Advisors to call now

A dated fact that historically went with moving, on a practice worth the call.

Changes on what you follow · Describe your platform to see fit

Size:$250M+$100M+$25M+Contact:Direct Professional Firm level Call-ready only

Donald Soard Soard Financial Management, LLC, Edmond, Ok
Call-readystate-registered adviser
- passed the Series 63 on 2026-03-16 after 15 years in the industry, not as part of a firm licensing class
  2026-03-16 (6 months ago). Across all advisors, 11.8% with this moved within a year against 4.9% without it (2.4x, 2023 to 2025 cohorts). Source: SEC IAPD individual feed, exam records (dated exam passes).
Timing
Strong timing
Value
$25M+
Team book $50M to $100M; portable $36M to $65M, revenue at most $1M (transfer share is a judgment)
Team
No team seen
Contact
Direct
verified business email at soardfinancial.com (apollo); LinkedIn profile
Missing: who works with them (team unresolved).
Jordan Pence Mha Financial Corp, Flower Mound, Tx
Call-readystate-registered adviser
- passed the Series 63 on 2026-02-26 after 16 years in the industry, not as part of a firm licensing class
  2026-02-26 (7 months ago). Across all advisors, 11.8% with this moved within a year against 4.9% without it (2.4x, 2023 to 2025 cohorts). Source: SEC IAPD individual feed, exam records (dated exam passes).
Timing
Strong timing
Value
$25M+
Team book $50M to $100M; portable $49M to $87M, revenue at most $1M (transfer share is a judgment)
Team
No team seen
Contact
Firm level
catch-all email (domain accepts every address, unverifiable) at doctorsfs.com; firm contact form or inbox
Missing: who works with them (team unresolved).
Renee Serenci Commonwealth Financial Network, Carrollton, Ga
national broker-dealer RIA
- passed the Series 63 on 2026-02-23 after 14 years in the industry, not as part of a firm licensing class
  2026-02-23 (7 months ago). At national broker-dealer RIAs, 10.3% with this moved within a year against 3.9% without it (2.7x, 2023 to 2025 cohorts). Source: SEC IAPD individual feed, exam records (dated exam passes).
Timing
Strong 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 (only unverified leads)
Missing: a usable practice size; a contact route; who works with them (team unresolved).
Before a call: a contact route.
G•••••••• R•••••• C••••••••• F•••••••• N••••••, N••••••• P•
national broker-dealer RIA
- this office went from 9 to 3 registered advisors over the last year, with 6 leaving for other firms (latest 2026-02-09)
  2026-02-09 (8 months ago). At N•••••••••, 8.2% with this moved within a year against 3.9% without it (2.1x, 2023 to 2025 cohorts). Source: SEC IAPD registration spans (registered branch city).
Timing
Strong 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: 24 related advisors (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.
J••••• W••••• C••••••••• F•••••••• N••••••, N••••••• P•
national broker-dealer RIA
- this office went from 9 to 3 registered advisors over the last year, with 6 leaving for other firms (latest 2026-02-09)
  2026-02-09 (8 months ago). At N•••••••••, 8.2% with this moved within a year against 3.9% without it (2.1x, 2023 to 2025 cohorts). Source: SEC IAPD registration spans (registered branch city).
Timing
Strong 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: 4 related advisors (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.
F••••• J••••• Z•••• C••••••••• F•••••••• N••••••, F••••••••• M•
national broker-dealer RIA
- this office went from 10 to 6 registered advisors over the last year, with 3 leaving for other firms (latest 2026-02-02)
  2026-02-02 (8 months ago). At N•••••••••, 8.2% with this moved within a year against 3.9% without it (2.1x, 2023 to 2025 cohorts). Source: SEC IAPD registration spans (registered branch city).
Timing
Strong 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.
C•••••• S•••• C••••••••• F•••••••• N••••••, F••••••••• M•
national broker-dealer RIA
- this office went from 10 to 6 registered advisors over the last year, with 3 leaving for other firms (latest 2026-02-02)
  2026-02-02 (8 months ago). At N•••••••••, 8.2% with this moved within a year against 3.9% without it (2.1x, 2023 to 2025 cohorts). Source: SEC IAPD registration spans (registered branch city).
