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 Empirical Wealth Management
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 |
|---|---|---|---|---|---|
| Sean Patrick Hanson | Northrock Partners, LLC independent RIA | Empirical Wealth Management independent RIA | RIA to RIA | May 19, 2026 | Jun 23, 2026 (35 d) |
| Jack Edward Rimbach | Rockefeller Capital Management BD affiliated | Empirical Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | May 13, 2026 | May 5, 2026 |
| Alexander Gangl | Mercer Global Advisors Inc. independent RIA | Empirical Wealth Management independent RIA | RIA to RIA | May 12, 2026 | Jun 30, 2026 (49 d) |
| David O'Day | Creative Planning Institutional Advisors, LLC institutional | Empirical Wealth Management independent RIA | Other | Jan 20, 2026 | May 6, 2026 (106 d) |
| Kelly Jane Romano | Fisher Investments independent RIA | Empirical Wealth Management independent RIA | RIA to RIA | Dec 9, 2025 | Jan 13, 2026 (35 d) |
| Sogol Javan Oskouei | First Foundation Advisors independent RIA | Empirical Wealth Management independent RIA | RIA to RIA | Dec 2, 2025 | Feb 6, 2026 (66 d) |
| Donovan Denny Ritter | Spectrum Wealth Management, LLC independent RIA | Empirical Wealth Management other | Other | Nov 3, 2025 | Nov 21, 2017 |
| Bohan Liu | Fisher Investments independent RIA | Empirical Wealth Management independent RIA | RIA to RIA | Sep 19, 2025 | Oct 8, 2025 |
| Cameron D Cole | Solidarity Wealth, LLC independent RIA | Empirical Wealth Management independent RIA | RIA to RIA | Jul 9, 2025 | Jul 11, 2025 |
| Sean Kelly Rodricks | Strategic Advisers LLC national BD | Empirical Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 27, 2025 | Jul 9, 2025 |
| Dominic Anthony Wright | LPL Financial LLC BD affiliated | Empirical Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 15, 2025 | Apr 15, 2025 |
| Marsha Jong | Blackrock Fund Advisors asset manager | Empirical Wealth Management independent RIA | Other | Mar 5, 2025 | Apr 22, 2025 (48 d) |
| Jason Dunbar | Fisher Investments independent RIA | Empirical Wealth Management independent RIA | RIA to RIA | Oct 22, 2024 | Nov 4, 2024 |
| Joyce Virginia Bloomquist | Apella Wealth independent RIA | Empirical Wealth Management independent RIA | RIA to RIA | Sep 17, 2024 | Oct 2, 2024 |
| Yisha Wang | Mariner BD affiliated | Empirical Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 28, 2024 | Jun 24, 2024 |
| Jake Ryan Riddell | Fisher Investments independent RIA | Empirical Wealth Management independent RIA | RIA to RIA | May 14, 2024 | Jun 18, 2024 (35 d) |
| Eva Aihua Xu | Charles Schwab Investment Advisory, Inc independent RIA | Empirical Wealth Management independent RIA | RIA to RIA | Jan 11, 2024 | Aug 22, 2024 (224 d) |
| Scott Michael Malbasa | Cordant Wealth Partners independent RIA | Empirical Wealth Management independent RIA | RIA to RIA | Oct 12, 2023 | Nov 20, 2023 (39 d) |
| Patrick A Yaghoobians | Horst & Graben Wealth Management, LLC independent RIA | Empirical Wealth Management independent RIA | RIA to RIA | Sep 19, 2023 | Sep 28, 2023 |
| Jorge Luis Rosas | Aldrich Wealth LP independent RIA | Empirical Wealth Management independent RIA | RIA to RIA | Sep 12, 2023 | Jan 6, 2026 (847 d) |
| Luke Cho | Fisher Investments independent RIA | Empirical Wealth Management independent RIA | RIA to RIA | Aug 16, 2023 | Aug 23, 2023 |
| Jacob Ronald Montemayor | Vanguard Advisers, Inc. BD affiliated | Empirical Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 25, 2023 | Jun 17, 2024 (328 d) |
| Carla Lisseth Avendano | UBS Financial Services Inc. wirehouse | Empirical Wealth Management independent RIA | Wirehouse to independent RIA | Jun 12, 2023 | Aug 21, 2023 (70 d) |
| Erich Robert Gebbie | Edelman Financial Engines mixed wealth | Empirical Wealth Management independent RIA | RIA to RIA | Apr 27, 2023 | Apr 12, 2023 |
| Peter John Michel | Fisher Investments independent RIA | Empirical Wealth Management independent RIA | RIA to RIA | Apr 18, 2023 | Jun 23, 2023 (66 d) |
| Charles E Pyle | Westmount Partners, LLC independent RIA | Empirical Wealth Management independent RIA | RIA to RIA | Mar 7, 2023 | May 18, 2023 (72 d) |
| David Scott Raney | Charles Schwab & Co., Inc. national BD | Empirical Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 1, 2023 | Feb 9, 2023 |
| Christopher Michael Auten | Crestwood Advisors independent RIA | Empirical Wealth Management independent RIA | RIA to RIA | Nov 12, 2022 | Mar 9, 2023 (117 d) |
| Richard Thomas Boyer | Onlinecm independent RIA | Empirical Wealth Management independent RIA | RIA to RIA | Sep 28, 2022 | Jan 2, 2019 |
| Eric Arndt | Cwm, LLC BD affiliated | Empirical Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 20, 2022 | Nov 4, 2022 (45 d) |
