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 Register Financial 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
Adam R WallerEdward Jones national BDRegister Financial Advisors, LLC independent RIAAffiliated broker-dealer or bank to independent RIAMar 16, 2026Mar 4, 2026
Lydia Ann GuminaFlorida Financial Advisors, LLC BD affiliatedRegister Financial Advisors, LLC independent RIAAffiliated broker-dealer or bank to independent RIASep 30, 2025Apr 13, 2026 (195 d)
Joseph CriscioneTruist Advisory Services, Inc. BD affiliatedRegister Financial Advisors, LLC independent RIAAffiliated broker-dealer or bank to independent RIAFeb 22, 2024Mar 8, 2024
Edward J WaitsWells Fargo Advisors wirehouseRegister Financial Advisors, LLC independent RIAWirehouse to independent RIANov 22, 2023Dec 15, 2023
Ari Richard DardikMorgan Stanley wirehouseRegister Financial Advisors, LLC independent RIAWirehouse to independent RIASep 13, 2023Sep 18, 2023
Robin Marie LeahyMorgan Stanley wirehouseRegister Financial Advisors, LLC independent RIAWirehouse to independent RIAAug 26, 2020Oct 2, 2020 (37 d)
Erin L TathamProvidence Capital Advisors, LLC independent RIARegister Financial Advisors, LLC independent RIARIA to RIAMar 31, 2020Mar 16, 2020
Amy Kaler WebsterWells Fargo Advisors wirehouseRegister Financial Advisors, LLC independent RIAWirehouse to independent RIAMar 25, 2020Sep 9, 2020 (168 d)
Hafeez S FazalRaymond James & Associates, Inc. national BDRegister Financial Advisors, LLC independent RIAAffiliated broker-dealer or bank to independent RIANov 9, 2018Nov 2, 2018
Justin GarofaloMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseRegister Financial Advisors, LLC otherOtherJun 16, 2017Jun 21, 2017
Charles M. ParkerMorgan Stanley wirehouseRegister Financial Advisors, LLC otherOtherApr 8, 2016Mar 18, 2016
Thomas Edward CorriganJ.P. Morgan Securities LLC wirehouseRegister Financial Advisors, LLC otherOtherJan 9, 2012Feb 7, 2012
David Blake PresslyMorgan Stanley wirehouseRegister Financial Advisors, LLC otherOtherNov 15, 2011Nov 16, 2011
Brian Joseph SullivanMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseRegister Financial Advisors, LLC otherOtherJun 4, 2010Jun 15, 2010
Holland Arthur SullivanMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseRegister Financial Advisors, LLC independent RIAWirehouse to independent RIAMar 31, 2009Jun 7, 2018 (3355 d)
Andrew Scott MayChitwood Advisory Group unclassifiedRegister Financial Advisors, LLC otherOtherFeb 11, 2008Feb 11, 2008
Robert Nelson NixConcourse Financial Group Advisors otherRegister Financial Advisors, LLC otherOtherAug 23, 2007Oct 25, 2007 (63 d)
David T WeitzRegister Financial Associates, Inc. unclassifiedRegister Financial Advisors, LLC otherOtherAug 14, 2007Aug 8, 2007
Blair Ian RothsteinUBS Financial Services Inc. wirehouseRegister Financial Advisors, LLC otherOtherAug 10, 2006Jun 17, 2008 (677 d)
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19 moves match.