DFX Intelligence

RIA Intelligence

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Advisors to call now

Offices that lost 20% or more of their advisors in 180 days.

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Size:$250M+$100M+$25M+Contact:DirectProfessionalFirm levelCall-ready only
  1. Darren Summers Ameriprise Financial Services, LLC, Clayton, Mo
    national broker-dealer RIA
    • this office went from 8 to 6 registered advisors over the last year, with 2 leaving for other firms (latest 2026-05-19)
      2026-05-19 (4 months ago). At Ameriprise, 8.2% with this moved within a year against 4.3% without it (1.9x, 2023 to 2025 cohorts). Source: SEC IAPD registration spans (registered branch city).
    Timing
    Timing
    measured at this firm
    Value
    $25M+
    Personal book $25M to $250M; portable $25M to $250M, revenue $100K to $5M
    Team
    No team seen
    Contact
    Unresolved
    no contact route found

    Missing: a usable practice size; a contact route; a meaningful reason; the full regulatory record; who works with them (team unresolved).

    Before a call: a contact route.

  2. Ricci Elnicki Ameriprise Financial Services, LLC, Rochester, Ny
    national broker-dealer RIA
    • this office went from 24 to 18 registered advisors over the last year, with 6 leaving for other firms (latest 2026-05-15)
      2026-05-15 (4 months ago). At Ameriprise, 8.2% with this moved within a year against 4.3% without it (1.9x, 2023 to 2025 cohorts). Source: SEC IAPD registration spans (registered branch city).
    Timing
    Timing
    measured at this firm
    Value
    $25M+
    Personal book $25M to $250M; portable $25M to $250M, revenue $100K to $5M
    Team
    No team seen
    Contact
    Unresolved
    no contact route found

    Missing: a usable practice size; a contact route; a meaningful reason; who works with them (team unresolved).

    Before a call: a contact route.

  3. Daniel Driscoll Ameriprise Financial Services, LLC, Rochester, Ny
    national broker-dealer RIA
    • this office went from 24 to 18 registered advisors over the last year, with 6 leaving for other firms (latest 2026-05-15)
      2026-05-15 (4 months ago). At Ameriprise, 8.2% with this moved within a year against 4.3% without it (1.9x, 2023 to 2025 cohorts). Source: SEC IAPD registration spans (registered branch city).
    Timing
    Timing
    measured at this firm
    Value
    $25M+
    Personal book $25M to $250M; portable $25M to $250M, revenue $100K to $5M
    Team
    No team seen
    Contact
    Unresolved
    no contact route found

    Missing: a usable practice size; a contact route; a meaningful reason; the full regulatory record; who works with them (team unresolved).

    Before a call: a contact route.

  4. N••••••• N•••• A••••••••• F•••••••• S•••••••• L••, R••••••••• N•
    national broker-dealer RIA
    • this office went from 24 to 18 registered advisors over the last year, with 6 leaving for other firms (latest 2026-05-15)
      2026-05-15 (4 months ago). At A•••••••••, 8.2% with this moved within a year against 4.3% without it (1.9x, 2023 to 2025 cohorts). Source: SEC IAPD registration spans (registered branch city).
    Timing
    Timing
    measured at this firm
    Value
    $25M+
    Personal book $25M to $250M; portable $25M to $250M, revenue $100K to $5M
    Team
    No team seen
    Contact
    Unresolved
    no contact route found

    Missing: a usable practice size; a contact route; a meaningful reason; the full regulatory record; who works with them (team unresolved).

    Before a call: a contact route.

  5. J••••••• G•••• A••••••••• F•••••••• S•••••••• L••, R••••••••• N•
    national broker-dealer RIA
    • this office went from 24 to 18 registered advisors over the last year, with 6 leaving for other firms (latest 2026-05-15)
      2026-05-15 (4 months ago). At A•••••••••, 8.2% with this moved within a year against 4.3% without it (1.9x, 2023 to 2025 cohorts). Source: SEC IAPD registration spans (registered branch city).
    Timing
    Timing
    measured at this firm
    Value
    $25M+
    Personal book $25M to $250M; portable $25M to $250M, revenue $100K to $5M
    Team
    No team seen
    Contact
    Unresolved
    no contact route found

    Missing: a usable practice size; a contact route; a meaningful reason; who works with them (team unresolved).

