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 M1 Capital Management 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
Jacob SmithThrivent Investment Management Inc. BD affiliatedM1 Capital Management LLC independent RIAAffiliated broker-dealer or bank to independent RIAJun 9, 2025Jun 9, 2025
Ryan L MallochCetera Advisors LLC BD affiliatedM1 Capital Management LLC independent RIAAffiliated broker-dealer or bank to independent RIAMar 21, 2024Jan 20, 2021
Antonio DesanoCetera Advisors LLC BD affiliatedM1 Capital Management LLC independent RIAAffiliated broker-dealer or bank to independent RIAMar 21, 2024Feb 3, 2022
Douglas Anders CookCharles Schwab & Co., Inc. national BDM1 Capital Management LLC independent RIAAffiliated broker-dealer or bank to independent RIAMay 19, 2023Nov 26, 2025 (922 d)
Charles Edmund DillonCetera Advisors LLC BD affiliatedM1 Capital Management LLC independent RIAAffiliated broker-dealer or bank to independent RIANov 2, 2022Apr 18, 2022
Mark Daniel LablanceFmsi Advisers otherM1 Capital Management LLC otherOtherJun 5, 2015Jun 4, 2015
Paul Reed DunbarThinkorswim Advisors, Inc. unclassifiedM1 Capital Management LLC independent RIAOtherSep 13, 2011Oct 21, 2025 (5152 d)
Robert James StapletonThinkorswim Advisors, Inc. unclassifiedM1 Capital Management LLC otherOtherSep 13, 2011Sep 16, 2011
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8 moves match.