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.

Signals

Dated events with a source

Every event names how it is dated: a filing date, a registration date or a roster snapshot. Facts are what a form says; derived events compare two filings; inferences (a control person absent from the next Schedule A) are labelled as such. None of these is a prediction.

Kevin M Wright added a TX registration at Strategic Advisers Llc
Sep 17, 2026 (registration)New state registrationfactadvisor page source
Samuel Jonathan Duckett added a TX registration at Ubs Financial Services Inc.
Sep 17, 2026 (registration)New state registrationfactadvisor page source
Aaron Russell Handfield added a TX registration at Lpl Financial Llc
Sep 17, 2026 (registration)New state registrationfactadvisor page source
Jeremy Daniel Curtis added a TX registration at Lido
Sep 17, 2026 (registration)New state registrationfactadvisor page source
Jeremy Daniel Curtis added a CA registration at Lido
Sep 17, 2026 (registration)New state registrationfactadvisor page source
Ashley Wheeler Ott added a VA registration at Commonwealth Financial Network
Sep 17, 2026 (registration)New state registrationfactadvisor page source
Rosendo J. Garcia added a TX registration at J.P. Morgan Securities Llc
Sep 17, 2026 (registration)New state registrationfactadvisor page source
Brad Arthur Carpenter added a KY registration at State Farm Investment Management Corp.
Sep 17, 2026 (registration)New state registrationfactadvisor page source
David Stephen Mudrock added a OR registration at Homestead Advisers Corp.
Sep 17, 2026 (registration)New state registrationfactadvisor page source
Justin W Hill added a NC registration at Transamerica Financial Advisors, Llc
Sep 17, 2026 (registration)New state registrationfactadvisor page source
Angela Michelle White registered as an investment adviser representative at Friday Financial
Sep 17, 2026 (registration)Advisor registeredfactadvisor page source
Michelle Lynn Decaire no longer holds an investment adviser registration (last listed at Coldstream Wealth Management on the 2026-09-17 feed)
Sep 17, 2026 (observed_only)Advisor registration endedderivedadvisor page source
Mari Shea Calton no longer holds an investment adviser registration (last listed at Cetera Investment Advisers Llc on the 2026-09-17 feed)
Sep 17, 2026 (observed_only)Advisor registration endedderivedadvisor page source
John Jerome Buckley no longer holds an investment adviser registration (last listed at Mml Investors Services, Llc on the 2026-09-17 feed)
Sep 17, 2026 (observed_only)Advisor registration endedderivedadvisor page source
James Scott Kephart no longer holds an investment adviser registration (last listed at Magnus Financial Group Llc on the 2026-09-17 feed)
Sep 17, 2026 (observed_only)Advisor registration endedderivedadvisor page source
Robert Edward Meeker no longer holds an investment adviser registration (last listed at Edward Jones on the 2026-09-17 feed)
Sep 17, 2026 (observed_only)Advisor registration endedderivedadvisor page source
Paul Stanley Nurkiewicz no longer holds an investment adviser registration (last listed at Centaurus Financial, Inc. on the 2026-09-17 feed)
Sep 17, 2026 (observed_only)Advisor registration endedderivedadvisor page source
Robert Harold Kjellman no longer holds an investment adviser registration (last listed at William Blair & Company L.L.C. on the 2026-09-17 feed)
Sep 17, 2026 (observed_only)Advisor registration endedderivedadvisor page source
Gregory Allen Luoni no longer holds an investment adviser registration (last listed at Vanguard Advisers, Inc. on the 2026-09-17 feed)
Sep 17, 2026 (observed_only)Advisor registration endedderivedadvisor page source
Aaron Jay Spahr no longer holds an investment adviser registration (last listed at Hornor, Townsend & Kent, Llc on the 2026-09-17 feed)
Sep 17, 2026 (observed_only)Advisor registration endedderivedadvisor page source
Samuel Mcmanus Kiefer no longer holds an investment adviser registration (last listed at Wealth Enhancement Advisory Services, Llc on the 2026-09-17 feed)
Sep 17, 2026 (observed_only)Advisor registration endedderivedadvisor page source