Timing
Strong 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.
Z••• C•••• C••••••••• F•••••••• N••••••, F••••••••• M•
national broker-dealer RIA
- this office went from 10 to 6 registered advisors over the last year, with 3 leaving for other firms (latest 2026-02-02)
  2026-02-02 (8 months ago). At N•••••••••, 8.2% with this moved within a year against 3.9% without it (2.1x, 2023 to 2025 cohorts). Source: SEC IAPD registration spans (registered branch city).
Timing
Strong timing
Value
$25M+
Personal book $50M to $500M; portable $50M to $500M, revenue $250K 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.
W•••••• J•••• C••••••••• F•••••••• N••••••, C•••••••• M•
Call-readynational broker-dealer RIA
- this office went from 17 to 11 registered advisors over the last year, with 6 leaving for other firms (latest 2026-01-30)
  2026-01-30 (8 months ago). At N•••••••••, 8.2% with this moved within a year against 3.9% without it (2.1x, 2023 to 2025 cohorts). Source: SEC IAPD registration spans (registered branch city).
Timing
Strong timing
Value
$25M+
Personal book $50M to $250M; portable $50M to $250M, revenue $250K to $5M
Team
No team seen
Contact
Firm level
catch-all email (domain accepts every address, unverifiable) at commonwealth.com
Missing: a usable practice size; a meaningful reason; the full regulatory record; who works with them (team unresolved).
J•••• W••••• C••••••••• F•••••••• N••••••, C•••••••• M•
national broker-dealer RIA
- this office went from 17 to 11 registered advisors over the last year, with 6 leaving for other firms (latest 2026-01-30)
  2026-01-30 (8 months ago). At N•••••••••, 8.2% with this moved within a year against 3.9% without it (2.1x, 2023 to 2025 cohorts). Source: SEC IAPD registration spans (registered branch city).
Timing
Strong 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: 7 related advisors (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.
J••••••• L•••••• C••••••••• F•••••••• N••••••, C•••••••• M•
national broker-dealer RIA
- this office went from 17 to 11 registered advisors over the last year, with 6 leaving for other firms (latest 2026-01-30)
  2026-01-30 (8 months ago). At N•••••••••, 8.2% with this moved within a year against 3.9% without it (2.1x, 2023 to 2025 cohorts). Source: SEC IAPD registration spans (registered branch city).
Timing
Strong 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; the full regulatory record; who works with them (team unresolved).
Before a call: a contact route.
C•••••• B••••• C••••••••• F•••••••• N••••••, C•••••••• M•
national broker-dealer RIA
- this office went from 17 to 11 registered advisors over the last year, with 6 leaving for other firms (latest 2026-01-30)
  2026-01-30 (8 months ago). At N•••••••••, 8.2% with this moved within a year against 3.9% without it (2.1x, 2023 to 2025 cohorts). Source: SEC IAPD registration spans (registered branch city).
Timing
Strong 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: 7 related advisors (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.
W•••••• S••••••• C••••••••• F•••••••• N••••••, C•••••••• M•
national broker-dealer RIA
- this office went from 17 to 11 registered advisors over the last year, with 6 leaving for other firms (latest 2026-01-30)
  2026-01-30 (8 months ago). At N•••••••••, 8.2% with this moved within a year against 3.9% without it (2.1x, 2023 to 2025 cohorts). Source: SEC IAPD registration spans (registered branch city).
Timing
Strong 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.
A••••• M•••• C••••••••• F•••••••• N••••••, A••••••••• P•
Call-readynational broker-dealer RIA
- this office went from 13 to 7 registered advisors over the last year, with 7 leaving for other firms (latest 2026-01-15)
  2026-01-15 (8 months ago). At N•••••••••, 8.2% with this moved within a year against 3.9% without it (2.1x, 2023 to 2025 cohorts). Source: SEC IAPD registration spans (registered branch city).
Timing
Strong timing
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 commonwealth.com (apollo)
Missing: a usable practice size; who works with them (team unresolved).
