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 Sovereign Financial Group, 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.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Thomas Allen Griffore | Great Lakes Wealth, LLC independent RIA | Sovereign Financial Group, Inc. independent RIA | RIA to RIA | Jan 23, 2026 | Jan 26, 2026 |
| Daniel Carl Pascone | LPL Financial LLC BD affiliated | Sovereign Financial Group, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 5, 2025 | Oct 31, 2025 |
| Caryn J Smith | Mercer Global Advisors Inc. independent RIA | Sovereign Financial Group, Inc. independent RIA | RIA to RIA | Jun 13, 2025 | Jun 4, 2025 |
| Matthew James Foederer | LPL Financial LLC BD affiliated | Sovereign Financial Group, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 12, 2025 | Jun 3, 2025 |
| Nicholas Donald Thiede | Cg Advisory Services independent RIA | Sovereign Financial Group, Inc. independent RIA | RIA to RIA | Apr 7, 2025 | Apr 29, 2025 |
| Bruce Blase Palen | Great Lakes Wealth, LLC independent RIA | Sovereign Financial Group, Inc. independent RIA | RIA to RIA | Jan 2, 2024 | Jan 2, 2024 |
| Robert Clinton Chedester | Credentialed Wealth Advisors, LLC independent RIA | Sovereign Financial Group, Inc. independent RIA | RIA to RIA | Jun 5, 2023 | Jun 6, 2023 |
| John Raymond Buoni | Janney Montgomery Scott LLC BD affiliated | Sovereign Financial Group, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 2, 2023 | Jul 7, 2023 (35 d) |
| Brittany Jean Rogers | Accelerated Wealth Advisors LLC independent RIA | Sovereign Financial Group, Inc. independent RIA | RIA to RIA | Mar 20, 2023 | Mar 17, 2023 |
| Myles Warren Boege | Park Avenue Securities LLC BD affiliated | Sovereign Financial Group, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 4, 2022 | Oct 20, 2022 |
| Barton Lester Young | Raymond James Financial Services Advisors, Inc BD affiliated | Sovereign Financial Group, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 13, 2022 | Oct 14, 2022 |
| Ryan Patrick Asher | Curran Financial Partners, LLC independent RIA | Sovereign Financial Group, Inc. independent RIA | RIA to RIA | Apr 18, 2022 | Jul 25, 2023 (463 d) |
| Alyssa Zuck | Cwm, LLC BD affiliated | Sovereign Financial Group, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 28, 2022 | Feb 15, 2022 |
| David Russell Wren | Raymond James Financial Services Advisors, Inc BD affiliated | Sovereign Financial Group, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 11, 2021 | Oct 1, 2021 |
| Heather Jane Cramer | Ameriprise Financial Services, LLC national BD | Sovereign Financial Group, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | May 21, 2021 | Jul 8, 2021 (48 d) |
| David Roger Primozich | Stone Arch Wealth Advisors, LLC other | Sovereign Financial Group, Inc. independent RIA | Other | Mar 2, 2021 | Oct 6, 2020 |
| Patricia Jane Ludgate | Financial Planning Advisors Inc. state registered | Sovereign Financial Group, Inc. independent RIA | Other | Oct 28, 2020 | Oct 16, 2020 |
| Vern Clarence Hayden | Money Concepts Advisory Service BD affiliated | Sovereign Financial Group, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 30, 2020 | Jul 1, 2020 |
| Rosemary Taverna | Commonwealth Financial Network national BD | Sovereign Financial Group, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 1, 2020 | Apr 2, 2020 |
| Steven Alexander Massey | Raymond James Financial Services Advisors, Inc BD affiliated | Sovereign Financial Group, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 31, 2019 | Jan 2, 2020 |
| Prather Randolph Hill | Morgan Stanley wirehouse | Sovereign Financial Group, Inc. independent RIA | Wirehouse to independent RIA | Jul 5, 2019 | Jul 1, 2019 |
| John Karl Kochersperger | Raymond James Financial Services Advisors, Inc BD affiliated | Sovereign Financial Group, Inc. no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Dec 31, 2018 | Feb 1, 2019 (32 d) |
| David Joshua Feldman | Raymond James Financial Services Advisors, Inc BD affiliated | Sovereign Financial Group, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 31, 2018 | Sep 11, 2019 (254 d) |
| Charles L. Failla | Sovereign Financial Group, Inc. unclassified | Sovereign Financial Group, Inc. no RAUM | Other | Dec 31, 2010 | Feb 1, 2019 (2954 d) |
| John Christian Dady | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Sovereign Financial Group, Inc. independent RIA | Wirehouse to independent RIA | Mar 2, 2005 | Jan 22, 2021 (5805 d) |
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25 moves match.