Vivian Liu no longer holds an investment adviser registration (last listed at Strategic Advisers Llc on the 2026-09-17 feed)
Sep 17, 2026 (observed_only)Advisor registration endedderivedadvisor page source
Rodney Raymond Allain no longer holds an investment adviser registration (last listed at Clearbridge Investments, Llc on the 2026-09-17 feed)
Sep 17, 2026 (observed_only)Advisor registration endedderivedadvisor page source
Jenee Lynette Allen no longer holds an investment adviser registration (last listed at Morgan Stanley on the 2026-09-17 feed)
Sep 17, 2026 (observed_only)Advisor registration endedderivedadvisor page source
Tai S. Park no longer holds an investment adviser registration (last listed at Wells Fargo Advisors on the 2026-09-17 feed)
Sep 17, 2026 (observed_only)Advisor registration endedderivedadvisor page source
Michelle Rogero Hendry no longer holds an investment adviser registration (last listed at Mercer Global Advisors Inc. on the 2026-09-17 feed)
Sep 17, 2026 (observed_only)Advisor registration endedderivedadvisor page source
Scott Sterrett no longer holds an investment adviser registration (last listed at Lpl Financial Llc on the 2026-09-17 feed)
Sep 17, 2026 (observed_only)Advisor registration endedderivedadvisor page source
Saundra Dee Howard no longer holds an investment adviser registration (last listed at Cetera Investment Advisers Llc on the 2026-09-17 feed)
Sep 17, 2026 (observed_only)Advisor registration endedderivedadvisor page source
Jamie Lynne Smith no longer holds an investment adviser registration (last listed at Truist Advisory Services, Inc. on the 2026-09-17 feed)
Sep 17, 2026 (observed_only)Advisor registration endedderivedadvisor page source
Aaron Joseph Anson no longer holds an investment adviser registration (last listed at Captrust on the 2026-09-17 feed)
Sep 17, 2026 (observed_only)Advisor registration endedderivedadvisor page source
Rami Odeh no longer holds an investment adviser registration (last listed at Edward Jones on the 2026-09-17 feed)
Sep 17, 2026 (observed_only)Advisor registration endedderivedadvisor page source
Brittany Morgan Wagoner no longer holds an investment adviser registration (last listed at Valic Financial Advisors, Inc. on the 2026-09-17 feed)
Sep 17, 2026 (observed_only)Advisor registration endedderivedadvisor page source
Julio C Gaviria no longer holds an investment adviser registration (last listed at Wealthpoint Advisors on the 2026-09-17 feed)
Sep 17, 2026 (observed_only)Advisor registration endedderivedadvisor page source
Daniel Legner no longer holds an investment adviser registration (last listed at Cetera Investment Advisers Llc on the 2026-09-17 feed)
Sep 17, 2026 (observed_only)Advisor registration endedderivedadvisor page source
Claudio Di Pasquale Escobar no longer holds an investment adviser registration (last listed at Stratton Capital Investment Advisory Llc on the 2026-09-17 feed)
Sep 17, 2026 (observed_only)Advisor registration endedderivedadvisor page source
William Henry Morse no longer holds an investment adviser registration (last listed at Osaic Wealth, Inc. on the 2026-09-17 feed)
Sep 17, 2026 (observed_only)Advisor registration endedderivedadvisor page source
Caleb W Hesseltine no longer holds an investment adviser registration (last listed at Lpl Financial Llc on the 2026-09-17 feed)
Sep 17, 2026 (observed_only)Advisor registration endedderivedadvisor page source
Alison Laforge no longer holds an investment adviser registration (last listed at Equitable Advisors, Llc on the 2026-09-17 feed)
Sep 17, 2026 (observed_only)Advisor registration endedderivedadvisor page source
Clayton Lynn Rivera no longer holds an investment adviser registration (last listed at Merrill Lynch, Pierce, Fenner & Smith Incorporated on the 2026-09-17 feed)
Sep 17, 2026 (observed_only)Advisor registration endedderivedadvisor page source
Robert Francis Rogan no longer holds an investment adviser registration (last listed at Equitable Advisors, Llc on the 2026-09-17 feed)
Sep 17, 2026 (observed_only)Advisor registration endedderivedadvisor page source
Erin Elizabeth Rau no longer holds an investment adviser registration (last listed at Cetera Investment Advisers Llc on the 2026-09-17 feed)
Sep 17, 2026 (observed_only)Advisor registration endedderivedadvisor page source
