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 Sovereign 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.

AdvisorFromToTypeLeftRegistered
Stephen Craig HallCetera Investment Advisers LLC BD affiliatedSovereign Wealth Advisors LLC independent RIAAffiliated broker-dealer or bank to independent RIAFeb 7, 2025Jun 2, 2025 (115 d)
Walter Eugene TheobaldRBC Capital Markets, LLC national BDSovereign Wealth Advisors LLC independent RIAAffiliated broker-dealer or bank to independent RIANov 27, 2024Jun 5, 2025 (190 d)
Bradley Alan BowmanIntrua Financial independent RIASovereign Wealth Advisors LLC independent RIARIA to RIANov 8, 2023Jun 29, 2022
Rodolfo G ChoperenaMorgan Stanley wirehouseSovereign Wealth Advisors LLC independent RIAWirehouse to independent RIASep 22, 2023Sep 21, 2023
Samuelson Itaborai DrumondEdward Jones national BDSovereign Wealth Advisors LLC independent RIAAffiliated broker-dealer or bank to independent RIAJun 23, 2023Jun 28, 2023
Tomiko Reyelle ArthurAmericana Partners, LLC independent RIASovereign Wealth Advisors LLC independent RIARIA to RIASep 13, 2022Nov 20, 2023 (433 d)
John Allen BlairAllstate Financial Advisors, LLC BD affiliatedSovereign Wealth Advisors LLC independent RIAAffiliated broker-dealer or bank to independent RIAJul 12, 2022Jul 1, 2022
Teresa Michele TheobaldRBC Capital Markets, LLC national BDSovereign Wealth Advisors LLC otherOtherMar 29, 2017Mar 30, 2017
Suzette TejedaPnc Managed Account Solutions, Inc. otherSovereign Wealth Advisors LLC otherOtherJun 27, 2016Jul 28, 2016 (31 d)
Frank M. SarubbiLPL Financial LLC otherSovereign Wealth Advisors LLC no RAUMOtherMar 4, 2016Jun 29, 2015
Brandon Keith GayWells Fargo Advisors wirehouseSovereign Wealth Advisors LLC otherOtherMar 1, 2016Mar 2, 2016
Marcus JassoJ.P. Morgan Securities LLC wirehouseSovereign Wealth Advisors LLC no RAUMWirehouse to a newly registered adviser (no RAUM reported yet)Jul 7, 2015Aug 4, 2015
Paul Anthony DickensEdward Jones national BDSovereign Wealth Advisors LLC no RAUMAffiliated broker-dealer or bank to a newly registered adviserJun 11, 2015Jul 30, 2015 (49 d)
Robert Edward LeeMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseSovereign Wealth Advisors LLC otherOtherAug 18, 2014Nov 15, 2017 (1185 d)
Stephen John MchaleHilltop Securities Inc. otherSovereign Wealth Advisors LLC otherOtherJul 30, 2014Nov 15, 2017 (1204 d)
Paul Lawrence WobbeWells Fargo Advisors wirehouseSovereign Wealth Advisors LLC no RAUMWirehouse to a newly registered adviser (no RAUM reported yet)Dec 14, 2009Jun 29, 2015 (2023 d)
Stephen Scott BarberMorgan Stanley wirehouseSovereign Wealth Advisors LLC no RAUMWirehouse to a newly registered adviser (no RAUM reported yet)Oct 12, 2009Jun 30, 2015 (2087 d)
William Milton BevillSecurian Financial Services, Inc. otherSovereign Wealth Advisors LLC no RAUMOtherJul 29, 2009Jun 29, 2015 (2161 d)
William Lee VaseliadesMorgan Stanley wirehouseSovereign Wealth Advisors LLC no RAUMWirehouse to a newly registered adviser (no RAUM reported yet)Jul 20, 2009Jun 30, 2015 (2171 d)
Elisia Faith PearsonValic Financial Advisors, Inc. otherSovereign Wealth Advisors LLC no RAUMOtherMar 31, 2009Jun 29, 2015 (2281 d)
Douglas Buchanan YaugerEdward Jones national BDSovereign Wealth Advisors LLC no RAUMAffiliated broker-dealer or bank to a newly registered adviserMar 4, 2008Jun 29, 2015 (2673 d)
Paul Alexander DixonFirst Midamerica Investment Corporation unclassifiedSovereign Wealth Advisors LLC no RAUMOtherOct 22, 2007Jun 29, 2015 (2807 d)
Matthew Quinn HolderA. G. Edwards & Sons, Inc. unclassifiedSovereign Wealth Advisors LLC no RAUMOtherSep 6, 2007Jun 29, 2015 (2853 d)
Daniel Hamilton EatonA. G. Edwards & Sons, Inc. unclassifiedSovereign Wealth Advisors LLC no RAUMOtherAug 27, 2007Jun 29, 2015 (2863 d)
Phillip Morgan EvansMorgan Keegan & Company, LLC otherSovereign Wealth Advisors LLC no RAUMOtherMar 21, 2006Jun 29, 2015 (3387 d)
Martin B PeskinMorgan Stanley Dw Inc. unclassifiedSovereign Wealth Advisors LLC no RAUMOtherNov 2, 2005Jun 29, 2015 (3526 d)
Russell Thomas GebhardMorgan Stanley Dw Inc. unclassifiedSovereign Wealth Advisors LLC no RAUMOtherAug 29, 2005Jun 29, 2015 (3591 d)
Neal Alan BrittMorgan Stanley Dw Inc. unclassifiedSovereign Wealth Advisors LLC no RAUMOtherAug 29, 2005Jun 29, 2015 (3591 d)
Jeff Alan PeskinMorgan Stanley Dw Inc. unclassifiedSovereign Wealth Advisors LLC no RAUMOtherAug 29, 2005Jun 29, 2015 (3591 d)
Charles Lawrence FahyUBS Financial Services Inc. wirehouseSovereign Wealth Advisors LLC no RAUMWirehouse to a newly registered adviser (no RAUM reported yet)Nov 3, 2004Jun 30, 2015 (3891 d)
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30 moves match.