    Before a call: a contact route.

  6. M••• P•••••••• A••••••••• F•••••••• S•••••••• L••, R••••••••• N•
    national broker-dealer RIA
    • this office went from 24 to 18 registered advisors over the last year, with 6 leaving for other firms (latest 2026-05-15)
      2026-05-15 (4 months ago). At A•••••••••, 8.2% with this moved within a year against 4.3% without it (1.9x, 2023 to 2025 cohorts). Source: SEC IAPD registration spans (registered branch city).
    Timing
    Timing
    measured at this firm
    Value
    $25M+
    Personal book $25M to $250M; portable $25M to $250M, revenue $100K to $5M
    Team
    No team seen
    Contact
    Unresolved
    no contact route found

    Missing: a usable practice size; a contact route; a meaningful reason; the full regulatory record; who works with them (team unresolved).

    Before a call: a contact route.

  7. K•••• K••••• J••• M••••• S••••••••• L••, S••••••••• I•
    Call-readywirehouse
    • this office went from 9 to 6 registered advisors over the last year, with 3 leaving for other firms (latest 2026-04-14)
      2026-04-14 (6 months ago). At W••••••••, 9.1% with this moved within a year against 5.1% without it (1.8x, 2023 to 2025 cohorts). Source: SEC IAPD registration spans (registered branch city).
    Timing
    Timing
    Value
    $25M+
    Personal book $25M to $250M; portable $25M to $250M, revenue $100K to $5M
    Team
    No team seen
    Contact
    Firm level
    catch-all email (domain accepts every address, unverifiable) at jpmorgan.com

    Who else to call: 1 related advisor (teammates, former teammates, office peers and business partners).

    Missing: a usable practice size; a meaningful reason; who works with them (team unresolved).

  8. R••• H•••••••• J••• M••••• S••••••••• L••, S••••••••• I•
    Call-readywirehouse
    • this office went from 9 to 6 registered advisors over the last year, with 3 leaving for other firms (latest 2026-04-14)
      2026-04-14 (6 months ago). At W••••••••, 9.1% with this moved within a year against 5.1% without it (1.8x, 2023 to 2025 cohorts). Source: SEC IAPD registration spans (registered branch city).
    Timing
    Timing
    Value
    $25M+
    Personal book $25M to $250M; portable $25M to $250M, revenue $100K to $5M
    Team
    No team seen
    Contact
    Firm level
    catch-all email (domain accepts every address, unverifiable) at jpmorgan.com

    Who else to call: 4 related advisors (teammates, former teammates, office peers and business partners).

    Missing: a usable practice size; who works with them (team unresolved).

  9. M•••••• K•••••• W•••• F•••• A•••••••, K••••• C•••• M•
    wirehouse
    • 43% of this office left for other firms in the last six months (latest 2026-04-08)
      2026-04-08 (6 months ago). At W•••• F••••, 9.8% with this moved within a year against 5.3% without it (1.9x, 2023 to 2025 cohorts). Source: SEC IAPD registration spans (registered branch city).
    Timing
    Timing
    measured at this firm
    Value
    $25M+
    Personal book $25M to $250M; portable $25M to $250M, revenue $100K to $5M
    Team
    No team seen
    Contact
    Unresolved
    no contact route found

    Missing: a usable practice size; a contact route; a meaningful reason; the full regulatory record; who works with them (team unresolved).

    Before a call: a contact route.

