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 Sheaff Brock Investment Advisors, 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
Lisa Michelle ReddickJ.P. Morgan Securities LLC wirehouseSheaff Brock Investment Advisors, LLC independent RIAWirehouse to independent RIADec 19, 2024Jan 19, 2025 (31 d)
Samantha PezzuteSalzinger Sheaff Brock, LLC independent RIASheaff Brock Investment Advisors, LLC independent RIARIA to RIAOct 31, 2024Nov 29, 2023
Matthew John Robert PotterSchwab Wealth Advisory, Inc. no RAUMSheaff Brock Investment Advisors, LLC independent RIAOtherJun 11, 2024Jun 6, 2024
Emily BegemanSchwab Wealth Advisory, Inc. no RAUMSheaff Brock Investment Advisors, LLC independent RIAOtherMay 14, 2024May 7, 2024
Peter Gorman BjelopetrovichSalzinger Sheaff Brock, LLC independent RIASheaff Brock Investment Advisors, LLC independent RIARIA to RIAFeb 14, 2023May 8, 2019
Tiffany VanhookForvis Mazars Wealth Advisors, LLC otherSheaff Brock Investment Advisors, LLC independent RIAOtherApr 16, 2018Nov 2, 2018 (200 d)
Bryant K ScottWells Fargo Advisors wirehouseSheaff Brock Investment Advisors, LLC otherOtherMay 8, 2017Dec 5, 2017 (211 d)
Seth William Webb HickleCharles Schwab & Co., Inc. national BDSheaff Brock Investment Advisors, LLC otherOtherDec 6, 2016Nov 30, 2016
Audrey BruchWallington Asset Management otherSheaff Brock Investment Advisors, LLC otherOtherJun 28, 2016Jun 29, 2016
Peter Gorman BjelopetrovichCharles Schwab & Co., Inc. national BDSheaff Brock Investment Advisors, LLC otherOtherOct 1, 2015Sep 14, 2015
Edward Allen HumphreysForvis Mazars Wealth Advisors, LLC otherSheaff Brock Investment Advisors, LLC otherOtherMay 18, 2015Sep 1, 2015 (106 d)
Daniel Lemuel AndrewsCitizens Securities, Inc. otherSheaff Brock Investment Advisors, LLC otherOtherMar 19, 2015Mar 2, 2015
Katherine HarperCharles Schwab & Co., Inc. national BDSheaff Brock Investment Advisors, LLC otherOtherJul 18, 2014Jul 28, 2014
Richard Leslie WellsConvergent Wealth Advisors, LLC otherSheaff Brock Investment Advisors, LLC otherOtherJun 27, 2014Aug 12, 2014 (46 d)
Jennifer Nicole OverhoffH. Beck, Inc. otherSheaff Brock Investment Advisors, LLC otherOtherFeb 28, 2014Mar 5, 2014
Paul Edwin CoanWealth Planning & Management, LLC otherSheaff Brock Investment Advisors, LLC otherOtherJan 24, 2014Jan 30, 2014
Thomas D FarrellPurcell Advisory Services, LLC otherSheaff Brock Investment Advisors, LLC otherOtherNov 15, 2013Nov 18, 2013
David John ArnsPlancorp, LLC otherSheaff Brock Investment Advisors, LLC otherOtherOct 2, 2013Oct 1, 2013
Bryant K ScottCharles Schwab & Co., Inc. national BDSheaff Brock Investment Advisors, LLC otherOtherDec 31, 2010Mar 3, 2014 (1158 d)
Eric Dean MartzAusdal Financial Partners, Inc. otherSheaff Brock Investment Advisors, LLC otherOtherNov 9, 2010Dec 16, 2013 (1133 d)
Christina Ann JordanWoodley Farra otherSheaff Brock Investment Advisors, LLC otherOtherAug 4, 2010Aug 27, 2010
Gary Todd CooperRaymond James & Associates, Inc. national BDSheaff Brock Investment Advisors, LLC otherOtherAug 27, 2009Mar 22, 2010 (207 d)
James P McmahonMorgan Stanley Dw Inc. unclassifiedSheaff Brock Investment Advisors, LLC otherOtherMay 5, 2006Jun 6, 2006 (32 d)
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23 moves match.