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 Lnw

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
Christopher John CertoLake Street Advisors independent RIALnw independent RIARIA to RIAApr 5, 2024May 9, 2024 (34 d)
David Joseph HillLegacy Advisors, LLC independent RIALnw independent RIARIA to RIADec 20, 2023Aug 9, 2022
Carla Lisseth AvendanoEmpirical Wealth Management independent RIALnw independent RIARIA to RIASep 20, 2023Sep 22, 2023
Sean Alexander HummelHummel Planning, LLC unclassifiedLnw independent RIAOtherMar 28, 2023Apr 7, 2023
Rebecca MilesHighland Private Wealth Management independent RIALnw independent RIARIA to RIAOct 25, 2022Oct 13, 2022
Benjamin Thomas AndrewBrighton Jones LLC independent RIALnw independent RIARIA to RIASep 7, 2022Sep 19, 2022
Lauren Paige MartinWealthspire Advisors independent RIALnw independent RIARIA to RIAFeb 1, 2022Feb 3, 2022
Cassandra Grace BrownHighland Private Wealth Management independent RIALnw independent RIARIA to RIADec 20, 2021Mar 3, 2022 (73 d)
Richard McdonaldAmeriprise Financial Services, LLC national BDLnw independent RIAAffiliated broker-dealer or bank to independent RIASep 1, 2021Oct 4, 2021 (33 d)
Maria Sabina SiwekFreestone Capital Management, LLC independent RIALnw independent RIARIA to RIAAug 4, 2021Sep 1, 2021
Jerry Thomas PetersFilament, LLC independent RIALnw independent RIARIA to RIADec 14, 2020Dec 4, 2020
Teresa Lynn LamarFilament, LLC independent RIALnw independent RIARIA to RIADec 14, 2020Dec 4, 2020
Scott R. ButterfieldFilament, LLC independent RIALnw independent RIARIA to RIADec 14, 2020Dec 4, 2020
Stephen John GoodwinFilament, LLC independent RIALnw independent RIARIA to RIADec 14, 2020Dec 4, 2020
James Earl MahoneyFilament, LLC independent RIALnw independent RIARIA to RIADec 14, 2020Dec 4, 2020
Brian Ray JohnsonFilament, LLC independent RIALnw independent RIARIA to RIADec 14, 2020Dec 4, 2020
Lin GongFilament, LLC independent RIALnw independent RIARIA to RIADec 14, 2020Dec 4, 2020
Joseph Norman LevesqueFilament, LLC independent RIALnw independent RIARIA to RIADec 14, 2020Dec 4, 2020
Cody Allen ReavesWells Fargo Advisors wirehouseLnw independent RIAWirehouse to independent RIANov 25, 2019Nov 22, 2019
Matthew Thomas ArgyropoulosMorgan Stanley wirehouseLnw independent RIAWirehouse to independent RIAMar 5, 2018Mar 28, 2018
Kari Alison FrinkJordahl & Sliter Wealth Management Group, LLC otherLnw independent RIAOtherJan 9, 2018Aug 1, 2019 (569 d)
Kate Mcchesney DonnellyThreshold Group, LLC otherLnw independent RIAOtherDec 31, 2017Sep 23, 2021 (1362 d)
Kristen Powers BauerThreshold Group, LLC otherLnw independent RIAOtherDec 31, 2017Jun 8, 2020 (890 d)
Nathaniel Sibley BarnardLeader Capital Corp. otherLnw independent RIAOtherJan 12, 2016Apr 30, 2018 (839 d)
Jonas Lincoln MeansColdstream Wealth Management otherLnw otherOtherJan 30, 2015Feb 9, 2015
Paul Andrew HendersonParacle Advisors LLC otherLnw otherOtherAug 13, 2014Oct 16, 2014 (64 d)
Matthew Curtis LitzlerMariner Wealth Advisors otherLnw otherOtherJul 26, 2012Jan 30, 2014 (553 d)
Heather Kristin SteinerMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseLnw otherOtherJun 12, 2012Jun 28, 2012
Jeffrey Norman PowellReliance Wealth Management LLC unclassifiedLnw otherOtherMay 30, 2012Jun 28, 2012
Timothy Joseph MeliaRamsey & Associates Inc otherLnw otherOtherJun 5, 2008Aug 19, 2008 (75 d)
Ronald Gerard AlbaharySei Investments Management Corp otherLnw independent RIAOtherMay 23, 2008Jul 13, 2021 (4799 d)
Adelaide Leslie GrimmAmeriprise Financial Services, LLC national BDLnw otherOtherMay 22, 2008Aug 27, 2008 (97 d)
Matt EnglizianOsaic Fa, Inc. otherLnw otherOtherAug 7, 2007Mar 3, 2008 (209 d)
David Charles BakerHornor, Townsend & Kent, LLC otherLnw otherOtherFeb 15, 2006Mar 3, 2008 (747 d)
Brian Lyle WhitakerAllison Spielman Advisors, LLC otherLnw otherOtherMar 28, 2005Mar 28, 2005
Kate Mcchesney DonnellyR & R Retirement Services, Inc state registeredLnw otherOtherApr 11, 2003Jan 9, 2009 (2100 d)
Bryan Milloy KnutsonMorgan Stanley Dw Inc. unclassifiedLnw otherOtherJun 7, 2002Dec 3, 2008 (2371 d)
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37 moves match.