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 Spc
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 |
|---|---|---|---|---|---|
| Christopher William Martinez | Park Avenue Securities LLC BD affiliated | Spc BD affiliated | Affiliated broker-dealer or bank to another | Aug 13, 2026 | Aug 10, 2026 |
| Biju Suseelan | LPL Financial LLC BD affiliated | Spc BD affiliated | Affiliated broker-dealer or bank to another | Jul 31, 2026 | Aug 17, 2026 |
| Jordan Lloyd Alma Prestwich | Strategic Advisers LLC national BD | Spc BD affiliated | Affiliated broker-dealer or bank to another | Jun 12, 2026 | Jun 12, 2026 |
| James Harvey Berry | Tlg Advisors, Inc. BD affiliated | Spc BD affiliated | Affiliated broker-dealer or bank to another | May 11, 2026 | May 8, 2026 |
| Sarah Ann Terrell | Westminster Financial Advisory Corp independent RIA | Spc BD affiliated | RIA to affiliated broker-dealer or bank | Apr 27, 2026 | Jun 8, 2026 (42 d) |
| Thomas Edward Brussard | World Investment Advisors, LLC other | Spc BD affiliated | Other | Apr 7, 2026 | Apr 10, 2026 |
| Shannon John Stoeffler | Ameriprise Financial Services, LLC national BD | Spc BD affiliated | Affiliated broker-dealer or bank to another | Mar 27, 2026 | Mar 24, 2026 |
| Lynette Kontkanen | Edward Jones national BD | Spc BD affiliated | Affiliated broker-dealer or bank to another | Mar 9, 2026 | Mar 6, 2026 |
| Forest Busby | Raymond James Financial Services Advisors, Inc BD affiliated | Spc BD affiliated | Affiliated broker-dealer or bank to another | Mar 4, 2026 | Mar 2, 2026 |
| Etty M Surkis | Eagle Strategies LLC BD affiliated | Spc BD affiliated | Affiliated broker-dealer or bank to another | Feb 18, 2026 | Jul 21, 2026 (153 d) |
| Julian Martinez | Primerica Advisors national BD | Spc BD affiliated | Affiliated broker-dealer or bank to another | Feb 12, 2026 | Jan 23, 2026 |
| Donald Allison | Esi Financial Advisors independent RIA | Spc BD affiliated | RIA to affiliated broker-dealer or bank | Feb 11, 2026 | Mar 2, 2026 |
| Michael Ashley Caslin | Blueprint Financial Advisors independent RIA | Spc BD affiliated | RIA to affiliated broker-dealer or bank | Jan 15, 2026 | Feb 3, 2026 |
| Nicholas Taylor Doerr | Money Concepts Advisory Service BD affiliated | Spc BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2025 | Jan 2, 2026 |
| Wei Hui | Edward Jones national BD | Spc BD affiliated | Affiliated broker-dealer or bank to another | Dec 6, 2025 | Dec 26, 2025 |
| Brittany Ester-Noelle Pridgeon | Osaic Wealth, Inc. BD affiliated | Spc BD affiliated | Affiliated broker-dealer or bank to another | Oct 31, 2025 | Nov 5, 2025 |
| Diego De Los Santos | LPL Financial LLC BD affiliated | Spc BD affiliated | Affiliated broker-dealer or bank to another | Sep 26, 2025 | Sep 24, 2025 |
| Brian Engle | Cetera Investment Advisers LLC BD affiliated | Spc BD affiliated | Affiliated broker-dealer or bank to another | Sep 8, 2025 | Sep 3, 2025 |
| Robert Deane Lenertz | State Farm Investment Management Corp. asset manager | Spc BD affiliated | Other | Aug 21, 2025 | Jul 20, 2026 (333 d) |
| Christopher Winson Judge | Commonwealth Financial Network national BD | Spc BD affiliated | Affiliated broker-dealer or bank to another | Aug 19, 2025 | Aug 19, 2025 |
