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.
- Erin Elizabeth Rau no longer holds an investment adviser registration (last listed at Cetera Investment Advisers Llc on the 2026-09-17 feed)
- Jeffrey William Fitz no longer holds an investment adviser registration (last listed at Stratos Wealth Partners, Ltd on the 2026-09-17 feed)
- Steven Fortescue no longer holds an investment adviser registration (last listed at Ameriprise Financial Services, Llc on the 2026-09-17 feed)
- Deborah Ann Wilson no longer holds an investment adviser registration (last listed at Ameriprise Financial Services, Llc on the 2026-09-17 feed)
- Steven Gensler no longer holds an investment adviser registration (last listed at Independent Financial Group, Llc on the 2026-09-17 feed)
- Eric Robert O'Brien no longer holds an investment adviser registration (last listed at Focus Partners Wealth, Llc on the 2026-09-17 feed)
- Ethan R Beckman registered as an investment adviser representative at Edward Jones
- Tyler A Strauer no longer holds an investment adviser registration (last listed at Golden Reserve Retirement, Llc on the 2026-09-17 feed)
- Alyssa Lichelle Alexander no longer holds an investment adviser registration (last listed at Wells Fargo Advisors on the 2026-09-17 feed)
- Francis A Anello no longer holds an investment adviser registration (last listed at Morningstar Investment Management Llc on the 2026-09-17 feed)
- Constanza F.A. Low no longer holds an investment adviser registration (last listed at Mercer Global Advisors Inc. on the 2026-09-17 feed)
- David Michael Shealy no longer holds an investment adviser registration (last listed at Shealy / Pinnacle Advisors, Ltd. on the 2026-09-17 feed)
- Steven James Larson no longer holds an investment adviser registration (last listed at Clarity Asset Management, Inc. on the 2026-09-17 feed)
- Lloyd Edward Shaw no longer holds an investment adviser registration (last listed at Valic Financial Advisors, Inc. on the 2026-09-17 feed)
- Timothy James Lyons no longer holds an investment adviser registration (last listed at Cetera Investment Advisers Llc on the 2026-09-17 feed)
- Frank Lloyd Pape no longer holds an investment adviser registration (last listed at Frontier Asset Management, Llc on the 2026-09-17 feed)
- Andrew J Ditty no longer holds an investment adviser registration (last listed at Key Investment Services Llc on the 2026-09-17 feed)
- Rita Darlene Cooper no longer holds an investment adviser registration (last listed at Wells Fargo Advisors on the 2026-09-17 feed)
- Teresa Q M Tanaka no longer holds an investment adviser registration (last listed at Charles Schwab & Co., Inc. on the 2026-09-17 feed)
- Richard John Pelletier no longer holds an investment adviser registration (last listed at Foundations Investment Advisors Llc on the 2026-09-17 feed)
- Tracy Lynn Chipman no longer holds an investment adviser registration (last listed at Hornor, Townsend & Kent, Llc on the 2026-09-17 feed)
- Kathleen Balcita Jucar no longer holds an investment adviser registration (last listed at Osaic Wealth, Inc. on the 2026-09-17 feed)
- Robert Warren Brooks no longer holds an investment adviser registration (last listed at Wells Fargo Advisors on the 2026-09-17 feed)
- Jennifer Marie May no longer holds an investment adviser registration (last listed at Cetera Investment Advisers Llc on the 2026-09-17 feed)
- Richard Allen Klein no longer holds an investment adviser registration (last listed at Ameriprise Financial Services, Llc on the 2026-09-17 feed)
- Michael Lee Forsberg no longer holds an investment adviser registration (last listed at Ameriprise Financial Services, Llc on the 2026-09-17 feed)
- Gordon Eliot Fallone no longer holds an investment adviser registration (last listed at Uhlmann Investment Management, L.L.C. on the 2026-09-17 feed)
- Patrick J Weber no longer holds an investment adviser registration (last listed at One Wealth Map, Llc on the 2026-09-17 feed)
- Nicholas James Barnwell no longer holds an investment adviser registration (last listed at Charles Schwab & Co., Inc. on the 2026-09-17 feed)
- Amy Dannis Starkey no longer holds an investment adviser registration (last listed at Ameritas Advisory Services, Llc on the 2026-09-17 feed)