  10. E••••• A••••••• J••• M••••• S••••••••• L••, I•••••• T•
    Call-readywirehouse
    • this office went from 8 to 6 registered advisors over the last year, with 2 leaving for other firms (latest 2026-03-04)
      2026-03-04 (7 months ago). At W••••••••, 9.1% with this moved within a year against 5.1% without it (1.8x, 2023 to 2025 cohorts). Source: SEC IAPD registration spans (registered branch city).
    Timing
    Timing
    Value
    $25M+
    Personal book $25M to $250M; portable $25M to $250M, revenue $100K to $5M
    Team
    No team seen
    Contact
    Firm level
    catch-all email (domain accepts every address, unverifiable) at jpmorgan.com

    Who else to call: 1 related advisor (teammates, former teammates, office peers and business partners).

    Missing: a usable practice size; a meaningful reason; who works with them (team unresolved).

  11. C••••••• C••• J••• M••••• S••••••••• L••, I•••••• T•
    wirehouse
    • this office went from 8 to 6 registered advisors over the last year, with 2 leaving for other firms (latest 2026-03-04)
      2026-03-04 (7 months ago). At W••••••••, 9.1% with this moved within a year against 5.1% without it (1.8x, 2023 to 2025 cohorts). Source: SEC IAPD registration spans (registered branch city).
    Timing
    Timing
    Value
    $25M+
    Personal book $25M to $250M; portable $25M to $250M, revenue $100K to $5M
    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).

    Missing: a usable practice size; a contact route; a meaningful reason; who works with them (team unresolved).

    Before a call: a contact route.

  12. M•••••• L••• J••• M••••• S••••••••• L••, I•••••• T•
    wirehouse
    • this office went from 8 to 6 registered advisors over the last year, with 2 leaving for other firms (latest 2026-03-04)
      2026-03-04 (7 months ago). At W••••••••, 9.1% with this moved within a year against 5.1% without it (1.8x, 2023 to 2025 cohorts). Source: SEC IAPD registration spans (registered branch city).
    Timing
    Timing
    Value
    $25M+
    Personal book $25M to $250M; portable $25M to $250M, revenue $100K to $5M
    Team
    No team seen
    Contact
    Unresolved
    no contact route found

    Missing: a usable practice size; a contact route; a meaningful reason; who works with them (team unresolved).

    Before a call: a contact route.

  13. A•••• M••• A••••••••• F•••••••• S•••••••• L••, F•••••••• T•
    Call-readynational broker-dealer RIA
    • this office went from 21 to 10 registered advisors over the last year, with 13 leaving for other firms (latest 2026-02-10)
      2026-02-10 (8 months ago). At A•••••••••, 8.2% with this moved within a year against 4.3% without it (1.9x, 2023 to 2025 cohorts). Source: SEC IAPD registration spans (registered branch city).
    Timing
    Timing
    measured at this firm
    Value
    $25M+
    Personal book $25M to $250M; portable $25M to $250M, revenue $100K to $5M
    Team
    No team seen
    Contact
    Direct
    verified business email at ampf.com (hunter)

    Missing: a usable practice size; the full regulatory record; who works with them (team unresolved).

  14. R••• M•••••• A••••••••• F•••••••• S•••••••• L••, F•••••••• T•
    national broker-dealer RIA
    • this office went from 21 to 10 registered advisors over the last year, with 13 leaving for other firms (latest 2026-02-10)
      2026-02-10 (8 months ago). At A•••••••••, 8.2% with this moved within a year against 4.3% without it (1.9x, 2023 to 2025 cohorts). Source: SEC IAPD registration spans (registered branch city).
    Timing
    Timing
    measured at this firm
    Value
    $25M+
    Personal book $25M to $250M; portable $25M to $250M, revenue $100K to $5M
    Team
    No team seen
    Contact
    Unresolved
    no contact route found

    Missing: a usable practice size; a contact route; a meaningful reason; who works with them (team unresolved).

    Before a call: a contact route.

