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 Kelly Financial Services 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
Joshua Matthew SmithShp Wealth Management, LLC independent RIAKelly Financial Services LLC independent RIARIA to RIASep 4, 2025Dec 19, 2025 (106 d)
Charles William GableWells Fargo Advisors wirehouseKelly Financial Services LLC independent RIAWirehouse to independent RIANov 9, 2020Jan 11, 2023 (793 d)
Gregory John WorkmanSecurian Financial Services, Inc. BD affiliatedKelly Financial Services LLC independent RIAAffiliated broker-dealer or bank to independent RIAOct 8, 2020Feb 17, 2021 (132 d)
Michael Patrick DoucetteSecurian Financial Services, Inc. BD affiliatedKelly Financial Services LLC independent RIAAffiliated broker-dealer or bank to independent RIASep 18, 2020Sep 29, 2020
Lloyd Ward JohnsonSantander Securities BD affiliatedKelly Financial Services LLC independent RIAAffiliated broker-dealer or bank to independent RIAJan 14, 2020Jan 15, 2020
Kenneth E O'ConnorCitizens Securities, Inc. BD affiliatedKelly Financial Services LLC independent RIAAffiliated broker-dealer or bank to independent RIAJun 26, 2018Aug 21, 2019 (421 d)
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6 moves match.