Advisors to call nowHow this list is builtEvery reason is a filed fact with its date: an office that lost its people, someone who moved firms with this advisor before and has just left, a newly filed adviser they own, an exam just passed. Beside each is how often advisors with the same fact moved within a year, for their own firm where the history is large enough, otherwise their channel.Timing, practice size, team and contact are shown separately and never added up. The order is timing first, then size, then team, then how recent the fact is, then how reachable the advisor is. None of this is a statement that anyone plans to leave.
Books with a lower bound of $250M or more, at person or team scope.
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- Robbie Newman August Wealth Advisors LLC, Westport, Ctindependent RIA
- passed an adviser exam (S65) on 2026-08-04 after 19 years in the industry, not as part of a same-week firm licensing class2026-08-04 (53 days ago). At independent RIAs, 8.8% with this moved within a year against 5.4% without it (1.6x, 2023 to 2025 cohorts). Source: SEC IAPD individual feed, exam records (dated exam passes).
- Timing
- Timing
- Value
- $250M+
- Team book $250M to $500M; portable $218M to $389M, revenue at most $5M (transfer share is a judgment)
- Team
- No team seen
- Contact
- Direct
- verified business email at augustwealthadvisors.com (hunter)
Who else to call: 5 related advisors (teammates, former teammates, office peers and business partners).
Before a call: joined the current firm under a year ago.
- Elizabeth Hilman Macdougall Financial Counseling, Boston, Maindependent RIA
- passed an adviser exam (S65) on 2026-08-04 after 8 years in the industry, not as part of a same-week firm licensing class2026-08-04 (53 days ago). At independent RIAs, 8.8% with this moved within a year against 5.4% without it (1.6x, 2023 to 2025 cohorts). Source: SEC IAPD individual feed, exam records (dated exam passes).
- Timing
- Timing
- Value
- $250M+
- Team book $250M to $500M; portable $212M to $378M, revenue at most $5M (transfer share is a judgment)
- Team
- No team seen
- Contact
- Firm level
- firm contact form or inbox
Before a call: joined the current firm under a year ago.
- Michael Miller Rosel Wealth Management, LLC, Highlands Ranch, Coindependent RIA
- passed an adviser exam (S65) on 2026-07-23 after 10 years in the industry, not as part of a same-week firm licensing class2026-07-23 (2 months ago). At independent RIAs, 8.8% with this moved within a year against 5.4% without it (1.6x, 2023 to 2025 cohorts). Source: SEC IAPD individual feed, exam records (dated exam passes).
- Timing
- Timing
- Value
- $250M+
- Team book $500M to $1B; portable $315M to $561M, revenue at most $10M (transfer share is a judgment)
- Team
- No team seen
- Contact
- Firm level
- firm contact form or inbox
Who else to call: 1 related advisor (teammates, former teammates, office peers and business partners).
Before a call: joined the current firm under a year ago.
- C••• S•••••• A••••• T••••• P•••••• W•••••, B•••••• M•independent RIA
- passed an adviser exam (S66) on 2026-07-20 after 10 years in the industry, not as part of a same-week firm licensing class2026-07-20 (2 months ago). At I•••••••••, 8.8% with this moved within a year against 5.4% without it (1.6x, 2023 to 2025 cohorts). Source: SEC IAPD individual feed, exam records (dated exam passes).
- Timing
- Timing
- Value
- $250M+
- Book not estimable; portable $1.0B to $1.8B
- Team
- No team seen
- Contact
- Unresolved
- no contact route found
Who else to call: 9 related advisors, 5 on a link type measured as carrying moves (teammates, former teammates, office peers and business partners).
Missing: a contact route; a contradiction to resolve; who works with them (team unresolved).
Before a call: a contact route.
- E•••• R•••••• P•••• Q•••••••, N•• Y•••• N•independent RIA
- passed an adviser exam (S65) on 2026-07-20 after 30 years in the industry, not as part of a same-week firm licensing class2026-07-20 (2 months ago). At I•••••••••, 8.8% with this moved within a year against 5.4% without it (1.6x, 2023 to 2025 cohorts). Source: SEC IAPD individual feed, exam records (dated exam passes).
