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 Arete Wealth 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.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Wynton Blount | Stephens BD affiliated | Arete Wealth Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 18, 2026 | Aug 3, 2026 |
| Melissa Shaw-Patino | Neuberger Berman Bd LLC no RAUM | Arete Wealth Advisors, LLC BD affiliated | Other | May 21, 2026 | Jun 18, 2026 |
| John Benjamin Nelson | Ameriprise Financial Services, LLC national BD | Arete Wealth Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 15, 2026 | May 6, 2026 |
| Riley Francis | D.A. Davidson & Co. independent RIA | Arete Wealth Advisors, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jan 29, 2026 | Jan 28, 2026 |
| Anthony John Santarpia | A.G.P / Alliance Global Partners independent RIA | Arete Wealth Advisors, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Dec 31, 2025 | Jan 9, 2026 |
| Joseph Ryan Cutler | Wells Fargo Advisors wirehouse | Arete Wealth Advisors, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 3, 2025 | Mar 13, 2026 (100 d) |
| Bryson Scott Walker | J.P. Morgan Securities LLC wirehouse | Arete Wealth Advisors, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 30, 2025 | Nov 13, 2025 |
| Henry James Zhai | Cetera Investment Advisers LLC BD affiliated | Arete Wealth Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 23, 2025 | Oct 22, 2025 |
| Rebecca Lee Jin | J.P. Morgan Securities LLC wirehouse | Arete Wealth Advisors, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 10, 2025 | Mar 18, 2026 (189 d) |
| James Matthew Devary | A.G.P / Alliance Global Partners independent RIA | Arete Wealth Advisors, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Aug 5, 2025 | Jun 20, 2025 |
| Samantha Ann Crank | Lord, Abbett & Co. LLC asset manager | Arete Wealth Advisors, LLC BD affiliated | Other | Jun 30, 2025 | Jul 10, 2025 |
| Richard Clinton Sands | Citigroup Global Markets Inc. BD affiliated | Arete Wealth Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 27, 2025 | Aug 26, 2025 (91 d) |
| Shih Hua Liu | Fiscal Wisdom Wealth Management LLC independent RIA | Arete Wealth Advisors, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Apr 2, 2025 | Dec 10, 2024 |
| Olesia Rasiuk | Morgan Stanley wirehouse | Arete Wealth Advisors, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 31, 2025 | Aug 21, 2026 (567 d) |
| Miao Ling Guan | Portsmouth Financial Services unclassified | Arete Wealth Advisors, LLC BD affiliated | Other | Dec 31, 2024 | Dec 9, 2024 |
| Daniel A Claps | B. Riley Wealth Advisors, Inc. BD affiliated | Arete Wealth Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 26, 2024 | Nov 14, 2024 |
| Terron Tidwell | B. Riley Wealth Advisors, Inc. BD affiliated | Arete Wealth Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 26, 2024 | Nov 14, 2024 |
| James Mota | B. Riley Wealth Advisors, Inc. BD affiliated | Arete Wealth Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 26, 2024 | Nov 15, 2024 |
| Andrew Brower | B. Riley Wealth Advisors, Inc. BD affiliated | Arete Wealth Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 26, 2024 | Nov 14, 2024 |
| Graham Falbo | B. Riley Wealth Advisors, Inc. BD affiliated | Arete Wealth Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 26, 2024 | Nov 15, 2024 |
| Juan Felipe Matallana | B. Riley Wealth Advisors, Inc. BD affiliated | Arete Wealth Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 26, 2024 | Nov 14, 2024 |
| Laura Caroline Emery | Fbl Wealth Management, LLC BD affiliated | Arete Wealth Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 27, 2024 | Nov 5, 2024 (70 d) |
| Kristi Oquin Pool | Integrity Ria, LLC independent RIA | Arete Wealth Advisors, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jul 8, 2024 | Jul 25, 2024 |
| Daniel Gerard Meehan | The Strategic Financial Alliance BD affiliated | Arete Wealth Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 2, 2024 | May 30, 2024 |
| Brandon De Otaduy Nam | Blackrock Investment Management, LLC other | Arete Wealth Advisors, LLC BD affiliated | Other | Apr 25, 2024 | May 13, 2024 |
| James David Kelin | Lord, Abbett & Co. LLC asset manager | Arete Wealth Advisors, LLC BD affiliated | Other | Feb 28, 2024 | Mar 6, 2024 |
| Michael Robert Dandrea | Sovereign Global Advisors, LLC state registered | Arete Wealth Advisors, LLC BD affiliated | Other | Feb 23, 2024 | Feb 21, 2024 |
| Kenneth James New | Center Street Advisors, Inc. independent RIA | Arete Wealth Advisors, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Nov 16, 2023 | Oct 12, 2023 |
| David Alexander Narish | Center Street Advisors, Inc. independent RIA | Arete Wealth Advisors, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Nov 16, 2023 | Jan 5, 2026 (781 d) |
| Morgan Darby Hill | Center Street Advisors, Inc. independent RIA | Arete Wealth Advisors, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Nov 16, 2023 | Mar 31, 2023 |
| Anthony Michael Hanley | Center Street Advisors, Inc. independent RIA | Arete Wealth Advisors, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Nov 16, 2023 | Jan 31, 2023 |
