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 Modern Wealth Management, 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.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Tony Edward Dubose | Lwm Advisory Services, LLC independent RIA | Modern Wealth Management, LLC independent RIA | RIA to RIA | Aug 31, 2026 | Mar 27, 2026 |
| Julian Rubinstein | American Asset Management Inc. independent RIA | Modern Wealth Management, LLC independent RIA | RIA to RIA | Aug 11, 2026 | Aug 10, 2026 |
| Marco R Bohorquez | Lwm Advisory Services, LLC independent RIA | Modern Wealth Management, LLC independent RIA | RIA to RIA | Jul 31, 2026 | Mar 24, 2026 |
| Barbara Eileen Sacharow | Lwm Advisory Services, LLC independent RIA | Modern Wealth Management, LLC independent RIA | RIA to RIA | Jul 31, 2026 | Mar 24, 2026 |
| Sonja Koppenwallner | Lwm Advisory Services, LLC independent RIA | Modern Wealth Management, LLC independent RIA | RIA to RIA | Jul 31, 2026 | Mar 24, 2026 |
| Valeria Carolina Ortega | Lwm Advisory Services, LLC independent RIA | Modern Wealth Management, LLC independent RIA | RIA to RIA | Jul 31, 2026 | Mar 24, 2026 |
| Claudia Nuri Rubenstein | Lwm Advisory Services, LLC independent RIA | Modern Wealth Management, LLC independent RIA | RIA to RIA | Jul 31, 2026 | Mar 24, 2026 |
| Cale William Doda | UBS Financial Services Inc. wirehouse | Modern Wealth Management, LLC independent RIA | Wirehouse to independent RIA | Jul 24, 2026 | Jul 10, 2026 |
| Dawn Sanchez Nicoles | LPL Financial LLC BD affiliated | Modern Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 14, 2026 | Aug 28, 2026 (45 d) |
| Miguel A Johnson | Empower Advisory Group, LLC BD affiliated | Modern Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 6, 2026 | Jul 9, 2026 |
| Andrew Steven Cortese | Modera Wealth Management, LLC independent RIA | Modern Wealth Management, LLC independent RIA | RIA to RIA | Jun 10, 2026 | Jul 7, 2026 |
| Kelley Jo Belmonte | Summit Financial, LLC BD affiliated | Modern Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 4, 2026 | Aug 3, 2026 (60 d) |
| Brian Allen Inman | LPL Financial LLC BD affiliated | Modern Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 3, 2026 | Jun 5, 2026 |
| Andrew Joseph Oswald | LPL Financial LLC BD affiliated | Modern Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 3, 2026 | Jun 15, 2026 |
| James Ruwe | Secure Investment Management, LLC independent RIA | Modern Wealth Management, LLC independent RIA | RIA to RIA | Jun 1, 2026 | Aug 5, 2026 (65 d) |
| Ronald Gambassi | Mcmillen & Company, Inc. other | Modern Wealth Management, LLC independent RIA | Other | May 11, 2026 | May 11, 2026 |
| Zohreh Ghaissari | Osaic Wealth, Inc. BD affiliated | Modern Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 4, 2026 | May 11, 2026 |
| Zachary David Swaffer | LPL Financial LLC BD affiliated | Modern Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 29, 2026 | Apr 17, 2026 |
| Jonathan Kuiter | LPL Financial LLC BD affiliated | Modern Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 29, 2026 | Apr 17, 2026 |
| Colter Robert Heckman | Copper Financial independent RIA | Modern Wealth Management, LLC independent RIA | RIA to RIA | Apr 9, 2026 | Jun 10, 2026 (62 d) |
| David Andrew Vidaure | Public Safety Financial/Galloway independent RIA | Modern Wealth Management, LLC independent RIA | RIA to RIA | Mar 24, 2026 | Aug 29, 2025 |
| Allison Mosher Barrientos | Integris Wealth Management, LLC independent RIA | Modern Wealth Management, LLC independent RIA | RIA to RIA | Mar 23, 2026 | Sep 4, 2026 (165 d) |
| Preston Jeffrey Pugmire | Arista Wealth Management, LLC independent RIA | Modern Wealth Management, LLC independent RIA | RIA to RIA | Jan 27, 2026 | Jan 28, 2026 |
| Kenneth Jeffrey Watten | Kaye Capital Management mixed wealth | Modern Wealth Management, LLC independent RIA | RIA to RIA | Dec 31, 2025 | Jun 30, 2025 |
| David William Hilton | Kaye Capital Management mixed wealth | Modern Wealth Management, LLC independent RIA | RIA to RIA | Dec 31, 2025 | Jun 30, 2025 |
| David Hartley Turley | Summit Global Investments, LLC mixed wealth | Modern Wealth Management, LLC independent RIA | RIA to RIA | Dec 12, 2025 | Dec 17, 2025 |
| Johanny De Jesus | Edward Jones national BD | Modern Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 18, 2025 | Apr 20, 2026 (153 d) |
| Edgar Martinez | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Modern Wealth Management, LLC independent RIA | Wirehouse to independent RIA | Oct 20, 2025 | Oct 22, 2025 |
| Craig Allen Houck | Osaic Wealth, Inc. BD affiliated | Modern Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 10, 2025 | Oct 3, 2025 |
| Joshuah Scott Tatro | Osaic Wealth, Inc. BD affiliated | Modern Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 7, 2025 | Oct 3, 2025 |