- Timing
- Timing
- Value
- $250M+
- Team book $500M to $1B; portable $722M to $807M, revenue at most $10M (transfer share is a judgment)
- Team
- No team seen
- Contact
- Unresolved
- no contact route found
Before a call: a contact route; joined the current firm under a year ago.
- R••••• M•••••••• C•••••• W••••• M•••••••••, C••••••• N•independent RIA
- passed an adviser exam (S65) on 2026-07-14 after 5 years in the industry, not as part of a same-week firm licensing class2026-07-14 (2 months ago). At I•••••••••, 8.8% with this moved within a year against 5.4% without it (1.6x, 2023 to 2025 cohorts). Source: SEC IAPD individual feed, exam records (dated exam passes).
- Timing
- Timing
- Value
- $250M+
- Team book $500M to $1B; portable $321M to $572M, revenue at most $10M (transfer share is a judgment)
- Team
- No team seen
- Contact
- Professional
- professional profile page
Who else to call: 3 related advisors (teammates, former teammates, office peers and business partners).
Before a call: joined the current firm under a year ago.
- A••••• N••••••••• F•••••• F••••••••, S•••• B••••••• C•independent RIA
- passed an adviser exam (S65) on 2026-07-09 after 7 years in the industry, not as part of a same-week firm licensing class2026-07-09 (3 months ago). At I•••••••••, 8.8% with this moved within a year against 5.4% without it (1.6x, 2023 to 2025 cohorts). Source: SEC IAPD individual feed, exam records (dated exam passes).
- Timing
- Timing
- Value
- $250M+
- Team book $250M to $500M; portable $139M to $247M, revenue at most $5M (transfer share is a judgment)
- Team
- No team seen
- Contact
- Direct
- published business email at foronjyfinancial.com (firm_website); LinkedIn profile
Who else to call: 3 related advisors (teammates, former teammates, office peers and business partners).
Before a call: joined the current firm under a year ago.
- R•••• C••••••• A•••• W••••• M••••••••• L••, B••••• N•independent RIA
- passed an adviser exam (S65) on 2026-07-01 after 4 years in the industry, not as part of a same-week firm licensing class2026-07-01 (3 months ago). At I•••••••••, 9.4% with this moved within a year against 5.4% without it (1.7x, 2023 to 2025 cohorts). Source: SEC IAPD individual feed, exam records (dated exam passes).
- Timing
- Timing
- Value
- $250M+
- Team book $500M to $1B; portable $332M to $591M, revenue at most $10M (transfer share is a judgment)
- Team
- No team seen
- Contact
- Unresolved
- no contact route found
Who else to call: 3 related advisors (teammates, former teammates, office peers and business partners).
Before a call: a contact route; joined the current firm under a year ago.
- J••••••• F••••• D••••••• C••••••, C••••••••• N•independent RIA
- passed an adviser exam (S65) on 2026-06-11 after 2 years in the industry, not as part of a same-week firm licensing class2026-06-11 (4 months ago). At I•••••••••, 9.4% with this moved within a year against 5.4% without it (1.7x, 2023 to 2025 cohorts). Source: SEC IAPD individual feed, exam records (dated exam passes).
- Timing
- Timing
- Value
- $250M+
- Team book $500M to $1B; portable $255M to $454M, revenue at most $10M (transfer share is a judgment)
- Team
- No team seen
- Contact
- Firm level
- firm contact form or inbox
Who else to call: 2 related advisors (teammates, former teammates, office peers and business partners).
Before a call: joined the current firm under a year ago.
