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 Mariner Advisor Network
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 |
|---|---|---|---|---|---|
| Leslie Minter Castillo | LPL Financial LLC BD affiliated | Mariner Advisor Network independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 17, 2026 | Dec 1, 2020 |
| Steven Roy Perry | LPL Financial LLC BD affiliated | Mariner Advisor Network independent RIA | Affiliated broker-dealer or bank to independent RIA | May 28, 2026 | Dec 9, 2022 |
| Jennifer Scaglione | LPL Financial LLC BD affiliated | Mariner Advisor Network BD affiliated | Affiliated broker-dealer or bank to another | May 28, 2026 | Feb 10, 2025 |
| Arrin Michelle Simpson | Trajan Wealth, L.L.C. independent RIA | Mariner Advisor Network BD affiliated | RIA to affiliated broker-dealer or bank | Apr 24, 2026 | Apr 1, 2026 |
| Garson Tanner Graham | Edward Jones national BD | Mariner Advisor Network BD affiliated | Affiliated broker-dealer or bank to another | Apr 17, 2026 | Apr 20, 2026 |
| Shayla Rose Cloutier | Edward Jones national BD | Mariner Advisor Network BD affiliated | Affiliated broker-dealer or bank to another | Mar 2, 2026 | Mar 12, 2026 |
| Timothy James Warren | Cetera Investment Advisers LLC BD affiliated | Mariner Advisor Network BD affiliated | Affiliated broker-dealer or bank to another | Feb 27, 2026 | Feb 2, 2026 |
| Vida Maria Jatulis | Mainstreet Financial Planning, Inc. state registered | Mariner Advisor Network BD affiliated | Other | Jan 16, 2026 | Jan 20, 2026 |
| Ian K Foo | Cetera Investment Advisers LLC BD affiliated | Mariner Advisor Network BD affiliated | Affiliated broker-dealer or bank to another | Nov 11, 2025 | Nov 17, 2025 |
| Troy Darrock | LPL Financial LLC BD affiliated | Mariner Advisor Network independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 29, 2025 | Sep 29, 2022 |
| John Guess | Edward Jones national BD | Mariner Advisor Network BD affiliated | Affiliated broker-dealer or bank to another | Jun 6, 2025 | Jun 27, 2025 |
| Charla Spalluto Misse | Voya Financial Advisors, Inc. BD affiliated | Mariner Advisor Network BD affiliated | Affiliated broker-dealer or bank to another | Apr 16, 2025 | Apr 16, 2025 |
| David Neate | LPL Financial LLC BD affiliated | Mariner Advisor Network BD affiliated | Affiliated broker-dealer or bank to another | Apr 10, 2025 | Feb 10, 2025 |
| Adam Gourley | RBC Securities, Inc. independent RIA | Mariner Advisor Network BD affiliated | RIA to affiliated broker-dealer or bank | Feb 28, 2025 | May 30, 2025 (91 d) |
| Sajni Desai Shah | Fidelity Personal And Workplace Advisors BD affiliated | Mariner Advisor Network BD affiliated | Affiliated broker-dealer or bank to another | Nov 26, 2024 | Nov 26, 2024 |
| Jeffrey Weaver | Edward Jones national BD | Mariner Advisor Network BD affiliated | Affiliated broker-dealer or bank to another | Nov 18, 2024 | Nov 18, 2024 |
| Thomas Russell Croxton | Compound Planning, Inc. independent RIA | Mariner Advisor Network BD affiliated | RIA to affiliated broker-dealer or bank | Oct 21, 2024 | Nov 18, 2024 |
| John Kristopher Keiper | Credit Union Investment Services state registered | Mariner Advisor Network BD affiliated | Other | Oct 21, 2024 | Nov 6, 2024 |
| Mitchell K Robinson | Adaptation Financial Advisors Inc. independent RIA | Mariner Advisor Network BD affiliated | RIA to affiliated broker-dealer or bank | Oct 17, 2024 | Oct 31, 2024 |
| Austin Grant Kemmerer | Mariner BD affiliated | Mariner Advisor Network BD affiliated | Affiliated broker-dealer or bank to another | Oct 1, 2024 | Oct 2, 2024 |
