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 Morningstar Investment Services LLC

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
Jeff RichertMorgan Stanley wirehouseMorningstar Investment Services LLC independent RIAWirehouse to independent RIAJun 25, 2024Oct 3, 2024 (100 d)
Bradley Michael CohenPutnam Investment Management, LLC asset managerMorningstar Investment Services LLC independent RIAOtherJan 17, 2024Nov 8, 2024 (296 d)
Madeline Elizabeth RappDimensional Fund Advisors LP asset managerMorningstar Investment Services LLC independent RIAOtherSep 20, 2023May 1, 2024 (224 d)
Jacob Harry PeiserRappaport Reiches Capital Management, independent RIAMorningstar Investment Services LLC independent RIARIA to RIAJul 5, 2023Jun 2, 2023
Robert David MizaurEnvestnet Retirement Solutions, LLC institutionalMorningstar Investment Services LLC independent RIAOtherMar 8, 2023Nov 7, 2023 (244 d)
Rebecca Lynn BennettFirst Trust Advisors LP asset managerMorningstar Investment Services LLC independent RIAOtherOct 25, 2022May 25, 2023 (212 d)
Timothy John BottomlyOrion Portfolio Solutions, LLC independent RIAMorningstar Investment Services LLC independent RIARIA to RIASep 1, 2022May 29, 2024 (636 d)
Kenneth Lavon ChambersOrion Portfolio Solutions, LLC independent RIAMorningstar Investment Services LLC independent RIARIA to RIASep 1, 2022Dec 6, 2023 (461 d)
Thomas Mccarthy ObrienAstor Investment Management LLC mixed wealthMorningstar Investment Services LLC independent RIARIA to RIAJun 13, 2022Jan 9, 2024 (575 d)
Ryan Michael WalkerJanney Montgomery Scott LLC BD affiliatedMorningstar Investment Services LLC independent RIAAffiliated broker-dealer or bank to independent RIAJun 13, 2022Aug 7, 2023 (420 d)
Patrick Edward NewmanFifth Third Securities, Inc. BD affiliatedMorningstar Investment Services LLC independent RIAAffiliated broker-dealer or bank to independent RIAMar 16, 2022Jul 19, 2022 (125 d)
Risa L LamontagneSanctuary Advisors, LLC BD affiliatedMorningstar Investment Services LLC independent RIAAffiliated broker-dealer or bank to independent RIAMar 11, 2022Jan 24, 2023 (319 d)
Christopher Edward FitzgeraldNuveen Asset Management, LLC otherMorningstar Investment Services LLC independent RIAOtherOct 1, 2021Jun 16, 2023 (623 d)
Daniel Jiyong KimMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseMorningstar Investment Services LLC independent RIAWirehouse to independent RIAMar 5, 2021Aug 12, 2021 (160 d)
Brett Jerome GreenspanFidelity Personal And Workplace Advisors BD affiliatedMorningstar Investment Services LLC independent RIAAffiliated broker-dealer or bank to independent RIAApr 17, 2020Jun 22, 2020 (66 d)
Kara Irene BrosioCuri Capital, LLC independent RIAMorningstar Investment Services LLC independent RIARIA to RIAApr 15, 2020Oct 12, 2020 (180 d)
Maxwell Bauer BromleyTd Ameritrade Investment Management, LLC independent RIAMorningstar Investment Services LLC independent RIARIA to RIAApr 7, 2020Jun 22, 2020 (76 d)
Sara Elizabeth BuffingtonPrincipal Securities, Inc. BD affiliatedMorningstar Investment Services LLC independent RIAAffiliated broker-dealer or bank to independent RIAAug 15, 2019Dec 9, 2019 (116 d)
Anita KharwadkarInvesco Advisers, Inc. asset managerMorningstar Investment Services LLC independent RIAOtherMay 28, 2019Jul 10, 2019 (43 d)
Jeffrey Nicholas GuzziMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseMorningstar Investment Services LLC independent RIAWirehouse to independent RIAMay 1, 2019Mar 17, 2021 (686 d)
Robert Patrick OlsonNuveen Asset Management, LLC mixed wealthMorningstar Investment Services LLC independent RIARIA to RIAApr 26, 2019Feb 9, 2021 (655 d)
Nathaniel Jermaine PooleCwm, LLC independent RIAMorningstar Investment Services LLC independent RIARIA to RIAApr 27, 2018Aug 14, 2018 (109 d)
Nicholas J StreitScottrade Investment Management BD affiliatedMorningstar Investment Services LLC independent RIAAffiliated broker-dealer or bank to independent RIAMar 9, 2018Jul 10, 2019 (488 d)
Justin Todd GoldmanSei Investments Management Corp otherMorningstar Investment Services LLC independent RIAOtherFeb 27, 2018Jun 13, 2018 (106 d)
Brett Jerome GreenspanMorgan Stanley wirehouseMorningstar Investment Services LLC otherOtherJun 21, 2016Jul 20, 2016
Aaron BalchMsi Financial Services, Inc. otherMorningstar Investment Services LLC otherOtherFeb 18, 2014Nov 6, 2015 (626 d)
Sara Frances Kasun-FretzSpc otherMorningstar Investment Services LLC otherOtherOct 10, 2013Dec 11, 2013 (62 d)
Christopher G JacobsTrustee Empowerment & Protection, Inc. otherMorningstar Investment Services LLC otherOtherApr 22, 2013Apr 30, 2013
Andrew Charles JusticeMorningstar Investment Management LLC otherMorningstar Investment Services LLC otherOtherJan 2, 2013Feb 27, 2013 (56 d)
Bradford Peter MurphyEaton Vance Management otherMorningstar Investment Services LLC otherOtherJan 6, 2010Jan 11, 2010
Michael Mark ReevesOld Mutual Capital otherMorningstar Investment Services LLC otherOtherMay 23, 2008Jun 6, 2008
Eric Michael KellarManulife Investment Management (US) LLC otherMorningstar Investment Services LLC otherOtherOct 8, 2003Feb 2, 2004 (117 d)
Aaron Brent PetersonOrion Portfolio Solutions, LLC otherMorningstar Investment Services LLC otherOtherNov 7, 2002Oct 13, 2003 (340 d)
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33 moves match.