- L•••• K•••••••• M••••• I••••••••• G••••• L••, W••••••• K•Call-readyindependent RIA
- a prior co-move teammate left the firm for an independent RIA on 2026-05-21. null went to R•• I••••••••• L••2026-05-21 (4 months ago). At I•••••••••, 10.0% with this moved within a year against 5.4% without it (1.8x, 2023 to 2025 cohorts). Source: SEC IAPD registration spans (co-move history and the departed teammate's new registration).D•••••• M••••• to R•• I••••••••• L••
- Timing
- Timing
- Value
- $250M+
- Team book $250M to $500M; portable $354M to $396M, revenue at most $5M (transfer share is a judgment)
- Team
- No team seen
- Contact
- Direct
- verified business email at marketadvisorygroup.com (hunter)
Who else to call: 2 related advisors, 1 on a link type measured as carrying moves (teammates, former teammates, office peers and business partners).
Missing: who works with them (team unresolved).
- S••••• D•••••• S••••••• G•••• A•••• M••••••••• L••, L••••• R•••• A•independent RIA
- passed an adviser exam (S65) on 2026-05-12 after 11 years in the industry, not as part of a same-week firm licensing class2026-05-12 (5 months ago). At I•••••••••, 8.8% with this moved within a year against 5.4% without it (1.6x, 2023 to 2025 cohorts). Source: SEC IAPD individual feed, exam records (dated exam passes).
- Timing
- Timing
- Value
- $250M+
- Team book $1B+; portable $852M to $1.5B (transfer share is a judgment)
- Team
- No team seen
- Contact
- Direct
- published business email at sgassetmgt.com (firm_website)
Who else to call: 1 related advisor (teammates, former teammates, office peers and business partners).
Before a call: joined the current firm under a year ago.
- J••• Z•••••• T••••••• A•••• M•••••••••, M••••••••• M•Call-readyindependent RIA
- passed an adviser exam (S65) on 2026-05-07 after 12 years in the industry, not as part of a same-week firm licensing class2026-05-07 (5 months ago). At I•••••••••, 8.8% with this moved within a year against 5.4% without it (1.6x, 2023 to 2025 cohorts). Source: SEC IAPD individual feed, exam records (dated exam passes).
- Timing
- Timing
- Value
- $250M+
- Team book $250M to $500M; portable $183M to $325M, revenue at most $5M (transfer share is a judgment)
- Team
- No team seen
- Contact
- Direct
- verified business email at tealwood.com (hunter); LinkedIn profile
Who else to call: 5 related advisors (teammates, former teammates, office peers and business partners).
Missing: a contradiction to resolve; who works with them (team unresolved).
- A••••• V••••••••• D•• R•• S•••• C••••, T•• W••••••••• T•independent RIA
- passed an adviser exam (S66) on 2026-05-04 after 20 years in the industry, not as part of a same-week firm licensing class2026-05-04 (5 months ago). At I•••••••••, 8.8% with this moved within a year against 5.4% without it (1.6x, 2023 to 2025 cohorts). Source: SEC IAPD individual feed, exam records (dated exam passes).
- Timing
- Timing
- Value
- $250M+
- Team book $1B+; portable $1.3B to $1.5B (transfer share is a judgment)
- Team
- No team seen
- Contact
- Unresolved
- no contact route found
Who else to call: 2 related advisors (teammates, former teammates, office peers and business partners).
Before a call: a contact route; joined the current firm under a year ago.
- M•••• L••• S•••••• C•••••• M••••••••• L••, A••••••• G•independent RIA
- passed an adviser exam (S65) on 2026-04-30 after 19 years in the industry, not as part of a same-week firm licensing class2026-04-30 (5 months ago). At I•••••••••, 8.8% with this moved within a year against 5.4% without it (1.6x, 2023 to 2025 cohorts). Source: SEC IAPD individual feed, exam records (dated exam passes).
- Timing
- Timing
- Value
- $250M+
- Team book $250M to $500M; portable $205M to $365M, revenue at most $5M (transfer share is a judgment)
- Team
- No team seen
- Contact
- Unresolved
- no contact route found
Before a call: a contact route; joined the current firm under a year ago.