| Paul Stanton Viren | LPL Financial LLC BD affiliated | Mariner Advisor Network other | Other | Aug 16, 2024 | Jul 6, 2016 |
| Dustin James Davis | Edward Jones national BD | Mariner Advisor Network BD affiliated | Affiliated broker-dealer or bank to another | May 31, 2024 | May 31, 2024 |
| Bradley Scott Moser | Stifel, Nicolaus & Company, Incorporated national BD | Mariner Advisor Network BD affiliated | Affiliated broker-dealer or bank to another | Feb 23, 2024 | Feb 9, 2024 |
| Brice Gregory Lowe | Stifel, Nicolaus & Company, Incorporated national BD | Mariner Advisor Network BD affiliated | Affiliated broker-dealer or bank to another | Feb 23, 2024 | Feb 9, 2024 |
| Jonathan David Caplan | Atlas Private Wealth Advisors independent RIA | Mariner Advisor Network BD affiliated | RIA to affiliated broker-dealer or bank | Dec 11, 2023 | Oct 2, 2023 |
| Mark Levy | Legacy Wealth Planning, LLC independent RIA | Mariner Advisor Network BD affiliated | RIA to affiliated broker-dealer or bank | Dec 4, 2023 | Sep 7, 2023 |
| Martin Major Mcclellan | Legacy Wealth Planning, LLC independent RIA | Mariner Advisor Network BD affiliated | RIA to affiliated broker-dealer or bank | Dec 4, 2023 | Sep 7, 2023 |
| Jon Bruce Park | Legacy Wealth Planning, LLC independent RIA | Mariner Advisor Network BD affiliated | RIA to affiliated broker-dealer or bank | Dec 4, 2023 | Dec 4, 2023 |
| Christopher Eric Vargas | Legacy Wealth Planning, LLC independent RIA | Mariner Advisor Network BD affiliated | RIA to affiliated broker-dealer or bank | Dec 4, 2023 | Jun 13, 2023 |
| Wendy Ann Hammond | Legacy Wealth Planning, LLC independent RIA | Mariner Advisor Network BD affiliated | RIA to affiliated broker-dealer or bank | Dec 4, 2023 | Jul 19, 2023 |
| Mason Bodie Monroe | Legacy Wealth Planning, LLC independent RIA | Mariner Advisor Network BD affiliated | RIA to affiliated broker-dealer or bank | Dec 4, 2023 | Aug 16, 2023 |
| Elise Marie Levy | Legacy Wealth Planning, LLC independent RIA | Mariner Advisor Network BD affiliated | RIA to affiliated broker-dealer or bank | Dec 4, 2023 | Dec 8, 2023 |
| Paul David Abdenour | Elevation Point Wealth Partners, LLC independent RIA | Mariner Advisor Network BD affiliated | RIA to affiliated broker-dealer or bank | Dec 1, 2023 | Nov 13, 2024 (348 d) |
| Glenn Eric Raese | Principal Asset Management other | Mariner Advisor Network BD affiliated | Other | Oct 24, 2023 | Jan 12, 2024 (80 d) |
| William Scott Perry | Teamwork Financial Advisors, LLC independent RIA | Mariner Advisor Network BD affiliated | RIA to affiliated broker-dealer or bank | Oct 17, 2023 | Oct 12, 2023 |
| Marlon Eduardo "Eddie" Zavala | Teamwork Financial Advisors, LLC independent RIA | Mariner Advisor Network BD affiliated | RIA to affiliated broker-dealer or bank | Oct 17, 2023 | Oct 12, 2023 |
| David Robert Lyon | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Mariner Advisor Network BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 6, 2023 | Oct 19, 2023 (43 d) |
| James M. Graham | Osaic Fa, Inc. BD affiliated | Mariner Advisor Network BD affiliated | Affiliated broker-dealer or bank to another | Aug 1, 2023 | Jul 31, 2023 |
| Jeff David Shafer | Osaic Fa, Inc. BD affiliated | Mariner Advisor Network BD affiliated | Affiliated broker-dealer or bank to another | Jul 31, 2023 | Jul 31, 2023 |
| Keith Muth | Securian Financial Services, Inc. independent RIA | Mariner Advisor Network BD affiliated | RIA to affiliated broker-dealer or bank | Jun 9, 2023 | Jun 5, 2023 |