| Wenwen Dong | Confidence Wealth Management, Inc. independent RIA | Empirical Wealth Management independent RIA | RIA to RIA | Aug 31, 2022 | Sep 30, 2022 |
| Alexandra Marie Scott | UBS Financial Services Inc. wirehouse | Empirical Wealth Management independent RIA | Wirehouse to independent RIA | Jul 11, 2022 | May 17, 2023 (310 d) |
| Alexander Joseph Bartos | Forum Financial Management, LP independent RIA | Empirical Wealth Management independent RIA | RIA to RIA | Jul 7, 2022 | Jul 13, 2022 |
| Robert Michael Higueria | Northwestern Mutual Investment Services,LLC no RAUM | Empirical Wealth Management independent RIA | Other | Jun 20, 2022 | Jun 17, 2024 (728 d) |
| Alex Julian Medin | Fidelity Personal And Workplace Advisors BD affiliated | Empirical Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | May 27, 2022 | Jun 15, 2022 |
| Dustin Michael Rue | E*Trade Capital Management, LLC independent RIA | Empirical Wealth Management independent RIA | RIA to RIA | Apr 22, 2022 | Apr 18, 2022 |
| Mustafa Hma Binns | Coldstream Wealth Management independent RIA | Empirical Wealth Management independent RIA | RIA to RIA | Oct 21, 2021 | Nov 12, 2021 |
| Chance Joseph Leiseth | Fidelity Personal And Workplace Advisors BD affiliated | Empirical Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 15, 2021 | Oct 6, 2021 |
| Isaiah Moshe Paul | Cws Capital Partners LLC asset manager | Empirical Wealth Management independent RIA | Other | Jun 23, 2021 | Dec 9, 2024 (1265 d) |
| Jessica May Roks | Creative Planning independent RIA | Empirical Wealth Management independent RIA | RIA to RIA | Apr 20, 2021 | Jun 21, 2021 (62 d) |
| Denise S Lee | Spectrum Wealth Management, LLC independent RIA | Empirical Wealth Management other | Other | Mar 9, 2021 | Nov 29, 2017 |
| Shannon James Bene | E*Trade Capital Management, LLC independent RIA | Empirical Wealth Management independent RIA | RIA to RIA | Mar 5, 2021 | Feb 22, 2021 |
| Caroline Maglio | Td Ameritrade, Inc. no RAUM | Empirical Wealth Management independent RIA | Other | Jan 11, 2021 | Feb 22, 2021 (42 d) |
| Cristina Marie Campbell | Stratos Wealth Partners, Ltd BD affiliated | Empirical Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 11, 2021 | Jan 26, 2021 |
| Erica Jean Cortez | Waddell & Reed BD affiliated | Empirical Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 19, 2020 | Oct 20, 2021 (366 d) |
| Christopher Jordan Edwards | Avier Wealth Advisors independent RIA | Empirical Wealth Management independent RIA | RIA to RIA | Feb 20, 2020 | Mar 9, 2020 |
| Maggie Chi Liu | Fidelity Personal And Workplace Advisors BD affiliated | Empirical Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 31, 2020 | Feb 4, 2020 |
| Rebecca Thurston Stanton Morris | Fidelity Personal And Workplace Advisors BD affiliated | Empirical Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 30, 2020 | Jan 14, 2020 |
| Tassie Sonya Medlin | United Planners' Financial Services Of America A Limited Partner independent RIA | Empirical Wealth Management independent RIA | RIA to RIA | Dec 23, 2019 | Feb 12, 2020 (51 d) |
| Justin Wyatt Buller | Zevenbergen Capital Investments LLC other | Empirical Wealth Management independent RIA | Other | Oct 24, 2019 | Jan 20, 2021 (454 d) |
| Janie Catherine Strasser | Ponderosa Wealth Management other | Empirical Wealth Management other | Other | Apr 1, 2019 | Jun 15, 2016 |
| Kyle David Dodrill | Blue Water Wealth independent RIA | Empirical Wealth Management independent RIA | RIA to RIA | Feb 1, 2019 | Feb 12, 2019 |
| Stephen In Hee Lee | Bancwest Investment Services, Inc. (Bwis) BD affiliated | Empirical Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 20, 2018 | Aug 3, 2018 |
| Eric Kinyon | Strategic Advisers LLC national BD | Empirical Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 12, 2018 | Jul 10, 2018 |
| Mark Bret Umek | Fisher Investments independent RIA | Empirical Wealth Management independent RIA | RIA to RIA | Jun 8, 2018 | Dec 11, 2019 (551 d) |
| James Allen Jones | Directional Financial Services other | Empirical Wealth Management other | Other | Jan 17, 2018 | Dec 21, 2016 |
| Karina Bianca Bayani Dahilig | Directional Financial Services other | Empirical Wealth Management other | Other | Dec 15, 2017 | Aug 15, 2016 |
| Ben Putman | Independent Financial Group, LLC other | Empirical Wealth Management other | Other | Nov 1, 2017 | Nov 29, 2017 |
| Christine Young Bowe | Transamerica Financial Advisors, LLC other | Empirical Wealth Management independent RIA | Other | Sep 14, 2016 | Feb 19, 2024 (2714 d) |
| Michael Patrick Kelly | Fisher Investments other | Empirical Wealth Management other | Other | May 18, 2015 | May 28, 2015 |
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70 moves match.