- J•••• M••••• R••••••••• C••••••••• G••••• I•••, L••• O•••••• O•mixed wealth
- passed an adviser exam (S65) on 2026-04-27 after 7 years in the industry, not as part of a same-week firm licensing class2026-04-27 (5 months ago). At A••, 7.2% with this moved within a year against 4.9% without it (1.5x, 2023 to 2025 cohorts). Source: SEC IAPD individual feed, exam records (dated exam passes).
- Timing
- Timing
- Value
- $250M+
- Team book $250M to $500M; portable $228M to $407M, revenue at most $5M (transfer share is a judgment)
- Team
- No team seen
- Contact
- Firm level
- firm contact form or inbox
Before a call: joined the current firm under a year ago.
- J••••• G•••• O•••••• G•••• W••••• A•••••••, L••••••••• P•independent RIA
- passed an adviser exam (S65) on 2026-04-22 after 13 years in the industry, not as part of a same-week firm licensing class2026-04-22 (5 months ago). At I•••••••••, 8.8% with this moved within a year against 5.4% without it (1.6x, 2023 to 2025 cohorts). Source: SEC IAPD individual feed, exam records (dated exam passes).
- Timing
- Timing
- Value
- $250M+
- Team book $250M to $500M; portable $210M to $375M, revenue at most $5M (transfer share is a judgment)
- Team
- No team seen
- Contact
- Direct
- published business email at ogwa.com (firm_website)
Who else to call: 3 related advisors (teammates, former teammates, office peers and business partners).
Before a call: joined the current firm under a year ago.
- T•••••• R••••• T••• W••••• F••••••••, B•••••• G••••• K•independent RIA
- passed an adviser exam (S65) on 2026-04-17 after 7 years in the industry, not as part of a same-week firm licensing class2026-04-17 (5 months ago). At I•••••••••, 8.8% with this moved within a year against 5.4% without it (1.6x, 2023 to 2025 cohorts). Source: SEC IAPD individual feed, exam records (dated exam passes).
- Timing
- Timing
- Value
- $250M+
- Team book $250M to $500M; portable $187M to $333M, revenue at most $5M (transfer share is a judgment)
- Team
- No team seen
- Contact
- Unresolved
- no contact route found
Who else to call: 1 related advisor (teammates, former teammates, office peers and business partners).
Before a call: a contact route; joined the current firm under a year ago.
- P•••• H••••• B••••• C••••••• A•••••••• L••, B••••••••• O•independent RIA
- passed an adviser exam (S65) on 2026-04-15 after 3 years in the industry, not as part of a same-week firm licensing class2026-04-15 (5 months ago). At I•••••••••, 9.4% with this moved within a year against 5.4% without it (1.7x, 2023 to 2025 cohorts). Source: SEC IAPD individual feed, exam records (dated exam passes).
- Timing
- Timing
- Value
- $250M+
- Team book $500M to $1B; portable $386M to $687M, revenue at most $10M (transfer share is a judgment)
- Team
- No team seen
- Contact
- Firm level
- firm contact form or inbox
Who else to call: 1 related advisor (teammates, former teammates, office peers and business partners).
Before a call: joined the current firm under a year ago.
- C••• M•••••••• C••••••••• W•••••• L••, L•• A••••••• C•independent RIA
- passed an adviser exam (S65) on 2026-03-24 after 23 years in the industry, not as part of a same-week firm licensing class2026-03-24 (6 months ago). At I•••••••••, 8.8% with this moved within a year against 5.4% without it (1.6x, 2023 to 2025 cohorts). Source: SEC IAPD individual feed, exam records (dated exam passes).
- Timing
- Timing
- Value
- $250M+
- Book not estimable; portable $450M to $801M
- Team
- No team seen
- Contact
- Unresolved
- no contact route found
Who else to call: 3 related advisors (teammates, former teammates, office peers and business partners).
Before a call: a contact route; joined the current firm under a year ago.
- J••• T••••• T••••• • C••••••, S•••• L••••• M•independent RIA
- passed an adviser exam (S65) on 2026-03-06 after 45 years in the industry, not as part of a same-week firm licensing class2026-03-06 (7 months ago). At I•••••••••, 8.8% with this moved within a year against 5.4% without it (1.6x, 2023 to 2025 cohorts). Source: SEC IAPD individual feed, exam records (dated exam passes).
