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 Balboa Wealth Partners, Inc.

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
Sandra Jessica GoinsMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseBalboa Wealth Partners, Inc. independent RIAWirehouse to independent RIAMar 24, 2026Apr 30, 2026 (37 d)
Michael Gerard SantoroRetirement Consultants, Inc. unclassifiedBalboa Wealth Partners, Inc. independent RIAOtherDec 4, 2025Nov 14, 2025
Paul OhCitigroup Global Markets Inc. BD affiliatedBalboa Wealth Partners, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAJul 21, 2025Oct 8, 2025 (79 d)
John Gregory DayEdward Jones national BDBalboa Wealth Partners, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAMar 28, 2025Mar 27, 2025
Joshua Christopher BlissLPL Financial LLC BD affiliatedBalboa Wealth Partners, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAOct 10, 2024Nov 19, 2024 (40 d)
Richard Anthony RivaWealth Management Solutions, LLC independent RIABalboa Wealth Partners, Inc. independent RIARIA to RIAMay 1, 2024May 1, 2024
John Sloan ArensEdward Jones national BDBalboa Wealth Partners, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAApr 23, 2024May 8, 2024
John William RobisonEdward Jones national BDBalboa Wealth Partners, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAMay 19, 2023Jul 21, 2023 (63 d)
Gregory Scott HermesFirst Financial Equity Corporation BD affiliatedBalboa Wealth Partners, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAFeb 14, 2022Feb 10, 2022
Duane Kevin ShumakerFirst Financial Equity Corporation BD affiliatedBalboa Wealth Partners, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAFeb 14, 2022Feb 11, 2022
Ryan Christopher RobinsonFirst Financial Equity Corporation BD affiliatedBalboa Wealth Partners, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAFeb 14, 2022Feb 11, 2022
Richard Joseph RockMorgan Stanley wirehouseBalboa Wealth Partners, Inc. independent RIAWirehouse to independent RIAAug 5, 2021Aug 26, 2021
David Matthew MowadFirst Financial Equity Corporation BD affiliatedBalboa Wealth Partners, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAMar 18, 2021Mar 10, 2021
Mark Thomas ZielinskiSandlapper Wealth Management, LLC independent RIABalboa Wealth Partners, Inc. independent RIARIA to RIADec 31, 2020Jul 17, 2019
Michael Raymond FragerIntegrity Brokerage, LLC unclassifiedBalboa Wealth Partners, Inc. independent RIAOtherApr 20, 2020Aug 21, 2024 (1584 d)
Carrie Ann SimmonsTransamerica Financial Advisors, LLC BD affiliatedBalboa Wealth Partners, Inc. mixed wealthAffiliated broker-dealer or bank to independent RIADec 11, 2018Dec 10, 2018
Gerald William ZelkoWells Fargo Advisors wirehouseBalboa Wealth Partners, Inc. independent RIAWirehouse to independent RIAOct 17, 2018Jan 1, 2026 (2633 d)
Jeremy Dean TateMorgan Stanley wirehouseBalboa Wealth Partners, Inc. mixed wealthWirehouse to independent RIASep 28, 2018Sep 21, 2018
Richard Brooks BrydgesDaniel Wealth Advisors otherBalboa Wealth Partners, Inc. otherOtherDec 4, 2017Dec 4, 2017
Brett Jerome SaddlerIntegrity Brokerage, LLC unclassifiedBalboa Wealth Partners, Inc. otherOtherNov 20, 2017Jan 26, 2017
Brett James UpperAlphacore Capital LLC otherBalboa Wealth Partners, Inc. otherOtherMay 15, 2017Dec 5, 2017 (204 d)
Kozen Edward TsukamotoAmerican Asset Advisory, LLC unclassifiedBalboa Wealth Partners, Inc. otherOtherSep 9, 2016Sep 6, 2016
Cheryl Jean GruetzmacherWells Fargo Advisors wirehouseBalboa Wealth Partners, Inc. independent RIAWirehouse to independent RIAJul 29, 2016Aug 21, 2024 (2945 d)
Yvette SpillmanRedhawk Wealth Advisors, Inc. otherBalboa Wealth Partners, Inc. otherOtherJun 22, 2016Jan 31, 2018 (588 d)
Thomas Joseph BreslinLPL Financial LLC otherBalboa Wealth Partners, Inc. no RAUMOtherApr 15, 2016Apr 20, 2016
Jeffrey Alan GilbertDaniel Wealth Advisors otherBalboa Wealth Partners, Inc. no RAUMOtherFeb 22, 2016Feb 1, 2016
Erin Murray WilliamsAxis Advisors, Inc. unclassifiedBalboa Wealth Partners, Inc. otherOtherDec 31, 2011Jan 18, 2017 (1845 d)
Rodolfo RodriguezMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseBalboa Wealth Partners, Inc. independent RIAWirehouse to independent RIAJan 14, 2009Jan 2, 2025 (5832 d)
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28 moves match.