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 Private Advisory

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
Steven Todd HillsteadEdelman Financial Engines independent RIAPrivate Advisory independent RIARIA to RIAMar 6, 2026Feb 17, 2026
Tricia EliasonEdelman Financial Engines independent RIAPrivate Advisory independent RIARIA to RIAFeb 20, 2026Feb 17, 2026
Adam PowellThe Retirement Solution LLC independent RIAPrivate Advisory independent RIARIA to RIAOct 30, 2025Oct 30, 2025
Parker AndersonMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehousePrivate Advisory independent RIAWirehouse to independent RIAJan 6, 2025Jan 10, 2025
Joshua Michael GlennPeterson Wealth Advisors, LLC independent RIAPrivate Advisory independent RIARIA to RIAOct 11, 2024Oct 24, 2024
Matthew Todd ChambersTransamerica Financial Advisors, LLC BD affiliatedPrivate Advisory independent RIAAffiliated broker-dealer or bank to independent RIAMay 2, 2024May 14, 2024
Stephen Wesley ReevesApproach Capital LLC independent RIAPrivate Advisory independent RIARIA to RIAJul 5, 2022Aug 1, 2022
Wesley Ted JensenAbg Consultants institutionalPrivate Advisory independent RIAOtherJan 7, 2022Jan 12, 2022
Katherine Ann LudemanRBC Capital Markets, LLC national BDPrivate Advisory independent RIAAffiliated broker-dealer or bank to independent RIAAug 18, 2021Aug 18, 2021
Mckenna Paige SheldonLPL Financial LLC BD affiliatedPrivate Advisory independent RIAAffiliated broker-dealer or bank to independent RIAJun 21, 2021Jul 29, 2021 (38 d)
Kenneth John PetersonProtected Investors Of America otherPrivate Advisory no RAUMOtherJul 11, 2016Oct 31, 2014
Craig Douglas JohnsenStrategic Capital Group L.L.C. otherPrivate Advisory no RAUMOtherDec 31, 2014Nov 6, 2014
Antonio RamirezStrategic Capital Group L.L.C. otherPrivate Advisory no RAUMOtherDec 31, 2014Sep 17, 2014
Ryan Christopher FinniganStrategic Capital Group L.L.C. otherPrivate Advisory no RAUMOtherDec 31, 2014Sep 17, 2014
Eric Christopher PenzWells Fargo Advisors wirehousePrivate Advisory no RAUMWirehouse to a newly registered adviser (no RAUM reported yet)Sep 3, 2014Oct 31, 2014 (58 d)
Paul Sangyop LeeTd Ameritrade, Inc. no RAUMPrivate Advisory no RAUMOtherApr 9, 2014Sep 12, 2014 (156 d)
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16 moves match.