiliated | Affiliated broker-dealer or bank to another | Sep 12, 2024 | Sep 17, 2024 |
| Jami Merrell | Fidelity Personal And Workplace Advisors BD affiliated | Seia BD affiliated | Affiliated broker-dealer or bank to another | Jul 30, 2024 | Aug 5, 2024 |
| David Weikert | Cedar Brook Group independent RIA | Seia BD affiliated | RIA to affiliated broker-dealer or bank | Jul 1, 2024 | Jun 18, 2024 |
| Adam Meidenbauer | Cedar Brook Group independent RIA | Seia BD affiliated | RIA to affiliated broker-dealer or bank | Jul 1, 2024 | Jun 25, 2024 |
| Wayne Salsbury | Cedar Brook Group independent RIA | Seia BD affiliated | RIA to affiliated broker-dealer or bank | Jul 1, 2024 | Jun 27, 2024 |
| Brian Morton | Cedar Brook Group independent RIA | Seia BD affiliated | RIA to affiliated broker-dealer or bank | Jul 1, 2024 | Jun 26, 2024 |
| Adam Philipp | Cedar Brook Group independent RIA | Seia BD affiliated | RIA to affiliated broker-dealer or bank | Jul 1, 2024 | Jun 20, 2024 |
| Mordechai Khaimov | Cedar Brook Group independent RIA | Seia BD affiliated | RIA to affiliated broker-dealer or bank | Jul 1, 2024 | Jul 3, 2024 |
| Nicholas Robert Guidos | Cetera Investment Advisers LLC BD affiliated | Seia BD affiliated | Affiliated broker-dealer or bank to another | Jun 25, 2024 | Sep 18, 2025 (450 d) |
| Edward Detomaso | Cadaret Grant & Co Inc BD affiliated | Seia BD affiliated | Affiliated broker-dealer or bank to another | Jun 17, 2024 | Jul 2, 2024 |
| Michael Anthony Dejohn | Cadaret Grant & Co Inc BD affiliated | Seia BD affiliated | Affiliated broker-dealer or bank to another | Jun 17, 2024 | Jun 26, 2024 |
| Jonathan Arntz | Cadaret Grant & Co Inc BD affiliated | Seia BD affiliated | Affiliated broker-dealer or bank to another | Jun 17, 2024 | Jun 24, 2024 |
| David Robertson | Cadaret Grant & Co Inc BD affiliated | Seia BD affiliated | Affiliated broker-dealer or bank to another | Jun 17, 2024 | Jun 20, 2024 |
| Howard Slater | Cadaret Grant & Co Inc BD affiliated | Seia BD affiliated | Affiliated broker-dealer or bank to another | Jun 17, 2024 | Jun 19, 2024 |
| William Glubiak | Cadaret Grant & Co Inc BD affiliated | Seia BD affiliated | Affiliated broker-dealer or bank to another | Jun 17, 2024 | Jun 27, 2024 |
| Mark Munday | Cadaret Grant & Co Inc BD affiliated | Seia BD affiliated | Affiliated broker-dealer or bank to another | Jun 17, 2024 | Jun 20, 2024 |
| Azim Nakhooda | Cadaret Grant & Co Inc BD affiliated | Seia BD affiliated | Affiliated broker-dealer or bank to another | Jun 17, 2024 | Jun 19, 2024 |
| Christine Sivak | Cadaret Grant & Co Inc BD affiliated | Seia BD affiliated | Affiliated broker-dealer or bank to another | Jun 17, 2024 | Jun 20, 2024 |
| Frank Legan | Cadaret Grant & Co Inc BD affiliated | Seia BD affiliated | Affiliated broker-dealer or bank to another | Jun 17, 2024 | Jun 20, 2024 |
| Rebecca Bar-Shain | Cadaret Grant & Co Inc BD affiliated | Seia BD affiliated | Affiliated broker-dealer or bank to another | Jun 17, 2024 | Jun 24, 2024 |
| Bradley S Hammerman | Core Financial independent RIA | Seia BD affiliated | RIA to affiliated broker-dealer or bank | May 20, 2024 | Apr 22, 2024 |
| Aaron Jett | MML Investors Services, LLC BD affiliated | Seia BD affiliated | Affiliated broker-dealer or bank to another | Apr 19, 2024 | May 2, 2024 |
| Corey Goldstein | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Seia BD affiliated | Wirehouse to affiliated broker-dealer or bank | Mar 6, 2024 | Mar 20, 2024 |
| Christine Walker Matthew | United Capital Financial Advisors independent RIA | Seia BD affiliated | RIA to affiliated broker-dealer or bank | Dec 22, 2023 | Nov 6, 2023 |
| Leland Cameron King | UBS Financial Services Inc. wirehouse | Seia BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 16, 2023 | Nov 6, 2023 |
| Jonathan Nicolas | Osaic Wealth, Inc. BD affiliated | Seia BD affiliated | Affiliated broker-dealer or bank to another | Oct 3, 2023 | Jan 1, 2025 (456 d) |
| Faye Sylvia Lawrence | Osaic Wealth, Inc. BD affiliated | Seia independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 23, 2023 | Mar 29, 2022 |
| Drew Michael Kubicki | Charles Schwab & Co., Inc. national BD | Seia BD affiliated | Affiliated broker-dealer or bank to another | Jul 26, 2023 | Aug 29, 2023 (34 d) |
| Daniel Spencer Pereira | Wms Partners, LLC independent RIA | Seia BD affiliated | RIA to affiliated broker-dealer or bank | Apr 24, 2023 | Aug 22, 2023 (120 d) |
| Lisa Marie Windsor | Osaic Wealth, Inc. BD affiliated | Seia BD affiliated | Affiliated broker-dealer or bank to another | Mar 30, 2023 | Feb 13, 2023 |
| Nicholas David Dalessandro | Equitable Advisors, LLC national BD | Seia BD affiliated | Affiliated broker-dealer or bank to another | Dec 14, 2022 | Dec 7, 2022 |
| Phillip D Argue | Steelpeak Wealth, LLC independent RIA | Seia BD affiliated | RIA to affiliated broker-dealer or bank | Jun 10, 2022 | Jan 2, 2026 (1302 d) |
| Samantha K Driver | Charles Schwab & Co., Inc. national BD | Seia independent RIA | Affiliated broker-dealer or bank to independent RIA | May 5, 2022 | Apr 19, 2022 |
| Chelsea Augusta Traub | RBC Capital Markets, LLC national BD | Seia independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 2, 2021 | Nov 29, 2021 |
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120 moves match.