- Peter William Weiler no longer holds an investment adviser registration (last listed at Commonwealth Financial Network on the 2026-09-17 feed)
- Micah Tiensung Wei no longer holds an investment adviser registration (last listed at Hornor, Townsend & Kent, Llc on the 2026-09-17 feed)
- Amy Diane Burry no longer holds an investment adviser registration (last listed at Tschetter Group on the 2026-09-17 feed)
- Justin Cattaneo no longer holds an investment adviser registration (last listed at Cetera Investment Advisers Llc on the 2026-09-17 feed)
- Jennifer Lynn Mierendorf no longer holds an investment adviser registration (last listed at Cetera Investment Advisers Llc on the 2026-09-17 feed)
- Martin Gumowski no longer holds an investment adviser registration (last listed at Osaic Institutions, Inc. on the 2026-09-17 feed)
- Brendan David Russo no longer holds an investment adviser registration (last listed at Equitable Advisors, Llc on the 2026-09-17 feed)
- Jesse Charles Blouin no longer holds an investment adviser registration (last listed at Morgan Stanley on the 2026-09-17 feed)
- Hannah T Chung no longer holds an investment adviser registration (last listed at Ameriprise Financial Services, Llc on the 2026-09-17 feed)
- Isaiah Aston Hinds no longer holds an investment adviser registration (last listed at Transamerica Retirement Advisors, Llc on the 2026-09-17 feed)
- Justin D Hackman no longer holds an investment adviser registration (last listed at Ameriprise Financial Services, Llc on the 2026-09-17 feed)
- Dillon Rawson no longer holds an investment adviser registration (last listed at Morgan Stanley on the 2026-09-17 feed)
- Shushu Cai no longer holds an investment adviser registration (last listed at Merrill Lynch, Pierce, Fenner & Smith Incorporated on the 2026-09-17 feed)
- Kelly Brandon Hazlett no longer holds an investment adviser registration (last listed at Wealthcrossing on the 2026-09-17 feed)
- Michael May no longer holds an investment adviser registration (last listed at Raymond James Financial Services Advisors, Inc on the 2026-09-17 feed)
- Willard Everett Robertson no longer holds an investment adviser registration (last listed at Lpl Financial Llc on the 2026-09-17 feed)
- Rafael Daher registered as an investment adviser representative at J.P. Morgan Securities Llc
- William Edward Mocnik no longer holds an investment adviser registration (last listed at Vanguard Advisers, Inc. on the 2026-09-17 feed)
- Austin August Engel no longer holds an investment adviser registration (last listed at Lpl Financial Llc on the 2026-09-17 feed)
- Gerard Francis Kane no longer holds an investment adviser registration (last listed at Knights Of Columbus Asset Advisors Llc on the 2026-09-17 feed)
- Megan Nicole John no longer holds an investment adviser registration (last listed at Wealthspire Advisors on the 2026-09-17 feed)
- Holden Rieping no longer holds an investment adviser registration (last listed at T. Rowe Price Advisory Services, Inc. on the 2026-09-17 feed)
- Benjamin Brian Taylor no longer holds an investment adviser registration (last listed at Merrill Lynch, Pierce, Fenner & Smith Incorporated on the 2026-09-17 feed)
- David John Berns no longer holds an investment adviser registration (last listed at Hd Money, Inc. on the 2026-09-17 feed)
- Eric Steven Gandy no longer holds an investment adviser registration (last listed at Cetera Investment Advisers Llc on the 2026-09-17 feed)
- Ignacio R Ceniceros no longer holds an investment adviser registration (last listed at Merrill Lynch, Pierce, Fenner & Smith Incorporated on the 2026-09-17 feed)
- Michael Joseph Merluzzi no longer holds an investment adviser registration (last listed at Sterling Bridge Financial Group Llc on the 2026-09-17 feed)
- Kyle W Nelson no longer holds an investment adviser registration (last listed at J.P. Morgan Securities Llc on the 2026-09-17 feed)
- Christian A Fryc no longer holds an investment adviser registration (last listed at Valic Financial Advisors, Inc. on the 2026-09-17 feed)
- James Dietter no longer holds an investment adviser registration (last listed at Northwestern Mutual Investment Services,Llc on the 2026-09-17 feed)
217,387 events match.