- Timing
- Timing
- Value
- $250M+
- Team book $500M to $1B; portable $840M to $938M, revenue at most $10M (transfer share is a judgment)
- Team
- No team seen
- Contact
- Direct
- verified business email at terrilco.com (hunter); LinkedIn profile
Who else to call: 4 related advisors (teammates, former teammates, office peers and business partners).
Before a call: joined the current firm under a year ago.
- R••• W••••• V•••••••• I•••••••••, H•••••••• I•institutional manager
- passed the Series 65 on 2026-03-05 while already holding the Series 66; the 65 lets an adviser register without a broker-dealer2026-03-05 (7 months ago). At A••, 9.4% with this moved within a year against 4.9% without it (1.9x, 2023 to 2025 cohorts). Source: SEC IAPD individual feed, exam records (dated exam passes).
- Timing
- Timing
- Value
- $250M+
- Team book $250M to $500M; portable $161M to $287M, revenue at most $5M (transfer share is a judgment)
- Team
- No team seen
- Contact
- Direct
- published business email at vistamarkllc.com (firm_website); LinkedIn profile
Who else to call: 2 related advisors (teammates, former teammates, office peers and business partners).
Before a call: joined the current firm under a year ago.
- C••••••••• K•••• P••••••• C••••••, N•••••• B••••• C•independent RIA
- passed an adviser exam (S65) on 2026-03-02 after 42 years in the industry, not as part of a same-week firm licensing class2026-03-02 (7 months ago). At I•••••••••, 8.8% with this moved within a year against 5.4% without it (1.6x, 2023 to 2025 cohorts). Source: SEC IAPD individual feed, exam records (dated exam passes).
- Timing
- Timing
- Value
- $250M+
- Team book $1B+; portable $817M to $1.5B (transfer share is a judgment)
- Team
- No team seen
- Contact
- Professional
- L••••••• profile
Before a call: joined the current firm under a year ago.
- M••••• H••• A•• A•••••••, A••••••••• N•independent RIA
- passed an adviser exam (S65) on 2026-02-27 after 2 years in the industry, not as part of a same-week firm licensing class2026-02-27 (7 months ago). At I•••••••••, 9.4% with this moved within a year against 5.4% without it (1.7x, 2023 to 2025 cohorts). Source: SEC IAPD individual feed, exam records (dated exam passes).
- Timing
- Timing
- Value
- $250M+
- Team book $250M to $500M; portable $249M to $444M, revenue at most $5M (transfer share is a judgment)
- Team
- No team seen
- Contact
- Direct
- published business email at act-advisors.com (firm_website); LinkedIn profile
Who else to call: 2 related advisors (teammates, former teammates, office peers and business partners).
Before a call: joined the current firm under a year ago.
- R••••• M••••••• L•••••• W••••• P•••••••, D•••••• O•independent RIA
- passed an adviser exam (S66) on 2026-02-21 after 9 years in the industry, not as part of a same-week firm licensing class2026-02-21 (7 months ago). At I•••••••••, 8.8% with this moved within a year against 5.4% without it (1.6x, 2023 to 2025 cohorts). Source: SEC IAPD individual feed, exam records (dated exam passes).
- Timing
- Timing
- Value
- $250M+
- Team book $250M to $500M; portable $181M to $323M, revenue at most $5M (transfer share is a judgment)
- Team
- No team seen
- Contact
- Unresolved
- no contact route found
Before a call: a contact route; joined the current firm under a year ago.
- N••••••• L••••• R••••••••• S••••••••• L•••, D•••••• O•independent RIA
- passed the Series 65 on 2026-02-20 while already holding the Series 66; the 65 lets an adviser register without a broker-dealer2026-02-20 (7 months ago). At I•••••••••, 10.1% with this moved within a year against 5.4% without it (1.9x, 2023 to 2025 cohorts). Source: SEC IAPD individual feed, exam records (dated exam passes).