| William James Gillett | Commonwealth Financial Network national BD | Spc BD affiliated | Affiliated broker-dealer or bank to another | Aug 18, 2025 | Aug 18, 2025 |
| Amy Elizabeth Knox | Osaic Wealth, Inc. BD affiliated | Spc BD affiliated | Affiliated broker-dealer or bank to another | Aug 15, 2025 | Aug 13, 2025 |
| Kristopher Lee Jerke | Just Wealth Management, LLC unclassified | Spc BD affiliated | Other | Jul 31, 2025 | Aug 14, 2025 |
| Lori Lynne Rothenberger | Just Wealth Management, LLC unclassified | Spc BD affiliated | Other | Jul 31, 2025 | Aug 19, 2025 |
| Morgan Wright Haeberlin | Grove Point Advisors, LLC BD affiliated | Spc BD affiliated | Affiliated broker-dealer or bank to another | Jul 7, 2025 | Dec 18, 2025 (164 d) |
| Jennifer Renee Bachino | Frost Investment Services BD affiliated | Spc BD affiliated | Affiliated broker-dealer or bank to another | Jun 30, 2025 | Sep 3, 2025 (65 d) |
| Adam Charles Peak | Foguth Wealth Management, LLC. independent RIA | Spc BD affiliated | RIA to affiliated broker-dealer or bank | Jun 9, 2025 | Jun 6, 2025 |
| Jay Anthony Riggs | Riggs Capital Management, LLC independent RIA | Spc other | Other | May 30, 2025 | Jan 27, 2004 |
| Beth Lynette Anderson | Concourse Financial Group Advisors BD affiliated | Spc BD affiliated | Affiliated broker-dealer or bank to another | Feb 21, 2025 | Apr 7, 2025 (45 d) |
| Alan Aaron Eisenstein | Ic Advisory Services, Inc. BD affiliated | Spc BD affiliated | Affiliated broker-dealer or bank to another | Jan 29, 2025 | Jan 27, 2025 |
| Clark Silverstein | Ic Advisory Services, Inc. BD affiliated | Spc BD affiliated | Affiliated broker-dealer or bank to another | Jan 29, 2025 | Jan 27, 2025 |
| Debra Goodstein | Ic Advisory Services, Inc. BD affiliated | Spc BD affiliated | Affiliated broker-dealer or bank to another | Jan 29, 2025 | Jan 27, 2025 |
| Benjamin Menachem Brenner | Ic Advisory Services, Inc. BD affiliated | Spc BD affiliated | Affiliated broker-dealer or bank to another | Jan 29, 2025 | Jan 27, 2025 |
| Cameron James Leonard | Equitable Advisors, LLC national BD | Spc BD affiliated | Affiliated broker-dealer or bank to another | Jan 14, 2025 | Feb 3, 2025 |
| Eric Michael Boddy | Osaic Fa, Inc. BD affiliated | Spc BD affiliated | Affiliated broker-dealer or bank to another | Jan 2, 2025 | Mar 28, 2025 (85 d) |
| Thomas W Repaskey | Cardinal Financial Consultants, LLC state registered | Spc BD affiliated | Other | Dec 31, 2024 | Sep 3, 2024 |
| Mark Robert Rush | Ameriprise Financial Services, LLC national BD | Spc BD affiliated | Affiliated broker-dealer or bank to another | Nov 8, 2024 | Oct 13, 2025 (339 d) |
| Patrick M Howell | Eagle Strategies LLC BD affiliated | Spc BD affiliated | Affiliated broker-dealer or bank to another | Oct 31, 2024 | May 28, 2025 (209 d) |
| Lincoln A Geltz | Cadaret Grant & Co Inc BD affiliated | Spc BD affiliated | Affiliated broker-dealer or bank to another | Oct 21, 2024 | Oct 18, 2024 |
| Adrienne Marie Alvarez | LPL Financial LLC BD affiliated | Spc BD affiliated | Affiliated broker-dealer or bank to another | Oct 15, 2024 | Nov 13, 2024 |