D•••• P•••••• C••••••••• F•••••••• N••••••, A••••••••• P•
national broker-dealer RIA
- this office went from 13 to 7 registered advisors over the last year, with 7 leaving for other firms (latest 2026-01-15)
  2026-01-15 (8 months ago). At N•••••••••, 8.2% with this moved within a year against 3.9% without it (2.1x, 2023 to 2025 cohorts). Source: SEC IAPD registration spans (registered branch city).
Timing
Strong 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: 5 related advisors (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.
S••• M••••••• C••••••••• F•••••••• N••••••, A••••••••• P•
national broker-dealer RIA
- this office went from 13 to 7 registered advisors over the last year, with 7 leaving for other firms (latest 2026-01-15)
  2026-01-15 (8 months ago). At N•••••••••, 8.2% with this moved within a year against 3.9% without it (2.1x, 2023 to 2025 cohorts). Source: SEC IAPD registration spans (registered branch city).
Timing
Strong 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: 13 related advisors (teammates, former teammates, office peers and business partners).
Missing: a usable practice size; a contact route; who works with them (team unresolved).
Before a call: a contact route.
J••••• S••••••• C••••••••• F•••••••• N••••••, A••••••••• P•
national broker-dealer RIA
- this office went from 13 to 7 registered advisors over the last year, with 7 leaving for other firms (latest 2026-01-15)
  2026-01-15 (8 months ago). At N•••••••••, 8.2% with this moved within a year against 3.9% without it (2.1x, 2023 to 2025 cohorts). Source: SEC IAPD registration spans (registered branch city).
Timing
Strong 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.
J•••• W••••• C••••••••• F•••••••• N••••••, B••••••••• T•
national broker-dealer RIA
- this office went from 10 to 7 registered advisors over the last year, with 3 leaving for other firms (latest 2026-01-12)
  2026-01-12 (9 months ago). At N•••••••••, 8.2% with this moved within a year against 3.9% without it (2.1x, 2023 to 2025 cohorts). Source: SEC IAPD registration spans (registered branch city).
Timing
Strong 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: 9 related advisors (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.
D•••••• H•••• C••••••••• F•••••••• N••••••, B••••••••• T•
national broker-dealer RIA
- this office went from 10 to 7 registered advisors over the last year, with 3 leaving for other firms (latest 2026-01-12)
  2026-01-12 (9 months ago). At N•••••••••, 8.2% with this moved within a year against 3.9% without it (2.1x, 2023 to 2025 cohorts). Source: SEC IAPD registration spans (registered branch city).
Timing
Strong 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: 9 related advisors (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.
K•••••• D••••••• A••••••••• F•••••••• S•••••••• L••, A••••••• G•
national broker-dealer RIA
- passed an adviser exam (S66) on 2026-01-03 after 12 years in the industry, not as part of a same-week firm licensing class
  2026-01-03 (9 months ago). At A•••••••••, 8.9% with this moved within a year against 4.3% without it (2.1x, 2023 to 2025 cohorts). Source: SEC IAPD individual feed, exam records (dated exam passes).
Timing
Strong 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 (only unverified leads)
Missing: a usable practice size; a contact route; who works with them (team unresolved).
Before a call: a contact route.
B••• H•••• C••••••••• F•••••••• N••••••, P••••• T•
Call-readynational broker-dealer RIA
- this office went from 11 to 8 registered advisors over the last year, with 4 leaving for other firms (latest 2025-12-31)
  2025-12-31 (9 months ago). At N•••••••••, 8.2% with this moved within a year against 3.9% without it (2.1x, 2023 to 2025 cohorts). Source: SEC IAPD registration spans (registered branch city).
Timing
Strong timing
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 guidedpf.com (apollo); LinkedIn profile
Who else to call: 19 related advisors (teammates, former teammates, office peers and business partners).
Missing: a usable practice size; a meaningful reason; who works with them (team unresolved).
