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 Advisors Asset Management, 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.

AdvisorFromToTypeLeftRegistered
Jeffrey Paul NizzardoWells Fargo Advisors wirehouseAdvisors Asset Management, Inc. mixed wealthWirehouse to independent RIAAug 26, 2026Sep 16, 2026
Fabrizio Volpe Von HorochIq Capital Strategy LLC asset managerAdvisors Asset Management, Inc. mixed wealthOtherDec 16, 2025Dec 19, 2025
James Phillip SluisColumbia Management Investment Advisers, LLC asset managerAdvisors Asset Management, Inc. mixed wealthOtherSep 26, 2025Sep 30, 2025
Jared Ross FischerNorthwestern Mutual Investment Services,LLC no RAUMAdvisors Asset Management, Inc. mixed wealthOtherJul 9, 2025Sep 11, 2025 (64 d)
Noah Ross ShulmanNeuberger Berman Bd LLC no RAUMAdvisors Asset Management, Inc. mixed wealthOtherMar 26, 2025Jun 15, 2026 (446 d)
Daric Hugh OlsonMtc Wealth Management asset managerAdvisors Asset Management, Inc. otherOtherJan 28, 2025Dec 9, 2024
Robert James CiapciakNeuberger Berman Bd LLC no RAUMAdvisors Asset Management, Inc. mixed wealthOtherJan 22, 2025Sep 23, 2025 (244 d)
Dennis Alan MacdonaldNomura Investment Management Business Trust asset managerAdvisors Asset Management, Inc. otherOtherOct 31, 2024Dec 4, 2024 (34 d)
Dwayne JavierThrivent Asset Management, LLC asset managerAdvisors Asset Management, Inc. otherOtherJul 17, 2024Dec 3, 2024 (139 d)
Kelli Rose MesiBny Mellon Securities Corporation otherAdvisors Asset Management, Inc. mixed wealthOtherJun 12, 2024Jun 22, 2026 (740 d)
Seda KayaMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseAdvisors Asset Management, Inc. otherOtherMay 13, 2024May 13, 2024
Jason SandlerAmeriprise Financial Services, LLC national BDAdvisors Asset Management, Inc. otherOtherMay 8, 2024Jun 4, 2024
Dustin Kyle TruittWells Fargo Advisors wirehouseAdvisors Asset Management, Inc. otherOtherApr 22, 2024Sep 3, 2024 (134 d)
Kylee Arin O'NeilKestra Private Wealth Services, LLC BD affiliatedAdvisors Asset Management, Inc. otherOtherMar 27, 2024Apr 8, 2024
Michael DayTouchstone Advisors Inc asset managerAdvisors Asset Management, Inc. otherOtherNov 28, 2023Nov 30, 2023
James Joseph BarclayNorth Square Investments, LLC asset managerAdvisors Asset Management, Inc. otherOtherNov 8, 2023Sep 11, 2023
Michael Stuart PetrucelliZacks Investment Management, Inc. mixed wealthAdvisors Asset Management, Inc. otherOtherNov 7, 2023Sep 20, 2023
Giacomo GuardavaccaroUBS Financial Services Inc. wirehouseAdvisors Asset Management, Inc. otherOtherOct 23, 2023Oct 16, 2023
Alan Ira PanzerEmerge Capital Management asset managerAdvisors Asset Management, Inc. otherOtherOct 12, 2023Sep 21, 2023
Morgan Elizabeth TedescoNorthern Trust Investments, Incorporated asset managerAdvisors Asset Management, Inc. otherOtherOct 12, 2023Nov 30, 2023 (49 d)
Mark Andrew BarauskyNew York Life Investment Management LLC asset managerAdvisors Asset Management, Inc. otherOtherOct 2, 2023Oct 24, 2023
James Joseph DoolingHartford Funds asset managerAdvisors Asset Management, Inc. otherOtherAug 31, 2023Aug 30, 2023
Kevin Raymond ZellersMorgan Stanley wirehouseAdvisors Asset Management, Inc. otherOtherAug 3, 2023Aug 16, 2023
Robert John KruseMorgan Stanley wirehouseAdvisors Asset Management, Inc. otherOtherJul 19, 2023Jun 22, 2023
Jason Benton StewartChartwell Investment Partners, LLC otherAdvisors Asset Management, Inc. otherOtherApr 17, 2023Apr 6, 2023
Richard G JaegerHennion & Walsh Asset Management, Inc. BD affiliatedAdvisors Asset Management, Inc. otherOtherMar 3, 2023Mar 1, 2023
Ami Vastupal ShahMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseAdvisors Asset Management, Inc. otherOtherFeb 14, 2023Mar 23, 2023 (37 d)
Derek William JanuarioBlackrock Investment Management, LLC otherAdvisors Asset Management, Inc. otherOtherJan 18, 2023Jun 6, 2023 (139 d)
Gina RogersMorgan Stanley wirehouseAdvisors Asset Management, Inc. otherOtherSep 29, 2022Sep 6, 2022
Charles R MillerOrion Portfolio Solutions, LLC independent RIAAdvisors Asset Management, Inc. otherOtherSep 1, 2022Oct 17, 2022 (46 d)
Jonathan Edward BoringGuggenheim Investments asset managerAdvisors Asset Management, Inc. otherOtherAug 2, 2022Aug 10, 2022
