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 The Fiduciary Alliance
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 |
|---|---|---|---|---|---|
| Sheree Dorothy Reeling | LPL Financial LLC BD affiliated | The Fiduciary Alliance independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 25, 2026 | Jul 1, 2026 |
| Gabriel Jenson Lopez | Cambridge Investment Research Advisors, Inc. BD affiliated | The Fiduciary Alliance independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 7, 2026 | Jun 25, 2026 |
| Noel Bateman Swain | Cambridge Investment Research Advisors, Inc. BD affiliated | The Fiduciary Alliance independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 1, 2026 | Jun 25, 2026 |
| Lori C. Avant | Impact Partnership Wealth, LLC independent RIA | The Fiduciary Alliance independent RIA | RIA to RIA | Jun 15, 2026 | Jun 16, 2026 |
| Calvin Tracy Leonard | Forthright Capital independent RIA | The Fiduciary Alliance independent RIA | RIA to RIA | Jan 27, 2026 | Jan 29, 2026 |
| Brianna Madren | Invst, LLC independent RIA | The Fiduciary Alliance independent RIA | RIA to RIA | Jan 20, 2026 | Jan 15, 2026 |
| Thomas Anthony Russo | LPL Enterprise, LLC BD affiliated | The Fiduciary Alliance independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 24, 2025 | Oct 23, 2025 |
| Damian Orlando Lombardi | Porter Investments state registered | The Fiduciary Alliance independent RIA | Other | Jun 27, 2025 | Jun 6, 2025 |
| David Lahmer Dunn | Capital Planning, LLC independent RIA | The Fiduciary Alliance independent RIA | RIA to RIA | May 27, 2025 | May 23, 2025 |
| Ted Miller | Simplicity Wealth mixed wealth | The Fiduciary Alliance independent RIA | RIA to RIA | Apr 25, 2025 | Oct 30, 2025 (188 d) |
| John Coble | Ameriprise Financial Services, LLC national BD | The Fiduciary Alliance independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 10, 2025 | Apr 9, 2025 |
| Katrina Domela Whitlinger | Innovative Private Wealth Management Inc. independent RIA | The Fiduciary Alliance independent RIA | RIA to RIA | Apr 1, 2025 | Mar 31, 2025 |
| Timothy Dick | Dakota Wealth, LLC independent RIA | The Fiduciary Alliance independent RIA | RIA to RIA | Jan 16, 2025 | Mar 27, 2025 (70 d) |
| Christopher Thomas Klein | Lifeplan Financial, LLC independent RIA | The Fiduciary Alliance independent RIA | RIA to RIA | Jan 6, 2025 | Apr 3, 2025 (87 d) |
| Dean Roger St. Marie | Bison Wealth, LLC independent RIA | The Fiduciary Alliance independent RIA | RIA to RIA | Dec 31, 2024 | Jan 8, 2025 |
| Stephen Michael Harvey | Cx Institutional, LLC independent RIA | The Fiduciary Alliance independent RIA | RIA to RIA | Dec 3, 2024 | Oct 10, 2025 (311 d) |
| Daniel Lee Phillips | Madison Park Capital Advisors, LLC independent RIA | The Fiduciary Alliance independent RIA | RIA to RIA | Nov 19, 2024 | Nov 8, 2024 |
| Richard Alan Sampley | Bison Wealth, LLC independent RIA | The Fiduciary Alliance independent RIA | RIA to RIA | Nov 8, 2024 | Nov 13, 2024 |
| Kyle William Crawford | Bison Wealth, LLC independent RIA | The Fiduciary Alliance independent RIA | RIA to RIA | Oct 7, 2024 | Nov 13, 2024 (37 d) |
| William Townson Grasty | Bison Wealth, LLC independent RIA | The Fiduciary Alliance independent RIA | RIA to RIA | Aug 29, 2024 | Aug 28, 2024 |
| Joe Barrow Tracy | Bison Wealth, LLC independent RIA | The Fiduciary Alliance independent RIA | RIA to RIA | Aug 23, 2024 | Jul 26, 2024 |
| Sam A Parail | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | The Fiduciary Alliance independent RIA | Wirehouse to independent RIA | Aug 1, 2024 | Nov 6, 2024 (97 d) |
| Dylan Wade Martin | Northwestern Mutual Investment Services,LLC no RAUM | The Fiduciary Alliance independent RIA | Other | May 31, 2024 | Jun 17, 2024 |
| Wesley Wayne Whitten | Encompass More Asset Management LLC independent RIA | The Fiduciary Alliance independent RIA | RIA to RIA | Apr 30, 2024 | Jul 6, 2026 (797 d) |