| Michael Thomas Bird | American Portfolios Advisors, Inc BD affiliated | Arete Wealth Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 10, 2023 | Oct 27, 2023 |
| Scott Eric Beaty | Center Street Advisors, Inc. independent RIA | Arete Wealth Advisors, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Nov 8, 2023 | Apr 3, 2023 |
| Vincent Keith Annable | Wealth Strategies Advisory Group unclassified | Arete Wealth Advisors, LLC BD affiliated | Other | Nov 1, 2023 | Jan 4, 2021 |
| Alex Perez Andrade | Wells Fargo Advisors wirehouse | Arete Wealth Advisors, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 19, 2023 | Oct 23, 2023 |
| Karim William Salazar Antoni | Lazard Asset Management LLC other | Arete Wealth Advisors, LLC BD affiliated | Other | Sep 6, 2023 | Nov 17, 2023 (72 d) |
| Thomas Samuel Lisk | Center Street Advisors, Inc. independent RIA | Arete Wealth Advisors, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jul 13, 2023 | Jul 13, 2023 |
| David Kent Prewette | Center Street Advisors, Inc. independent RIA | Arete Wealth Advisors, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jul 12, 2023 | Apr 4, 2023 |
| Daniel Joseph Roemerman | Center Street Advisors, Inc. independent RIA | Arete Wealth Advisors, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jul 12, 2023 | Jul 12, 2023 |
| Kurt Walter Sergiewich | Center Street Advisors, Inc. independent RIA | Arete Wealth Advisors, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jul 12, 2023 | Jul 12, 2023 |
| Christopher Brian Jones | Center Street Advisors, Inc. independent RIA | Arete Wealth Advisors, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jul 11, 2023 | Jul 20, 2023 |
| Robert Matthew Sweas | Ausdal Financial Partners, Inc. independent RIA | Arete Wealth Advisors, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jul 3, 2023 | Jun 29, 2023 |
| Monica Moose | Ausdal Financial Partners, Inc. independent RIA | Arete Wealth Advisors, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jul 3, 2023 | Jan 5, 2024 (186 d) |
| James Joseph Toddy | Center Street Advisors, Inc. independent RIA | Arete Wealth Advisors, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jun 27, 2023 | Apr 20, 2023 |
| Charles Gregory Majors | Center Street Advisors, Inc. independent RIA | Arete Wealth Advisors, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jun 27, 2023 | Apr 18, 2023 |
| Amy White Widener | Center Street Advisors, Inc. independent RIA | Arete Wealth Advisors, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jun 27, 2023 | Jun 27, 2023 |
| Billy James Aycock | Center Street Advisors, Inc. independent RIA | Arete Wealth Advisors, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jun 27, 2023 | Mar 10, 2021 |
| Kevin James Leblanc | Center Street Advisors, Inc. independent RIA | Arete Wealth Advisors, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jun 22, 2023 | Mar 31, 2023 |
| Michael Martin Mirich | Center Street Advisors, Inc. independent RIA | Arete Wealth Advisors, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jun 22, 2023 | Mar 31, 2023 |
| Timothy Michael Eckel | Center Street Advisors, Inc. independent RIA | Arete Wealth Advisors, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jun 21, 2023 | Apr 3, 2023 |
| Paul Clayton Conner | Center Street Advisors, Inc. independent RIA | Arete Wealth Advisors, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jun 16, 2023 | Jun 20, 2023 |
| Joshua Thornhill | Center Street Advisors, Inc. independent RIA | Arete Wealth Advisors, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jun 16, 2023 | Apr 3, 2023 |
| Tiffany Coyle Noto | Center Street Advisors, Inc. independent RIA | Arete Wealth Advisors, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jun 16, 2023 | Jun 16, 2023 |
| Joshua M. Moody | Center Street Advisors, Inc. independent RIA | Arete Wealth Advisors, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jun 13, 2023 | Mar 31, 2023 |
| Matthew David Canter | Center Street Advisors, Inc. independent RIA | Arete Wealth Advisors, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jun 13, 2023 | Mar 31, 2023 |
| Susan D Marshall | Center Street Advisors, Inc. independent RIA | Arete Wealth Advisors, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jun 13, 2023 | Apr 5, 2023 |
| Richard Scott Toban | Center Street Advisors, Inc. independent RIA | Arete Wealth Advisors, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jun 13, 2023 | Mar 31, 2023 |
| Adam B Wright | Center Street Advisors, Inc. independent RIA | Arete Wealth Advisors, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jun 13, 2023 | Apr 21, 2023 |
| Rachel Joy Baker | Center Street Advisors, Inc. independent RIA | Arete Wealth Advisors, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jun 13, 2023 | Aug 1, 2023 (49 d) |
| Kelsey Andrea Narish | Center Street Advisors, Inc. independent RIA | Arete Wealth Advisors, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jun 13, 2023 | Mar 31, 2023 |
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166 moves match.