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 Lake Street
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 |
|---|---|---|---|---|---|
| Jacob Lee Hartke | Elevation Point Wealth Partners, LLC independent RIA | Lake Street independent RIA | RIA to RIA | Jul 21, 2025 | Jun 2, 2025 |
| Stephen Matthew Weber | Raymond James & Associates, Inc. national BD | Lake Street independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 16, 2021 | Nov 9, 2021 |
| Brian Nicholas Degrado | Raymond James & Associates, Inc. national BD | Lake Street independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 11, 2021 | Nov 1, 2021 |
| Anuj Dave Grover | Wells Fargo Advisors wirehouse | Lake Street independent RIA | Wirehouse to independent RIA | Aug 25, 2021 | Sep 1, 2021 |
| Ryan Nelson Todd | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Lake Street independent RIA | Wirehouse to independent RIA | Oct 2, 2020 | Oct 1, 2020 |
| Matthew Heise | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Lake Street independent RIA | Wirehouse to independent RIA | Jul 27, 2020 | Aug 3, 2020 |
| Richard S O'Hara | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Lake Street independent RIA | Wirehouse to independent RIA | Apr 22, 2019 | Apr 24, 2019 |
| Donald Lee Roseen | United Advisors Services, LLC independent RIA | Lake Street independent RIA | RIA to RIA | Sep 26, 2018 | Sep 14, 2018 |
| Justin Michael Terzo | United Advisors Services, LLC independent RIA | Lake Street no RAUM | RIA to a newly registered adviser | Jun 15, 2018 | May 16, 2018 |
| Joseph David Stock | United Advisors Services, LLC independent RIA | Lake Street no RAUM | RIA to a newly registered adviser | Jun 15, 2018 | May 16, 2018 |
| Bradley Charles Tipple | Robert W. Baird & Co. Incorporated other | Lake Street independent RIA | Other | Jun 21, 2017 | Jul 14, 2020 (1119 d) |
Page 1 of 1
11 moves match.