| Gavin Andrew Tolan | Scf Investment Advisors, Inc. BD affiliated | Spc BD affiliated | Affiliated broker-dealer or bank to another | Oct 9, 2024 | Oct 10, 2024 |
| Donald D Dalton | Scf Investment Advisors, Inc. BD affiliated | Spc BD affiliated | Affiliated broker-dealer or bank to another | Oct 2, 2024 | Nov 19, 2024 (48 d) |
| Fred M Surganty | Charles Schwab & Co., Inc. national BD | Spc BD affiliated | Affiliated broker-dealer or bank to another | Sep 19, 2024 | Sep 9, 2024 |
| David George Antalick | Cetera Investment Advisers LLC BD affiliated | Spc BD affiliated | Affiliated broker-dealer or bank to another | Sep 5, 2024 | Sep 3, 2024 |
| Brian Dennis Darling | Citizens Securities, Inc. BD affiliated | Spc BD affiliated | Affiliated broker-dealer or bank to another | Aug 5, 2024 | Jul 19, 2024 |
| Belinda Duran | Western International Securities BD affiliated | Spc BD affiliated | Affiliated broker-dealer or bank to another | Jun 26, 2024 | Jun 17, 2024 |
| Thomas G. Gervase | Grove Point Advisors, LLC BD affiliated | Spc BD affiliated | Affiliated broker-dealer or bank to another | Jun 18, 2024 | Jun 19, 2024 |
| Ramona Gayle Rechtin | Fidelity Personal And Workplace Advisors BD affiliated | Spc BD affiliated | Affiliated broker-dealer or bank to another | Jun 6, 2024 | Oct 1, 2024 (117 d) |
| Carlos Dardon | Wells Fargo Advisors wirehouse | Spc BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 25, 2024 | Apr 23, 2024 |
| Dustin Robert Insley | Edward Jones national BD | Spc BD affiliated | Affiliated broker-dealer or bank to another | Apr 16, 2024 | Apr 2, 2024 |
| Cyle Marie Gillman | Huntington Financial Advisors BD affiliated | Spc BD affiliated | Affiliated broker-dealer or bank to another | Apr 16, 2024 | Jan 14, 2026 (638 d) |
| Shannon Dawn Olson | Thrivent Investment Management Inc. BD affiliated | Spc BD affiliated | Affiliated broker-dealer or bank to another | Mar 1, 2024 | Feb 29, 2024 |
| Theodore Rex Drabing | Sapphire Blue Investment Partners independent RIA | Spc BD affiliated | RIA to affiliated broker-dealer or bank | Feb 13, 2024 | Jul 22, 2024 (160 d) |
| Carl Albert Canga | Ameriprise Financial Services, LLC national BD | Spc BD affiliated | Affiliated broker-dealer or bank to another | Nov 10, 2023 | Nov 3, 2023 |
| Jennifer Jill Vargas | Commonwealth Financial Network national BD | Spc BD affiliated | Affiliated broker-dealer or bank to another | Nov 2, 2023 | Nov 1, 2023 |
| Dale John Driggs | LPL Financial LLC BD affiliated | Spc BD affiliated | Affiliated broker-dealer or bank to another | Oct 13, 2023 | Oct 17, 2023 |
| Walter Paul Shoczolek | Avantax Advisory Services BD affiliated | Spc BD affiliated | Affiliated broker-dealer or bank to another | Oct 2, 2023 | Sep 20, 2023 |
| David Michael Davis | Osaic Institutions, Inc. BD affiliated | Spc BD affiliated | Affiliated broker-dealer or bank to another | May 30, 2023 | May 30, 2023 |
| Erick Primero | Fifth Third Securities, Inc. BD affiliated | Spc BD affiliated | Affiliated broker-dealer or bank to another | Apr 21, 2023 | Apr 13, 2023 |
| Eric Montgomery | LPL Financial LLC BD affiliated | Spc BD affiliated | Affiliated broker-dealer or bank to another | Apr 12, 2023 | Apr 5, 2023 |
Page 1 of 11Next
641 moves match.