- Timing
- Timing
- Value
- $250M+
- Team book $250M to $500M; portable $136M to $243M, revenue at most $5M (transfer share is a judgment)
- Team
- No team seen
- Contact
- Firm level
- firm contact form or inbox
Who else to call: 4 related advisors (teammates, former teammates, office peers and business partners).
Before a call: joined the current firm under a year ago.
- B•••••• F••• L•• F•••••••• L••, S••••••• W•broker-dealer affiliated
- passed an adviser exam (S65) on 2026-02-20 after 11 years in the industry, not as part of a same-week firm licensing class2026-02-20 (7 months ago). At L••, 8.0% with this moved within a year against 4.3% without it (1.9x, 2023 to 2025 cohorts). Source: SEC IAPD individual feed, exam records (dated exam passes).
- Timing
- Timing
- measured at this firm
- Value
- $250M+
- Book not estimable; portable $652M to $734M
- Team
- No team seen
- Contact
- Unresolved
- no contact route found
Who else to call: 3 related advisors (teammates, former teammates, office peers and business partners).
Before a call: a contact route; joined the current firm under a year ago.
- E••• K• V•• S•••• • T•••• I••, S•• F••••••••• C•independent RIA
- passed an adviser exam (S65) on 2026-02-09 after 8 years in the industry, not as part of a same-week firm licensing class2026-02-09 (8 months ago). At I•••••••••, 8.8% with this moved within a year against 5.4% without it (1.6x, 2023 to 2025 cohorts). Source: SEC IAPD individual feed, exam records (dated exam passes).
- Timing
- Timing
- Value
- $250M+
- Team book $250M to $500M; portable $242M to $430M, revenue at most $5M (transfer share is a judgment)
- Team
- No team seen
- Contact
- Unresolved
- no contact route found
Who else to call: 5 related advisors (teammates, former teammates, office peers and business partners).
Before a call: a contact route; joined the current firm under a year ago.
- S•••••• C•••••• R•••••• • C•••••• A•••••••• L••, N•• Y•••• N•institutional manager
- passed an adviser exam (S65) on 2026-02-04 after 5 years in the industry, not as part of a same-week firm licensing class2026-02-04 (8 months ago). At A••, 7.2% with this moved within a year against 4.9% without it (1.5x, 2023 to 2025 cohorts). Source: SEC IAPD individual feed, exam records (dated exam passes).
- Timing
- Timing
- Value
- $250M+
- Team book $500M to $1B; portable $475M to $845M, revenue at most $10M (transfer share is a judgment)
- Team
- No team seen
- Contact
- Unresolved
- no contact route found
Who else to call: 2 related advisors (teammates, former teammates, office peers and business partners).
Missing: a contact route; who works with them (team unresolved).
Before a call: a contact route; joined the current firm under a year ago.
- J•••• A•••• S•••• F•••••••• A•••••••, C•••••• W•independent RIA
- passed an adviser exam (S65) on 2026-01-31 after 7 years in the industry, not as part of a same-week firm licensing class2026-01-31 (8 months ago). At I•••••••••, 8.8% with this moved within a year against 5.4% without it (1.6x, 2023 to 2025 cohorts). Source: SEC IAPD individual feed, exam records (dated exam passes).
- Timing
- Timing
- Value
- $250M+
- Team book $250M to $500M; portable $131M to $234M, revenue at most $5M (transfer share is a judgment)
- Team
- No team seen
- Contact
- Direct
- published business email at salusfa.com (firm_website); LinkedIn profile
Before a call: joined the current firm under a year ago.
- M•••••• C•••• S•••• C•••••• L••, H•••••••• N•independent RIA
- passed the Series 65 on 2026-01-27 while already holding the Series 66; the 65 lets an adviser register without a broker-dealer2026-01-27 (8 months ago). At I•••••••••, 10.1% with this moved within a year against 5.4% without it (1.9x, 2023 to 2025 cohorts). Source: SEC IAPD individual feed, exam records (dated exam passes).