C•••••• B•••• C••••••••• F•••••••• N••••••, P••••• T•
national broker-dealer RIA
- this office went from 11 to 8 registered advisors over the last year, with 4 leaving for other firms (latest 2025-12-31)
  2025-12-31 (9 months ago). At N•••••••••, 8.2% with this moved within a year against 3.9% without it (2.1x, 2023 to 2025 cohorts). Source: SEC IAPD registration spans (registered branch city).
Timing
Strong 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: 3 related advisors (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.
G••• B••••••••• C••••••••• F•••••••• N••••••, P••••• T•
national broker-dealer RIA
- this office went from 11 to 8 registered advisors over the last year, with 4 leaving for other firms (latest 2025-12-31)
  2025-12-31 (9 months ago). At N•••••••••, 8.2% with this moved within a year against 3.9% without it (2.1x, 2023 to 2025 cohorts). Source: SEC IAPD registration spans (registered branch city).
Timing
Strong 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; the full regulatory record; who works with them (team unresolved).
Before a call: a contact route.
J••••••• W••••• A••••••••• F•••••••• S•••••••• L••, S•••• L••••• M•
national broker-dealer RIA
- passed an adviser exam (S65) on 2025-12-30 after 28 years in the industry, not as part of a same-week firm licensing class
  2025-12-30 (9 months ago). At A•••••••••, 8.9% with this moved within a year against 4.3% without it (2.1x, 2023 to 2025 cohorts). Source: SEC IAPD individual feed, exam records (dated exam passes).
Timing
Strong 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; who works with them (team unresolved).
Before a call: a contact route.
R•••••• S••••••••• E••••• J••••, C•••••••• M•
Call-readynational broker-dealer RIA
- passed an adviser exam (S65) on 2025-11-19 after 34 years in the industry, not as part of a same-week firm licensing class
  2025-11-19 (10 months ago). At E••••• J••••, 5.9% with this moved within a year against 2.9% without it (2.0x, 2023 to 2025 cohorts). Source: SEC IAPD individual feed, exam records (dated exam passes).
Timing
Strong 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
Firm level
catch-all email (domain accepts every address, unverifiable) at edwardjones.com
Who else to call: 1 related advisor (teammates, former teammates, office peers and business partners).
Missing: a usable practice size; who works with them (team unresolved).
K•••• D•••••• E••••• J••••, C•••• C••••• M•
Call-readynational broker-dealer RIA
- passed an adviser exam (S65) on 2025-11-17 after 27 years in the industry, not as part of a same-week firm licensing class
  2025-11-17 (10 months ago). At E••••• J••••, 5.9% with this moved within a year against 2.9% without it (2.0x, 2023 to 2025 cohorts). Source: SEC IAPD individual feed, exam records (dated exam passes).
Timing
Strong 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
Professional
L••••••• profile; catch-all email at edwardjones.com, not verified
Missing: a usable practice size; the full regulatory record; who works with them (team unresolved).
R••••• G••••••• E••••• J••••, W••• P•••••• M•
Call-readynational broker-dealer RIA
- passed an adviser exam (S65) on 2025-10-23 after 36 years in the industry, not as part of a same-week firm licensing class
  2025-10-23 (11 months ago). At E••••• J••••, 5.9% with this moved within a year against 2.9% without it (2.0x, 2023 to 2025 cohorts). Source: SEC IAPD individual feed, exam records (dated exam passes).
Timing
Strong 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
Firm level
catch-all email (domain accepts every address, unverifiable) at edwardjones.com
Missing: a usable practice size; the full regulatory record; who works with them (team unresolved).
M••• H••••••• E••••• J••••, C••••••••• M•
Call-readynational broker-dealer RIA
- passed an adviser exam (S66,S65) on 2025-10-15 after 34 years in the industry, not as part of a same-week firm licensing class
  2025-10-15 (12 months ago). At E••••• J••••, 5.9% with this moved within a year against 2.9% without it (2.0x, 2023 to 2025 cohorts). Source: SEC IAPD individual feed, exam records (dated exam passes).
Timing
Strong 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
Professional
L••••••• profile; catch-all email at edwardjones.com, not verified
Who else to call: 1 related advisor (teammates, former teammates, office peers and business partners).
Missing: a usable practice size; the full regulatory record; who works with them (team unresolved).
