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.

Advisor moves

Departures from Foothill Securities, Inc.

A move is two dates on IAPD: the day a person’s registration through one firm ended and the day a registration through another began. The type reads the class of each firm. This is the movement tape the mobility research is validated against; it says what happened, never why, and never who is about to.

AdvisorFromToTypeLeftRegistered
Steven Paul BendinelliFoothill Securities, Inc. otherWespac Advisors, LLC otherOtherJul 2, 2012Aug 9, 2012 (38 d)
Derek Michael McdougallFoothill Securities, Inc. otherMML Investors Services, LLC otherOtherJul 19, 2011Aug 5, 2011
Andrew Scott FlackFoothill Securities, Inc. otherRaymond James Financial Services Advisors, Inc otherOtherJun 21, 2011Feb 21, 2013 (611 d)
Jeffrey Steven FroshmanFoothill Securities, Inc. otherWells Fargo Advisors wirehouseOtherOct 1, 2010Nov 9, 2010 (39 d)
Paul Louis KnoblichFoothill Securities, Inc. otherNpb Financial Group, LLC otherOtherSep 3, 2010Jan 4, 2017 (2315 d)
Josephine Ann AiosaFoothill Securities, Inc. otherUsaa Financial Planning Services no RAUMOtherJul 14, 2010May 5, 2011 (295 d)
Cam Taggart McclellanFoothill Securities, Inc. otherOmni Investment Advisors Inc unclassifiedOtherOct 2, 2008Apr 19, 2011 (929 d)
Donald Jay KaplanFoothill Securities, Inc. otherFinancial Telesis, Inc. otherOtherAug 18, 2008Sep 5, 2008
Benjamin William WongFoothill Securities, Inc. otherFinancial Telesis, Inc. otherOtherAug 15, 2008Aug 15, 2008
Jeanne Yi Lee DuceFoothill Securities, Inc. otherThe Strategic Financial Alliance otherOtherSep 7, 2007Sep 4, 2007
Lamar SimpsonFoothill Securities, Inc. otherTransamerica Financial Advisors, LLC otherOtherMar 31, 2006Dec 12, 2006 (256 d)
George Albert PosadaFoothill Securities, Inc. otherRaymond James Financial Services, Inc. unclassifiedOtherDec 19, 2005Dec 20, 2005
James Aladino ParentiFoothill Securities, Inc. otherMariner Advisor Network independent RIAOtherOct 12, 2005Aug 8, 2018 (4683 d)
Sean Stephen SowersFoothill Securities, Inc. otherFinancial Telesis, Inc. otherOtherApr 30, 2004Oct 23, 2013 (3463 d)
Toni Lynn SutherlandFoothill Securities, Inc. otherPacific West Financial Consultants Inc otherOtherApr 3, 2003Mar 7, 2003
Douglas Paul CaesareFoothill Securities, Inc. otherIfmg Securities, Inc. unclassifiedOtherDec 20, 2002Mar 23, 2005 (824 d)
Lucinda A SalinasFoothill Securities, Inc. otherFsc Securities Corporation otherOtherSep 20, 2002Jul 17, 2007 (1761 d)
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77 moves match.