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 U.S. Financial Advisors

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
Anne Nicole Gouthro	Strategic Advisers LLC national BD	U.S. Financial Advisors independent RIA	Affiliated broker-dealer or bank to independent RIA	Apr 8, 2025	Apr 14, 2025
Gery Joseph Sadzewicz	Premise Capital, LLC no RAUM	U.S. Financial Advisors other	Other	May 31, 2023	Jan 25, 2013
Robert Christopher Napolitano	LPL Financial LLC BD affiliated	U.S. Financial Advisors independent RIA	Affiliated broker-dealer or bank to independent RIA	Oct 6, 2020	Sep 24, 2018
Adam J Dani	Pfe Advisors, Inc. institutional	U.S. Financial Advisors independent RIA	Other	Mar 5, 2019	Apr 28, 2022 (1150 d)
Edward William Quirk	Citizens Securities, Inc. other	U.S. Financial Advisors other	Other	Oct 16, 2015	Oct 19, 2015
Jeffrey Marc Alexander	Citizens Securities, Inc. other	U.S. Financial Advisors other	Other	Jul 9, 2015	Jul 13, 2015
Annette Marie Crowley	Citizens Securities, Inc. other	U.S. Financial Advisors other	Other	Apr 14, 2015	Apr 14, 2015
Scott Martin Tonkovich	Cetera Advisor Networks LLC other	U.S. Financial Advisors other	Other	Nov 18, 2014	Nov 18, 2014
J. Hunter Hart	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	U.S. Financial Advisors other	Other	Jun 3, 2014	Jun 13, 2014
Edward Anthony Bails	Commonwealth Financial Network national BD	U.S. Financial Advisors other	Other	Feb 24, 2014	Mar 10, 2014
Robert Douglas Crawford	Cta Wealth Advisors, Inc. independent RIA	U.S. Financial Advisors other	Other	Sep 27, 2013	Sep 20, 2013
Marc Scott Schliefer	Osaic Fs, Inc. other	U.S. Financial Advisors other	Other	May 17, 2013	May 3, 2013
Amanda Rae Plonski	Osaic Fs, Inc. other	U.S. Financial Advisors other	Other	May 14, 2013	May 3, 2013
Benjamin Neil Haas	Ameriprise Financial Services, LLC national BD	U.S. Financial Advisors other	Other	May 3, 2013	Apr 25, 2013
Daniel Lee Seltzer	LPL Financial LLC other	U.S. Financial Advisors other	Other	Mar 27, 2013	Jan 20, 2012
Brian J Gaffney	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	U.S. Financial Advisors other	Other	Mar 5, 2012	Mar 7, 2012
Rebecca J Gill	Intrepid Financial Planning Group, LLC other	U.S. Financial Advisors other	Other	Dec 31, 2011	Dec 19, 2011
Lise Marie Robinson	Wells Fargo Advisors wirehouse	U.S. Financial Advisors other	Other	May 10, 2010	May 10, 2010
Ira Austin Candib	Osaic Fs, Inc. other	U.S. Financial Advisors other	Other	Apr 23, 2010	Apr 28, 2010
Alexander Gregory Weiss	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	U.S. Financial Advisors other	Other	Mar 2, 2010	Apr 5, 2010 (34 d)
Michael Lee Jones	LPL Financial LLC other	U.S. Financial Advisors other	Other	Jun 9, 2009	Jun 15, 2009
Randall Leo Franklin	Raymond James Financial Services, Inc. unclassified	U.S. Financial Advisors other	Other	Nov 24, 2008	Nov 21, 2008
Douglas P. Duerr	Equitable Advisors, LLC national BD	U.S. Financial Advisors other	Other	Sep 17, 2008	Sep 12, 2008
Daniel Thomas Scalzi	Matrix Investment Research LLC unclassified	U.S. Financial Advisors other	Other	Sep 12, 2008	Jul 1, 2008
Robert Michael Burkarth	Householder Group, Estate & Retirement Specialists unclassified	U.S. Financial Advisors other	Other	Jul 3, 2008	Jul 2, 2008
Douglas Landman Wolfe	Saddle River Capital Management, LLC state registered	U.S. Financial Advisors other	Other	Apr 21, 2008	Mar 11, 2009 (324 d)
Laurie Ann Bachelder	Capital Market Solutions, LLC unclassified	U.S. Financial Advisors other	Other	Dec 31, 2007	Sep 13, 2007
Michael Evan Berkley	Signator Investors, Inc. other	U.S. Financial Advisors other	Other	Apr 3, 2006	Apr 20, 2007 (382 d)
Timothy J. Herlihy	The Herlihy Company, Inc. unclassified	U.S. Financial Advisors other	Other	Dec 15, 2004	Feb 17, 2005 (64 d)
Mark Paul Gomes	LPL Financial LLC other	U.S. Financial Advisors other	Other	Jul 16, 2004	May 19, 2005 (307 d)
Timothy George Vanech	Morgan Stanley Dw Inc. unclassified	U.S. Financial Advisors other	Other	May 16, 2003	May 29, 2003

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31 moves match.