| Kierin Ratliff | Osaic Wealth, Inc. BD affiliated | Modern Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 7, 2025 | Oct 3, 2025 |
| Cristine Marie Marik | Ofm Wealth independent RIA | Modern Wealth Management, LLC independent RIA | RIA to RIA | Sep 25, 2025 | Apr 25, 2025 |
| Matthew James Schaap | Ofm Wealth independent RIA | Modern Wealth Management, LLC independent RIA | RIA to RIA | Sep 25, 2025 | Apr 29, 2025 |
| Brendan Thomas Nuzzo | Ofm Wealth independent RIA | Modern Wealth Management, LLC independent RIA | RIA to RIA | Sep 25, 2025 | Apr 25, 2025 |
| Nicholas Fred Robert Tanner | Choreo, LLC independent RIA | Modern Wealth Management, LLC independent RIA | RIA to RIA | Sep 12, 2025 | Jul 16, 2026 (307 d) |
| Jeremiah Collier | Edward Jones national BD | Modern Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 12, 2025 | Jun 18, 2025 |
| Julia Marie Apodaca | Narrow Path Financial Inc. state registered | Modern Wealth Management, LLC independent RIA | Other | May 22, 2025 | Oct 16, 2025 (147 d) |
| Roland Charles Salmi | Lawley Retirement Advisors institutional | Modern Wealth Management, LLC independent RIA | Other | May 7, 2025 | Apr 27, 2025 |
| Lawrence Ira Schechter | Planned Asset Management independent RIA | Modern Wealth Management, LLC independent RIA | RIA to RIA | Apr 29, 2025 | Apr 11, 2025 |
| Michael Patrick Cerutti | Osaic Wealth, Inc. BD affiliated | Modern Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 2, 2025 | Jun 18, 2025 (77 d) |
| Rodney Dale Wade | Wade Financial Advisory, Inc. independent RIA | Modern Wealth Management, LLC independent RIA | RIA to RIA | Mar 28, 2025 | Apr 1, 2025 |
| Patrick Thomas Giddens | Wade Financial Advisory, Inc. independent RIA | Modern Wealth Management, LLC independent RIA | RIA to RIA | Mar 28, 2025 | Apr 1, 2025 |
| Eric Mcgill Solve | Wade Financial Advisory, Inc. independent RIA | Modern Wealth Management, LLC independent RIA | RIA to RIA | Mar 28, 2025 | Apr 1, 2025 |
| Annrose Nmn Isaac | Wade Financial Advisory, Inc. independent RIA | Modern Wealth Management, LLC independent RIA | RIA to RIA | Mar 28, 2025 | Apr 1, 2025 |
| Neelesh Ramanlal Champaneri | Wade Financial Advisory, Inc. independent RIA | Modern Wealth Management, LLC independent RIA | RIA to RIA | Mar 28, 2025 | Apr 1, 2025 |
| Caleb N Bjerk | Wade Financial Advisory, Inc. independent RIA | Modern Wealth Management, LLC independent RIA | RIA to RIA | Mar 28, 2025 | Mar 28, 2025 |
| Jesse Orin Lownsbury | Wade Financial Advisory, Inc. independent RIA | Modern Wealth Management, LLC independent RIA | RIA to RIA | Mar 28, 2025 | Apr 1, 2025 |
| Jonathan Mcneill Gardey | Gardey Financial Advisors Inc independent RIA | Modern Wealth Management, LLC independent RIA | RIA to RIA | Mar 26, 2025 | Jan 9, 2025 |
| Melissa Ann Seamon | Gardey Financial Advisors Inc independent RIA | Modern Wealth Management, LLC independent RIA | RIA to RIA | Mar 26, 2025 | Dec 15, 2024 |
| Jack Knutson | Northwestern Mutual Investment Services,LLC no RAUM | Modern Wealth Management, LLC independent RIA | Other | Mar 21, 2025 | Mar 18, 2025 |
| Alice Li | Wealthspire Advisors independent RIA | Modern Wealth Management, LLC independent RIA | RIA to RIA | Mar 18, 2025 | Jun 18, 2025 (92 d) |
| David Stanley Petso | Petso Financial Consultants LLC independent RIA | Modern Wealth Management, LLC independent RIA | RIA to RIA | Dec 31, 2024 | Oct 18, 2024 |
| Jennifer Lynn Stone | Petso Financial Consultants LLC independent RIA | Modern Wealth Management, LLC independent RIA | RIA to RIA | Dec 31, 2024 | Oct 18, 2024 |
| Lawrence Francis Mcmanus | Advisory Services Network independent RIA | Modern Wealth Management, LLC independent RIA | RIA to RIA | Dec 20, 2024 | Dec 20, 2024 |
| Christopher Duke Demetropoulos | Advisory Services Network independent RIA | Modern Wealth Management, LLC independent RIA | RIA to RIA | Dec 20, 2024 | Dec 20, 2024 |
| Timothy Allan Wolfe | Buttonwood Financial Group, LLC independent RIA | Modern Wealth Management, LLC independent RIA | RIA to RIA | Dec 18, 2024 | Jan 2, 2025 |
| Peyton Louise Simmons | Stordahl Capital Management, Inc. independent RIA | Modern Wealth Management, LLC independent RIA | RIA to RIA | Dec 13, 2024 | Jan 9, 2025 |
| Thomas Gilbert Brown | Petso Financial Consultants LLC independent RIA | Modern Wealth Management, LLC independent RIA | RIA to RIA | Nov 12, 2024 | Oct 18, 2024 |
| Michael Nolan Jillson | Petso Financial Consultants LLC independent RIA | Modern Wealth Management, LLC independent RIA | RIA to RIA | Nov 12, 2024 | Oct 20, 2024 |
| Melissa Mcmanigal Hassler | Petso Financial Consultants LLC independent RIA | Modern Wealth Management, LLC independent RIA | RIA to RIA | Nov 12, 2024 | Oct 18, 2024 |
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112 moves match.