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 Brio Financial Group
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 |
|---|---|---|---|---|---|
| Robert Joseph Gregory Mendoza | Bailard, Inc. independent RIA | Brio Financial Group independent RIA | RIA to RIA | Aug 5, 2026 | Sep 17, 2026 (43 d) |
| Margaret Mary Callahan | Focus Partners Wealth, LLC independent RIA | Brio Financial Group independent RIA | RIA to RIA | Jan 29, 2026 | Jan 29, 2026 |
| Jonathan Smith Rushton | Corient independent RIA | Brio Financial Group independent RIA | RIA to RIA | Dec 31, 2024 | Mar 28, 2025 (87 d) |
| Po Teng | J.P. Morgan Securities LLC wirehouse | Brio Financial Group independent RIA | Wirehouse to independent RIA | Aug 1, 2024 | Nov 5, 2024 (96 d) |
| Mariana Llamas | Xena Financial Planning unclassified | Brio Financial Group independent RIA | Other | Jan 9, 2024 | Feb 28, 2024 (50 d) |
| Rachel Sung-Hee Shin | Yeske Buie Inc. independent RIA | Brio Financial Group independent RIA | RIA to RIA | Sep 22, 2023 | Sep 27, 2023 |
| Lindsey Danae Swanson | Real Wealth Planning state registered | Brio Financial Group independent RIA | Other | Aug 14, 2023 | May 26, 2023 |
| Shana Lesch Ballard | Ep Wealth Advisors independent RIA | Brio Financial Group independent RIA | RIA to RIA | Feb 14, 2020 | Jun 4, 2020 (111 d) |
| Gerald Antonio | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Brio Financial Group independent RIA | Wirehouse to independent RIA | Apr 9, 2018 | Aug 1, 2023 (1940 d) |
| Lauren Marie Fortier | Ameriprise Financial Services, LLC national BD | Brio Financial Group no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Oct 23, 2017 | Oct 13, 2017 |
| Shilpa Girish Andalkar | Ameriprise Financial Services, LLC national BD | Brio Financial Group no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Oct 20, 2017 | Oct 13, 2017 |
| Gene Boyd Elliott | Ameriprise Financial Services, LLC national BD | Brio Financial Group no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Oct 19, 2017 | Oct 13, 2017 |
| Abraham Martinez | Ameriprise Financial Services, LLC national BD | Brio Financial Group no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Oct 19, 2017 | Oct 13, 2017 |
| Daniel Gerald Platt | Ameriprise Financial Services, LLC national BD | Brio Financial Group no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Oct 18, 2017 | Oct 13, 2017 |
| Brandon Jay Miller | Ameriprise Financial Services, LLC national BD | Brio Financial Group no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Oct 17, 2017 | Oct 13, 2017 |
| Jonathan Scott Clements | Zions Capital Advisors, Inc. other | Brio Financial Group independent RIA | Other | Jun 25, 2012 | Nov 29, 2021 (3444 d) |
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16 moves match.