- Timing
- Timing
- Value
- $250M+
- Team book $250M to $500M; portable $175M to $312M, revenue at most $5M (transfer share is a judgment)
- Team
- No team seen
- Contact
- Unresolved
- no contact route found
Missing: a contact route; who works with them (team unresolved).
Before a call: a contact route; joined the current firm under a year ago.
- A••••••••• A••••••• C•••••• I••••••••• C••••••• L••, D•••••• C•independent RIA
- passed an adviser exam (S66) on 2026-01-21 after 18 years in the industry, not as part of a same-week firm licensing class2026-01-21 (8 months ago). At I•••••••••, 8.8% with this moved within a year against 5.4% without it (1.6x, 2023 to 2025 cohorts). Source: SEC IAPD individual feed, exam records (dated exam passes).
- Timing
- Timing
- Value
- $250M+
- Team book $1B+; portable $676M to $1.2B (transfer share is a judgment)
- Team
- No team seen
- Contact
- Firm level
- firm contact form or inbox
Who else to call: 3 related advisors (teammates, former teammates, office peers and business partners).
Before a call: joined the current firm under a year ago.
- J••••• F••••• M••••• H••••• I••••••••• C••••••• L••, B•••••• M•independent RIA
- passed the Series 65 on 2026-01-16 while already holding the Series 66; the 65 lets an adviser register without a broker-dealer2026-01-16 (8 months ago). At I•••••••••, 10.1% with this moved within a year against 5.4% without it (1.9x, 2023 to 2025 cohorts). Source: SEC IAPD individual feed, exam records (dated exam passes).
- Timing
- Timing
- Value
- $250M+
- Team book $1B+; portable $660M to $1.2B (transfer share is a judgment)
- Team
- No team seen
- Contact
- Firm level
- firm contact form or inbox
Who else to call: 3 related advisors (teammates, former teammates, office peers and business partners).
Before a call: joined the current firm under a year ago.
- K•••• K••• S•• P•••••••• L••, C•••••••• O•independent RIA
- passed an adviser exam (S65) on 2026-01-12 after 23 years in the industry, not as part of a same-week firm licensing class2026-01-12 (9 months ago). At I•••••••••, 8.8% with this moved within a year against 5.4% without it (1.6x, 2023 to 2025 cohorts). Source: SEC IAPD individual feed, exam records (dated exam passes).
- Timing
- Timing
- Value
- $250M+
- Team book $250M to $500M; portable $221M to $394M, revenue at most $5M (transfer share is a judgment)
- Team
- No team seen
- Contact
- Unresolved
- no contact route found
Who else to call: 15 related advisors, 4 on a link type measured as carrying moves (teammates, former teammates, office peers and business partners).
Before a call: a contact route; joined the current firm under a year ago.
- B•••••• B••••• L•• F•••••••• L••, B••••••••• O•broker-dealer affiliated
- passed an adviser exam (S66) on 2026-01-10 after 8 years in the industry, not as part of a same-week firm licensing class2026-01-10 (9 months ago). At L••, 8.0% with this moved within a year against 4.3% without it (1.9x, 2023 to 2025 cohorts). Source: SEC IAPD individual feed, exam records (dated exam passes).
- Timing
- Timing
- measured at this firm
- Value
- $250M+
- Book not estimable; portable $1.6B to $1.8B
- Team
- No team seen
- Contact
- Unresolved
- no contact route found
Before a call: a contact route; joined the current firm under a year ago.
- L••• M•••• S••• M••••• L••, H••••••• M•independent RIA
- passed an adviser exam (S65) on 2026-01-08 after 4 years in the industry, not as part of a same-week firm licensing class2026-01-08 (9 months ago). At I•••••••••, 9.4% with this moved within a year against 5.4% without it (1.7x, 2023 to 2025 cohorts). Source: SEC IAPD individual feed, exam records (dated exam passes).
- Timing
- Timing
- Value
- $250M+
- Team book $500M to $1B; portable $264M to $471M, revenue at most $10M (transfer share is a judgment)
- Team
- No team seen
- Contact
- Unresolved
- no contact route found
Who else to call: 2 related advisors (teammates, former teammates, office peers and business partners).
