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 Red Oak Financial Group
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 |
|---|---|---|---|---|---|
| Maxwell Chi Kiely | Osaic Wealth, Inc. BD affiliated | Red Oak Financial Group independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 23, 2025 | Feb 6, 2026 (45 d) |
| Jason Michael Simmons | LPL Enterprise, LLC no RAUM | Red Oak Financial Group independent RIA | Other | Mar 3, 2025 | Mar 14, 2025 |
| Jonathon Louis Defeo | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Red Oak Financial Group independent RIA | Wirehouse to independent RIA | May 16, 2022 | May 24, 2022 |
| Beth Noelle Nori | Kestra Advisory Services, LLC BD affiliated | Red Oak Financial Group mixed wealth | Affiliated broker-dealer or bank to independent RIA | Sep 20, 2021 | Oct 7, 2021 |
| Brandon Luckett | The L. Warner Companies, Inc other | Red Oak Financial Group mixed wealth | Other | Mar 1, 2018 | Jun 5, 2018 (96 d) |
| William Michael Smith | Maryland Capital Management, LLC other | Red Oak Financial Group other | Other | Feb 9, 2016 | Feb 9, 2016 |
| Jason Michael Simmons | LPL Financial LLC other | Red Oak Financial Group other | Other | May 2, 2013 | Apr 12, 2013 |
| Christopher Patrick Compton | Osaic Fa, Inc. other | Red Oak Financial Group other | Other | Jun 22, 2005 | Feb 20, 2013 (2800 d) |
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8 moves match.