C••• S•••••• E••••• J••••, B•••••• M•
Call-readynational broker-dealer RIA
- passed an adviser exam (S66) on 2025-10-15 after 30 years in the industry, not as part of a same-week firm licensing class
  2025-10-15 (12 months ago). At E••••• J••••, 5.9% with this moved within a year against 2.9% without it (2.0x, 2023 to 2025 cohorts). Source: SEC IAPD individual feed, exam records (dated exam passes).
Timing
Strong 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
Professional
L••••••• profile; catch-all email at edwardjones.com, not verified
Who else to call: 1 related advisor (teammates, former teammates, office peers and business partners).
Missing: a usable practice size; who works with them (team unresolved).
R••• D••••• E••••• J••••, O•••• B••••• M•
national broker-dealer RIA
- passed an adviser exam (S65) on 2025-10-13 after 42 years in the industry, not as part of a same-week firm licensing class
  2025-10-13 (12 months ago). At E••••• J••••, 5.9% with this moved within a year against 2.9% without it (2.0x, 2023 to 2025 cohorts). Source: SEC IAPD individual feed, exam records (dated exam passes).
Timing
Strong 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
Who else to call: 3 related advisors (teammates, former teammates, office peers and business partners).
Missing: a usable practice size; a contact route; the full regulatory record; who works with them (team unresolved).
Before a call: a contact route.
R•••••• B•••••• E••••• J••••, R•••••••• M•
Call-readynational broker-dealer RIA
- passed an adviser exam (S65) on 2025-10-07 after 40 years in the industry, not as part of a same-week firm licensing class
  2025-10-07 (12 months ago). At E••••• J••••, 5.9% with this moved within a year against 2.9% without it (2.0x, 2023 to 2025 cohorts). Source: SEC IAPD individual feed, exam records (dated exam passes).
Timing
Strong 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
Firm level
catch-all email (domain accepts every address, unverifiable) at edwardjones.com
Who else to call: 1 related advisor (teammates, former teammates, office peers and business partners).
Missing: a usable practice size; who works with them (team unresolved).
C•••••• T••••• R•• C•••••• M••••••• L••, R•• B•••• N•
national broker-dealer RIA
- this office went from 8 to 5 registered advisors over the last year, with 3 leaving for other firms (latest 2025-10-02)
  2025-10-02 (12 months ago). At R••, 10.8% with this moved within a year against 3.7% without it (2.9x, 2023 to 2025 cohorts). Source: SEC IAPD registration spans (registered branch city).
Timing
Strong 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.
D••••• B••••••• C••••••••• F•••••••• N••••••, S•• L••••• M•
national broker-dealer RIA
- this office went from 12 to 5 registered advisors over the last year, with 7 leaving for other firms (latest 2025-10-01)
  2025-10-01 (12 months ago). At N•••••••••, 8.2% with this moved within a year against 3.9% without it (2.1x, 2023 to 2025 cohorts). Source: SEC IAPD registration spans (registered branch city).
Timing
Strong timing
Value
$25M+
Personal book $50M to $500M; portable $50M to $500M, revenue $250K to $5M
Team
No team seen
Contact
Unresolved
no contact route found
Who else to call: 9 related advisors (teammates, former teammates, office peers and business partners).
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.
M••• G••••••• C••••••••• F•••••••• N••••••, S•• L••••• M•
national broker-dealer RIA
- this office went from 12 to 5 registered advisors over the last year, with 7 leaving for other firms (latest 2025-10-01)
  2025-10-01 (12 months ago). At N•••••••••, 8.2% with this moved within a year against 3.9% without it (2.1x, 2023 to 2025 cohorts). Source: SEC IAPD registration spans (registered branch city).
Timing
Strong timing
Value
$25M+
Personal book $50M to $500M; portable $50M to $500M, revenue $250K to $5M
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).
Missing: a usable practice size; a contact route; a meaningful reason; who works with them (team unresolved).
Before a call: a contact route.