| Keith Lavern Muth | Securian Financial Services, Inc. independent RIA | Mariner Advisor Network BD affiliated | RIA to affiliated broker-dealer or bank | Jun 5, 2023 | Jun 5, 2023 |
| Derek William Cockrell | Cambridge Investment Research Advisors, Inc. BD affiliated | Mariner Advisor Network BD affiliated | Affiliated broker-dealer or bank to another | Apr 26, 2023 | Apr 26, 2023 |
| Lamont Adrian Brown | Private Advisor Group, LLC BD affiliated | Mariner Advisor Network BD affiliated | Affiliated broker-dealer or bank to another | Apr 17, 2023 | Apr 5, 2023 |
| Jesse James Ettlin | Edward Jones national BD | Mariner Advisor Network independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 7, 2023 | Mar 3, 2023 |
| Lucas John Mijares | Edward Jones national BD | Mariner Advisor Network independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 6, 2023 | Mar 3, 2023 |
| Larry Alan Dietz | Valmark Advisers, Inc. BD affiliated | Mariner Advisor Network independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 17, 2023 | Feb 17, 2023 |
| Jong Sook Oh | Fsc Securities Corporation BD affiliated | Mariner Advisor Network independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 16, 2023 | Feb 16, 2023 |
| Carolyn Soohae Oh | Fsc Securities Corporation BD affiliated | Mariner Advisor Network independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 16, 2023 | Feb 15, 2023 |
| Eric Curtis Sporing | Bfc Planning, Inc. BD affiliated | Mariner Advisor Network BD affiliated | Affiliated broker-dealer or bank to another | Feb 3, 2023 | Apr 27, 2023 (83 d) |
| Marco Antonio Anaya | LPL Financial LLC independent RIA | Mariner Advisor Network independent RIA | RIA to RIA | Dec 8, 2022 | Dec 15, 2022 |
| Austin Cua | LPL Financial LLC independent RIA | Mariner Advisor Network BD affiliated | RIA to affiliated broker-dealer or bank | Oct 28, 2022 | Aug 18, 2023 (294 d) |
| Gabriel Garcia | Edward Jones national BD | Mariner Advisor Network independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 18, 2022 | Oct 18, 2022 |
| Bruce Webber Wilson | Advantage Wealth Advisors independent RIA | Mariner Advisor Network independent RIA | RIA to RIA | May 19, 2022 | May 26, 2022 |
| Jay H Kim | LPL Financial LLC independent RIA | Mariner Advisor Network independent RIA | RIA to RIA | Apr 26, 2022 | Jun 18, 2021 |
| Christopher Anton Dime | Financial Advocates Investment Management independent RIA | Mariner Advisor Network independent RIA | RIA to RIA | Apr 26, 2022 | Apr 26, 2022 |
| Mark Christopher Shoemaker | Cetera Investment Advisers LLC BD affiliated | Mariner Advisor Network independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 21, 2022 | Apr 20, 2022 |
| Victoria Chin-I Wang | First Financial Equity Corporation BD affiliated | Mariner Advisor Network independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 10, 2022 | Mar 7, 2022 |
| Frank Peter Messano | First Financial Equity Corporation BD affiliated | Mariner Advisor Network independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 10, 2022 | Mar 7, 2022 |
| Harold J Hicks | Voya Financial Advisors, Inc. BD affiliated | Mariner Advisor Network independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 25, 2022 | Feb 22, 2022 |
| John Draper Lischer | Charles Schwab & Co., Inc. national BD | Mariner Advisor Network BD affiliated | Affiliated broker-dealer or bank to another | Feb 17, 2022 | Oct 23, 2024 (979 d) |
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147 moves match.