  15. M•••••• C••••• A••••••••• F•••••••• S•••••••• L••, F•••••••• T•
    national broker-dealer RIA
    • this office went from 21 to 10 registered advisors over the last year, with 13 leaving for other firms (latest 2026-02-10)
      2026-02-10 (8 months ago). At A•••••••••, 8.2% with this moved within a year against 4.3% without it (1.9x, 2023 to 2025 cohorts). Source: SEC IAPD registration spans (registered branch city).
    Timing
    Timing
    measured at this firm
    Value
    $25M+
    Personal book $25M to $250M; portable $25M to $250M, revenue $100K to $5M
    Team
    No team seen
    Contact
    Unresolved
    no contact route found

    Missing: a usable practice size; a contact route; a meaningful reason; who works with them (team unresolved).

    Before a call: a contact route.

  16. L••• D••••• A••••••••• F•••••••• S•••••••• L••, F•••••••• T•
    national broker-dealer RIA
    • this office went from 21 to 10 registered advisors over the last year, with 13 leaving for other firms (latest 2026-02-10)
      2026-02-10 (8 months ago). At A•••••••••, 8.2% with this moved within a year against 4.3% without it (1.9x, 2023 to 2025 cohorts). Source: SEC IAPD registration spans (registered branch city).
    Timing
    Timing
    measured at this firm
    Value
    $25M+
    Personal book $25M to $250M; portable $25M to $250M, revenue $100K to $5M
    Team
    No team seen
    Contact
    Unresolved
    no contact route found

    Missing: a usable practice size; a contact route; a meaningful reason; who works with them (team unresolved).

    Before a call: a contact route.

  17. S•••• A••••••••• A••••••••• F•••••••• S•••••••• L••, F•••••••• T•
    national broker-dealer RIA
    • this office went from 21 to 10 registered advisors over the last year, with 13 leaving for other firms (latest 2026-02-10)
      2026-02-10 (8 months ago). At A•••••••••, 8.2% with this moved within a year against 4.3% without it (1.9x, 2023 to 2025 cohorts). Source: SEC IAPD registration spans (registered branch city).
    Timing
    Timing
    measured at this firm
    Value
    $25M+
    Personal book $25M to $250M; portable $25M to $250M, revenue $100K to $5M
    Team
    No team seen
    Contact
    Unresolved
    no contact route found

    Missing: a usable practice size; a contact route; a meaningful reason; the full regulatory record; who works with them (team unresolved).

    Before a call: a contact route.

  18. P•••• S•••• A••••••••• F•••••••• S•••••••• L••, F•••••••• T•
    national broker-dealer RIA
    • this office went from 21 to 10 registered advisors over the last year, with 13 leaving for other firms (latest 2026-02-10)
      2026-02-10 (8 months ago). At A•••••••••, 8.2% with this moved within a year against 4.3% without it (1.9x, 2023 to 2025 cohorts). Source: SEC IAPD registration spans (registered branch city).
    Timing
    Timing
    measured at this firm
    Value
    $25M+
    Personal book $25M to $250M; portable $25M to $250M, revenue $100K to $5M
    Team
    No team seen
    Contact
    Unresolved
    no contact route found

    Missing: a usable practice size; a contact route; a meaningful reason; who works with them (team unresolved).

    Before a call: a contact route.

  19. J••••• S•••••• A••••••••• F•••••••• S•••••••• L••, F•••••••• T•
    national broker-dealer RIA
    • this office went from 21 to 10 registered advisors over the last year, with 13 leaving for other firms (latest 2026-02-10)
      2026-02-10 (8 months ago). At A•••••••••, 8.2% with this moved within a year against 4.3% without it (1.9x, 2023 to 2025 cohorts). Source: SEC IAPD registration spans (registered branch city).
    Timing
    Timing
    measured at this firm
    Value
    $25M+
    Personal book $25M to $250M; portable $25M to $250M, revenue $100K to $5M
    Team
    No team seen
    Contact
    Unresolved
    no contact route found

    Missing: a usable practice size; a contact route; a meaningful reason; who works with them (team unresolved).

    Before a call: a contact route.

Previous121 to 139 of 139

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