S•••• D••••••• C••••••••• F•••••••• N••••••, S•• L••••• M•
national broker-dealer RIA
- this office went from 12 to 5 registered advisors over the last year, with 7 leaving for other firms (latest 2025-10-01)
  2025-10-01 (12 months ago). At N•••••••••, 8.2% with this moved within a year against 3.9% without it (2.1x, 2023 to 2025 cohorts). Source: SEC IAPD registration spans (registered branch city).
Timing
Strong timing
Value
$25M+
Personal book $50M to $500M; portable $50M to $500M, revenue $250K to $5M
Team
No team seen
Contact
Unresolved
no contact route found
Who else to call: 9 related advisors (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.
V•••••• S••••••• A••••••••• F•••••••• S•••••••• L••, M••••• M••••• M•
Call-readynational broker-dealer RIA
- passed an adviser exam (S65) on 2025-09-29 after 28 years in the industry, not as part of a same-week firm licensing class
  2025-09-29 (12 months ago). At A•••••••••, 8.9% with this moved within a year against 4.3% without it (2.1x, 2023 to 2025 cohorts). Source: SEC IAPD individual feed, exam records (dated exam passes).
Timing
Strong 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; who works with them (team unresolved).
J••••• S••••••••• Q••••• F•••••••• H••••••• L••, K•••• T•
Call-readystate-registered adviser
- passed the Series 63 on 2025-09-26 after 5 years in the industry, not as part of a firm licensing class
  2025-09-26 (12 months ago). At A••, 11.8% with this moved within a year against 4.9% without it (2.4x, 2023 to 2025 cohorts). Source: SEC IAPD individual feed, exam records (dated exam passes).
Timing
Strong timing
Value
$25M+
Team book $50M to $100M; portable $42M to $75M, revenue at most $1M (transfer share is a judgment)
Team
No team seen
Contact
Direct
verified business email at quiverfinancial.com (hunter); LinkedIn profile
Missing: who works with them (team unresolved).
T••••• F••••• L•• F•••••••• L••, F••••••••• N•
broker-dealer affiliated
- 1 prior co-move teammate left the firm for another firm, most recently on 2026-09-02. null went to A••• W•••••• L••
  2026-09-02 (24 days ago). At L••, 8.9% with this moved within a year against 4.3% without it (2.1x, 2023 to 2025 cohorts). Source: SEC IAPD registration spans (co-move history and the departed teammate's new registration).
  C•••• P••• to A••• W•••••• L••
Timing
Strong timing
measured at this firm
Value
Not estimable
Book not estimable
Team
10 move with them
Contact
Unresolved
no contact route found
Missing: a usable practice size; a contact route; who works with them (team unresolved).
Before a call: practice size; a contact route.
V•••••• B••••••• L•• F•••••••• L••, F••••••••• N•
broker-dealer affiliated
- 1 prior co-move teammate left the firm for another firm, most recently on 2026-09-02. null went to A••• W•••••• L••
  2026-09-02 (24 days ago). At L••, 8.9% with this moved within a year against 4.3% without it (2.1x, 2023 to 2025 cohorts). Source: SEC IAPD registration spans (co-move history and the departed teammate's new registration).
  C•••• P••• to A••• W•••••• L••
Timing
Strong timing
measured at this firm
Value
Not estimable
Book not estimable
Team
10 move with them
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; who works with them (team unresolved).
Before a call: practice size; a contact route.
J•••• M••••• L•• F•••••••• L••, W•••••••• C•
broker-dealer affiliated
- 1 prior co-move teammate left the firm for another firm, most recently on 2026-09-02. null went to A••• W•••••• L••
  2026-09-02 (24 days ago). At L••, 8.9% with this moved within a year against 4.3% without it (2.1x, 2023 to 2025 cohorts). Source: SEC IAPD registration spans (co-move history and the departed teammate's new registration).
  C•••• P••• to A••• W•••••• L••
Timing
Strong timing
measured at this firm
Value
Not estimable
Book not estimable
Team
10 move with them
Contact
Unresolved
no contact route found
Business ties: Some: 1 investment vehicle on file. A measure of business ties, not of book size or clients.
Missing: a usable practice size; a contact route; who works with them (team unresolved).
Before a call: practice size; a contact route.

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