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 Capital Markets Iq, 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
Jeffrey CrouseStrategic Advisers LLC national BDCapital Markets Iq, LLC independent RIAAffiliated broker-dealer or bank to independent RIAMay 28, 2025Jul 7, 2025 (40 d)
Zachary Ryan WootenCsenge Advisory Group, LLC independent RIACapital Markets Iq, LLC independent RIARIA to RIAMar 24, 2025Apr 29, 2025 (36 d)
Jason Lawrence BrightThrivent Investment Management Inc. BD affiliatedCapital Markets Iq, LLC independent RIAAffiliated broker-dealer or bank to independent RIANov 2, 2022Nov 28, 2022
Thomas Patrick SmithCenter Street Advisors, Inc. independent RIACapital Markets Iq, LLC independent RIARIA to RIASep 8, 2022Aug 12, 2022
Ian Matthew JohnsonCenter Street Advisors, Inc. independent RIACapital Markets Iq, LLC independent RIARIA to RIAJun 15, 2022May 26, 2022
William W. PengStonex Advisors Inc. BD affiliatedCapital Markets Iq, LLC independent RIAAffiliated broker-dealer or bank to independent RIAAug 11, 2020Oct 6, 2020 (56 d)
Daniel Eric MillmanMorgan Stanley wirehouseCapital Markets Iq, LLC independent RIAWirehouse to independent RIAOct 9, 2018Apr 13, 2021 (917 d)
Alan Edward KuzmaGlobal Financial Private Capital, Inc. otherCapital Markets Iq, LLC independent RIAOtherJan 2, 2018Jan 30, 2018
Stephen Maynard AlinikoffProspera Financial Services, Inc. otherCapital Markets Iq, LLC independent RIAOtherNov 17, 2017Nov 17, 2017
Steven Brian CastroConcert Wealth Management otherCapital Markets Iq, LLC otherOtherAug 25, 2017Oct 2, 2017 (38 d)
Thomas Matthew ChaseKalos Management otherCapital Markets Iq, LLC independent RIAOtherJun 12, 2017Dec 22, 2025 (3115 d)
Michael Gregory DickersonCarlton Hall Asset Management, LLC state registeredCapital Markets Iq, LLC otherOtherMay 1, 2017Jul 21, 2017 (81 d)
Catherine Irene FortierEdward Jones national BDCapital Markets Iq, LLC otherOtherApr 4, 2017Apr 17, 2017
Scott Rossiter PerroneLPL Financial LLC otherCapital Markets Iq, LLC otherOtherNov 29, 2016Feb 24, 2017 (87 d)
Jeffrey Lamar RichardsonCetera Investment Advisers LLC otherCapital Markets Iq, LLC otherOtherNov 1, 2016Nov 21, 2016
Jason Daniel SaylesHajek Advisory Consultants, LLC unclassifiedCapital Markets Iq, LLC otherOtherOct 3, 2016Sep 22, 2017 (354 d)
William John Penson LawtonConcert Wealth Management otherCapital Markets Iq, LLC independent RIAOtherSep 30, 2016Dec 19, 2025 (3367 d)
Walter C RichardsonConcert Wealth Management otherCapital Markets Iq, LLC otherOtherSep 7, 2016Aug 18, 2016
Thomas Mitchel MarshburnFeltl Advisors otherCapital Markets Iq, LLC otherOtherAug 29, 2016Sep 6, 2016
Adam Steven JorgensenInvest Financial Corporation otherCapital Markets Iq, LLC otherOtherAug 9, 2016Aug 31, 2016
William W. PengQuest Capital Strategies, Inc. otherCapital Markets Iq, LLC otherOtherApr 4, 2016Apr 6, 2016
Gil Blas Montilla VelezMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseCapital Markets Iq, LLC independent RIAWirehouse to independent RIADec 23, 2015Nov 15, 2017 (693 d)
Jason Scott RasmussenSurety Wealth Management unclassifiedCapital Markets Iq, LLC otherOtherNov 25, 2015Nov 5, 2014
James William CravottaConcert Wealth Management otherCapital Markets Iq, LLC otherOtherJun 26, 2015Mar 20, 2012
David Wayne FicarraQuartermaster Wealth Management, LLC otherCapital Markets Iq, LLC otherOtherMar 13, 2015Mar 13, 2015
Glenn William KoehlSurety Wealth Management unclassifiedCapital Markets Iq, LLC otherOtherDec 31, 2014Jan 26, 2015
Mark Peter MalekPraxis Insight Advisors LLC unclassifiedCapital Markets Iq, LLC otherOtherMay 22, 2014Jul 21, 2014 (60 d)
Ryan L MorelliSecure Retirement Solutions, Inc. unclassifiedCapital Markets Iq, LLC otherOtherJun 10, 2013Jun 12, 2013
Robert Alan SchreiberUBS Financial Services Inc. wirehouseCapital Markets Iq, LLC otherOtherJan 7, 2013Feb 2, 2012
Marion Anthony JabczenskiApriem Advisors otherCapital Markets Iq, LLC otherOtherApr 28, 2011Jul 13, 2011 (76 d)
Grace Sheffield BrettkellyAssociated Securities Corp. unclassifiedCapital Markets Iq, LLC otherOtherAug 18, 2006Oct 7, 2016 (3703 d)
Page 1 of 1
31 moves match.