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 49 Financial
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 |
|---|---|---|---|---|---|
| Michael Scott Kipniss | MML Investors Services, LLC BD affiliated | 49 Financial independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 16, 2026 | Jan 12, 2026 |
| Nicholas Irving Arthur Wheeler | Cerity Partners LLC independent RIA | 49 Financial independent RIA | RIA to RIA | Aug 1, 2025 | Sep 2, 2026 (397 d) |
| Scott Edward Neils | Ameriprise Financial Services, LLC national BD | 49 Financial independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 26, 2025 | Jul 22, 2025 |
| Elizabeth Marie Odegaard | Thrivent Investment Management Inc. BD affiliated | 49 Financial independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 1, 2025 | Apr 29, 2025 |
| Josiah Paul Sears | Oxford Financial Group, Ltd independent RIA | 49 Financial independent RIA | RIA to RIA | Oct 18, 2024 | Jan 10, 2025 (84 d) |
| Austin David Thompson | Equitable Advisors, LLC national BD | 49 Financial independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 21, 2023 | Jul 5, 2023 |
| Theodore Stanley Grant III | Equitable Advisors, LLC national BD | 49 Financial independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 7, 2023 | Jul 7, 2023 |
| Lucas Walter Miller Winskowski | Thrivent Investment Management Inc. BD affiliated | 49 Financial independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 3, 2023 | Apr 12, 2024 (434 d) |
| Kaili Erin Winters | Financial Gravity Family Office Services, LLC independent RIA | 49 Financial independent RIA | RIA to RIA | Jan 6, 2023 | Jan 27, 2023 |
| Amber C Allen | LPL Financial LLC independent RIA | 49 Financial independent RIA | RIA to RIA | Aug 12, 2022 | Feb 3, 2023 (175 d) |
Page 1 of 1
10 moves match.