Michael John PfeifferMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseAdvisors Asset Management, Inc. otherOtherJul 12, 2022Jul 18, 2022
Steven ConnMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseAdvisors Asset Management, Inc. otherOtherApr 26, 2021May 10, 2021
Robert WilkinsonNuveen Asset Management, LLC otherAdvisors Asset Management, Inc. otherOtherApr 20, 2021Sep 14, 2021 (147 d)
Bradley Robert YocumCornerstone Advisors Asset Management, LLC otherAdvisors Asset Management, Inc. otherOtherApr 5, 2021Apr 1, 2021
Kathryn KettenhofenBenjamin F. Edwards & Company, Incorporated BD affiliatedAdvisors Asset Management, Inc. otherOtherFeb 22, 2021Mar 1, 2021
Joseph A KenistonRaymond James & Associates, Inc. national BDAdvisors Asset Management, Inc. otherOtherDec 22, 2020Nov 17, 2022 (695 d)
Thomas P HigginsHennion & Walsh Asset Management, Inc. BD affiliatedAdvisors Asset Management, Inc. otherOtherOct 23, 2020Oct 19, 2020
Hayes Patrick GriffinCapital Analysts BD affiliatedAdvisors Asset Management, Inc. otherOtherSep 23, 2020Oct 6, 2020
Jason Bruce HagemannAmerican Beacon Advisors, Inc. otherAdvisors Asset Management, Inc. mixed wealthOtherJan 31, 2020Feb 10, 2020
Steven Geoffrey SchwanekampBlackrock Investment Management, LLC otherAdvisors Asset Management, Inc. otherOtherJan 21, 2020Mar 2, 2023 (1136 d)
Brady Nicholas WahlMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseAdvisors Asset Management, Inc. mixed wealthWirehouse to independent RIADec 10, 2019Dec 5, 2025 (2187 d)
Alexander BezuglyLPL Financial LLC BD affiliatedAdvisors Asset Management, Inc. mixed wealthAffiliated broker-dealer or bank to independent RIAAug 14, 2019Aug 13, 2019
Sean James MahoneyNuveen Asset Management, LLC mixed wealthAdvisors Asset Management, Inc. otherOtherMay 31, 2019Aug 4, 2021 (796 d)
David Scott AhernInvesco Advisers, Inc. asset managerAdvisors Asset Management, Inc. mixed wealthOtherMay 30, 2019Dec 2, 2019 (186 d)
Thomas Michael DemerittInvesco Advisers, Inc. asset managerAdvisors Asset Management, Inc. otherOtherMay 30, 2019Apr 11, 2022 (1047 d)
German Hermosillo DiazInvesco Advisers, Inc. asset managerAdvisors Asset Management, Inc. mixed wealthOtherMay 30, 2019Oct 21, 2019 (144 d)
Jason WillyardCitizens Securities, Inc. BD affiliatedAdvisors Asset Management, Inc. mixed wealthAffiliated broker-dealer or bank to independent RIAMay 16, 2019Oct 21, 2019 (158 d)
Dustin Michael AllredWells Fargo Advisors wirehouseAdvisors Asset Management, Inc. mixed wealthWirehouse to independent RIAMar 20, 2019Mar 18, 2019
Steven Erwin FlewellingMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseAdvisors Asset Management, Inc. mixed wealthWirehouse to independent RIAMar 8, 2019Mar 11, 2019
Jared Ross FischerTruist Advisory Services, Inc. BD affiliatedAdvisors Asset Management, Inc. mixed wealthAffiliated broker-dealer or bank to independent RIADec 26, 2018Jan 8, 2019
Shawn Boyd ShepherdV Wealth Advisors LLC independent RIAAdvisors Asset Management, Inc. mixed wealthRIA to RIANov 27, 2018Feb 26, 2019 (91 d)
Gordon Westcott PriceBlackrock Investment Management, LLC otherAdvisors Asset Management, Inc. mixed wealthOtherSep 11, 2018Sep 17, 2018
Marilee FeroneUBS Financial Services Inc. wirehouseAdvisors Asset Management, Inc. mixed wealthWirehouse to independent RIAJul 31, 2018Dec 12, 2018 (134 d)
Debra Beth FelberbaumUBS Financial Services Inc. wirehouseAdvisors Asset Management, Inc. otherOtherJul 31, 2018Sep 7, 2023 (1864 d)
Edward Aloyisius KoncelScottrade Investment Management BD affiliatedAdvisors Asset Management, Inc. otherOtherMar 8, 2018Aug 1, 2023 (1972 d)
Patrick Dewaele AndersonMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseAdvisors Asset Management, Inc. otherOtherOct 16, 2017Dec 20, 2017 (65 d)
Cal Jason SmithFirst Trust Advisors LP otherAdvisors Asset Management, Inc. mixed wealthOtherOct 13, 2017Jun 20, 2018 (250 d)
Sathesh JanakiAllstate Financial Advisors, LLC no RAUMAdvisors Asset Management, Inc. mixed wealthOtherSep 7, 2017May 15, 2018 (250 d)
Michael L MeachamBlackrock Investment Management, LLC otherAdvisors Asset Management, Inc. mixed wealthOtherMay 2, 2017Oct 26, 2018 (542 d)
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173 moves match.