Jeffrey William Fitz no longer holds an investment adviser registration (last listed at Stratos Wealth Partners, Ltd on the 2026-09-17 feed)
Sep 17, 2026 (observed_only)Advisor registration endedderivedadvisor page source
Steven Fortescue no longer holds an investment adviser registration (last listed at Ameriprise Financial Services, Llc on the 2026-09-17 feed)
Sep 17, 2026 (observed_only)Advisor registration endedderivedadvisor page source
Deborah Ann Wilson no longer holds an investment adviser registration (last listed at Ameriprise Financial Services, Llc on the 2026-09-17 feed)
Sep 17, 2026 (observed_only)Advisor registration endedderivedadvisor page source
Steven Gensler no longer holds an investment adviser registration (last listed at Independent Financial Group, Llc on the 2026-09-17 feed)
Sep 17, 2026 (observed_only)Advisor registration endedderivedadvisor page source
Eric Robert O'Brien no longer holds an investment adviser registration (last listed at Focus Partners Wealth, Llc on the 2026-09-17 feed)
Sep 17, 2026 (observed_only)Advisor registration endedderivedadvisor page source
Ethan R Beckman registered as an investment adviser representative at Edward Jones
Sep 17, 2026 (registration)Advisor registeredfactadvisor page source
Tyler A Strauer no longer holds an investment adviser registration (last listed at Golden Reserve Retirement, Llc on the 2026-09-17 feed)
Sep 17, 2026 (observed_only)Advisor registration endedderivedadvisor page source
Alyssa Lichelle Alexander no longer holds an investment adviser registration (last listed at Wells Fargo Advisors on the 2026-09-17 feed)
Sep 17, 2026 (observed_only)Advisor registration endedderivedadvisor page source
Francis A Anello no longer holds an investment adviser registration (last listed at Morningstar Investment Management Llc on the 2026-09-17 feed)
Sep 17, 2026 (observed_only)Advisor registration endedderivedadvisor page source
Constanza F.A. Low no longer holds an investment adviser registration (last listed at Mercer Global Advisors Inc. on the 2026-09-17 feed)
Sep 17, 2026 (observed_only)Advisor registration endedderivedadvisor page source
David Michael Shealy no longer holds an investment adviser registration (last listed at Shealy / Pinnacle Advisors, Ltd. on the 2026-09-17 feed)
Sep 17, 2026 (observed_only)Advisor registration endedderivedadvisor page source
Steven James Larson no longer holds an investment adviser registration (last listed at Clarity Asset Management, Inc. on the 2026-09-17 feed)
Sep 17, 2026 (observed_only)Advisor registration endedderivedadvisor page source
Lloyd Edward Shaw no longer holds an investment adviser registration (last listed at Valic Financial Advisors, Inc. on the 2026-09-17 feed)
Sep 17, 2026 (observed_only)Advisor registration endedderivedadvisor page source
Timothy James Lyons no longer holds an investment adviser registration (last listed at Cetera Investment Advisers Llc on the 2026-09-17 feed)
Sep 17, 2026 (observed_only)Advisor registration endedderivedadvisor page source
Frank Lloyd Pape no longer holds an investment adviser registration (last listed at Frontier Asset Management, Llc on the 2026-09-17 feed)
Sep 17, 2026 (observed_only)Advisor registration endedderivedadvisor page source
Andrew J Ditty no longer holds an investment adviser registration (last listed at Key Investment Services Llc on the 2026-09-17 feed)
Sep 17, 2026 (observed_only)Advisor registration endedderivedadvisor page source
Rita Darlene Cooper no longer holds an investment adviser registration (last listed at Wells Fargo Advisors on the 2026-09-17 feed)
Sep 17, 2026 (observed_only)Advisor registration endedderivedadvisor page source
Teresa Q M Tanaka no longer holds an investment adviser registration (last listed at Charles Schwab & Co., Inc. on the 2026-09-17 feed)
Sep 17, 2026 (observed_only)Advisor registration endedderivedadvisor page source
Richard John Pelletier no longer holds an investment adviser registration (last listed at Foundations Investment Advisors Llc on the 2026-09-17 feed)
Sep 17, 2026 (observed_only)Advisor registration endedderivedadvisor page source

Page 19 of 3638Previous Next

218,257 events match.