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 Collaborative Wealth

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
Douglas Hendricks JonesBankers Life Advisory Services, Inc. BD affiliatedCollaborative Wealth independent RIAAffiliated broker-dealer or bank to independent RIAMay 8, 2025Oct 24, 2025 (169 d)
Shawn Matthew SmithMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseCollaborative Wealth independent RIAWirehouse to independent RIAAug 19, 2019Feb 19, 2020 (184 d)
Donald Francis WhiteLPL Financial LLC independent RIACollaborative Wealth independent RIARIA to RIAMar 4, 2019Nov 7, 2018
Matthew Gregory GilesRaymond James & Associates, Inc. national BDCollaborative Wealth independent RIAAffiliated broker-dealer or bank to independent RIAFeb 4, 2019Feb 8, 2019
Tryssa Pedrosa PacciulliMarkey Wealth Management unclassifiedCollaborative Wealth independent RIAOtherOct 9, 2018Oct 17, 2018
Larry ResczenskiMarkey Wealth Management unclassifiedCollaborative Wealth independent RIAOtherSep 27, 2018Sep 19, 2018
John Anthony MeloWells Fargo Advisors wirehouseCollaborative Wealth independent RIAWirehouse to independent RIAJul 26, 2018Aug 14, 2018
Randall Howard ReedInvest Financial Corporation otherCollaborative Wealth independent RIAOtherFeb 15, 2018Jan 1, 2026 (2877 d)
Stephen MagallanesInvest Financial Corporation otherCollaborative Wealth independent RIAOtherFeb 15, 2018Sep 4, 2018 (201 d)
Joshua William StrittmatterLPL Financial LLC independent RIACollaborative Wealth otherOtherDec 19, 2017Nov 1, 2007
Thomas Parker PrattSecurian Financial Services, Inc. otherCollaborative Wealth otherOtherJan 12, 2017Mar 23, 2017 (70 d)
Christopher Michael SquiresEquitable Advisors, LLC national BDCollaborative Wealth otherOtherDec 23, 2016Dec 22, 2016
Darla Jean GreerCetera Advisors LLC otherCollaborative Wealth otherOtherNov 11, 2016Dec 2, 2016
Brenton ThaiSecurian Financial Services, Inc. otherCollaborative Wealth otherOtherJul 25, 2016Aug 1, 2016
Barry Nelson RoderickSecurian Financial Services, Inc. otherCollaborative Wealth otherOtherDec 11, 2015Aug 15, 2016 (248 d)
Robert Michael GeorgiouSecurian Financial Services, Inc. otherCollaborative Wealth no RAUMOtherNov 19, 2015Nov 10, 2015
Joseph Michael KourySecurian Financial Services, Inc. otherCollaborative Wealth no RAUMOtherNov 19, 2015Nov 9, 2015
Chad Richmond JusticeLPL Financial LLC otherCollaborative Wealth otherOtherOct 29, 2015May 29, 2015
Michael Patrick HendersonIndependent Financial Partners otherCollaborative Wealth otherOtherJun 8, 2015May 8, 2015
Sandra Ann StickneyCuso Financial Services, L.P. otherCollaborative Wealth independent RIAOtherDec 31, 2003Jan 12, 2023 (6952 d)
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20 moves match.