| David Jon Morrow | Raymond James Financial Services Advisors, Inc BD affiliated | The Fiduciary Alliance independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 2, 2024 | Mar 25, 2024 |
| James Lee Royals | Kestra Advisory Services, LLC BD affiliated | The Fiduciary Alliance independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 28, 2024 | Apr 1, 2024 |
| Jay Lynn Jackson | Primerica Advisors national BD | The Fiduciary Alliance independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 2, 2024 | Jan 4, 2024 |
| Christopher Lawrence Balcerowiak | Ameriprise Financial Services, LLC national BD | The Fiduciary Alliance independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 6, 2023 | May 19, 2023 |
| Mary Katherine Sheahan | Ameriprise Financial Services, LLC national BD | The Fiduciary Alliance independent RIA | Affiliated broker-dealer or bank to independent RIA | May 24, 2023 | May 19, 2023 |
| Anna Flasch Wolford | Syntrinsic Investment Counsel, LLC. other | The Fiduciary Alliance independent RIA | Other | Feb 28, 2023 | Jul 20, 2023 (142 d) |
| Theodore James Erhart | Trott Brook Financial independent RIA | The Fiduciary Alliance independent RIA | RIA to RIA | Feb 8, 2023 | Feb 7, 2023 |
| Brian Howard Dick | First Financial Advisors, LLC other | The Fiduciary Alliance independent RIA | Other | Jun 22, 2021 | Jul 7, 2021 |
| Joseph Warren Nelson | Spc BD affiliated | The Fiduciary Alliance independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 15, 2021 | Jun 18, 2021 |
| Randall Gray Neighbour | Spc BD affiliated | The Fiduciary Alliance independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 15, 2021 | Jun 16, 2021 |
| Matthew James Myrick | Spc BD affiliated | The Fiduciary Alliance independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 15, 2021 | Sep 23, 2022 (465 d) |
| Barry Raymond Dick | First Financial Advisors, LLC other | The Fiduciary Alliance independent RIA | Other | Mar 22, 2021 | Jul 7, 2021 (107 d) |
| Edgar Lawrence Mclean | First Financial Advisors, LLC other | The Fiduciary Alliance independent RIA | Other | Mar 22, 2021 | Mar 23, 2021 |
| Christopher Warren Wilbratte | Gwn Securities Inc. BD affiliated | The Fiduciary Alliance independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 2, 2021 | Feb 5, 2021 |
| Robert Stephen Moses | Hornor, Townsend & Kent, LLC BD affiliated | The Fiduciary Alliance independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 5, 2020 | Dec 23, 2020 (79 d) |
| Susan S Harvell | Foster Victor independent RIA | The Fiduciary Alliance independent RIA | RIA to RIA | Aug 24, 2020 | Sep 10, 2020 |
| Peyton Chandler Hoppes | Ameriprise Financial Services, LLC national BD | The Fiduciary Alliance independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 20, 2019 | Oct 21, 2019 (62 d) |
| David Thomas Chudyk | Nationwide Securities, LLC no RAUM | The Fiduciary Alliance independent RIA | Other | Jul 31, 2019 | Aug 5, 2019 |
| David Parker Hughes | Cg Advisory Services other | The Fiduciary Alliance no RAUM | Other | Mar 28, 2017 | Sep 23, 2016 |
| Stuart Sommerville Canzeri | Cg Advisory Services other | The Fiduciary Alliance no RAUM | Other | Mar 28, 2017 | Sep 23, 2016 |
| Veronica Parker Mackey | Park Avenue Securities LLC other | The Fiduciary Alliance independent RIA | Other | Mar 15, 2017 | Nov 1, 2018 (596 d) |
| Anthony Richard Mahfood | Bison Wealth, LLC other | The Fiduciary Alliance no RAUM | Other | Oct 6, 2016 | Sep 21, 2016 |
| Gregory Miller Towner | Bison Wealth, LLC other | The Fiduciary Alliance no RAUM | Other | Oct 6, 2016 | Sep 21, 2016 |
| Brian James Boughner | Bison Wealth, LLC other | The Fiduciary Alliance independent RIA | Other | Oct 6, 2016 | Mar 6, 2026 (3438 d) |
| Steven Wayne Tolleson | Bison Wealth, LLC other | The Fiduciary Alliance other | Other | Oct 6, 2016 | Nov 1, 2016 |
| William Robert Hines | Bison Wealth, LLC other | The Fiduciary Alliance no RAUM | Other | Oct 6, 2016 | Sep 21, 2016 |
Page 1 of 1
50 moves match.