Before a call: a contact route; joined the current firm under a year ago.
- J••••• L•• D••••••••• 5• W•••••• L••, N•••• C•independent RIA
- passed the Series 65 on 2026-01-03 while already holding the Series 66; the 65 lets an adviser register without a broker-dealer2026-01-03 (9 months ago). At I•••••••••, 10.1% with this moved within a year against 5.4% without it (1.9x, 2023 to 2025 cohorts). Source: SEC IAPD individual feed, exam records (dated exam passes).
- Timing
- Timing
- Value
- $250M+
- Team book $250M to $500M; portable $166M to $295M, revenue at most $5M (transfer share is a judgment)
- Team
- No team seen
- Contact
- Unresolved
- no contact route found
Who else to call: 3 related advisors (teammates, former teammates, office peers and business partners).
Before a call: a contact route; joined the current firm under a year ago.
- S••••• H•••••• L•• F•••••••• L••, C••••••• W•broker-dealer affiliated
- passed an adviser exam (S65) on 2025-12-27 after 20 years in the industry, not as part of a same-week firm licensing class2025-12-27 (9 months ago). At L••, 8.0% with this moved within a year against 4.3% without it (1.9x, 2023 to 2025 cohorts). Source: SEC IAPD individual feed, exam records (dated exam passes).
- Timing
- Timing
- measured at this firm
- Value
- $250M+
- Book not estimable; portable $600M to $675M
- Team
- No team seen
- Contact
- Unresolved
- no contact route found
Before a call: a contact route; joined the current firm under a year ago.
- A••• W••••• F•••• T•••• W••••• A••••••• L••, A••••••• G•bank affiliated
- passed an adviser exam (S65) on 2025-12-22 after 27 years in the industry, not as part of a same-week firm licensing class2025-12-22 (9 months ago). At B•••••••••, 10.3% with this moved within a year against 7.5% without it (1.4x, 2023 to 2025 cohorts). Source: SEC IAPD individual feed, exam records (dated exam passes).
- Timing
- Timing
- Value
- $250M+
- Book not estimable; portable $500M to $700M
- Team
- No team seen
- Contact
- Unresolved
- no contact route found
Who else to call: 5 related advisors (teammates, former teammates, office peers and business partners).
Before a call: a contact route; joined the current firm under a year ago.
- N••••••• A••••• C•••• A•••• M••••••••• L••, J••••••••• F•independent RIA
- passed an adviser exam (S65) on 2025-12-20 after 9 years in the industry, not as part of a same-week firm licensing class2025-12-20 (9 months ago). At I•••••••••, 8.8% with this moved within a year against 5.4% without it (1.6x, 2023 to 2025 cohorts). Source: SEC IAPD individual feed, exam records (dated exam passes).
- Timing
- Timing
- Value
- $250M+
- Team book $250M to $500M; portable $234M to $417M, revenue at most $5M (transfer share is a judgment)
- Team
- No team seen
- Contact
- Firm level
- firm contact form or inbox
Before a call: joined the current firm under a year ago.
- J•••• K•••••••• D•••• A•••• M••••••••• L••, M••••••• T•independent RIA
- passed an adviser exam (S65) on 2025-12-13 after 28 years in the industry, not as part of a same-week firm licensing class2025-12-13 (10 months ago). At I•••••••••, 8.8% with this moved within a year against 5.4% without it (1.6x, 2023 to 2025 cohorts). Source: SEC IAPD individual feed, exam records (dated exam passes).
- Timing
- Timing
- Value
- $250M+
- Team book $1B+; portable $764M to $1.4B (transfer share is a judgment)
- Team
- No team seen
- Contact
- Professional
- professional profile page
Who else to call: 4 related advisors (teammates, former teammates, office peers and business partners).
Before a call: joined the current firm under a year ago.
The advisor names past the first 3 rows are hidden. Open a row to reveal that record with a free account (5 a month), or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source is public either way.