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 Cetera Advisors LLC
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.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| David Barry Steiner | Cetera Advisors LLC BD affiliated | Purple Dog Investments LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Apr 5, 2024 | Apr 25, 2019 |
| Thomas John Bruce | Cetera Advisors LLC BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 5, 2024 | Mar 18, 2024 |
| David Joseph Perrotto | Cetera Advisors LLC BD affiliated | Bright Futures Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 22, 2024 | Sep 15, 2021 |
| Vincent Dallo | Cetera Advisors LLC BD affiliated | Bright Futures Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 22, 2024 | Feb 13, 2024 |
| Carl Martin Fellhauer | Cetera Advisors LLC BD affiliated | The Ameriflex Group BD affiliated | Affiliated broker-dealer or bank to another | Mar 22, 2024 | Mar 22, 2024 |
| Bruce Andrew Berman | Cetera Advisors LLC BD affiliated | Bright Futures Wealth Management, LLC no RAUM | Other | Mar 21, 2024 | Jan 24, 2017 |
| David W Treichler | Cetera Advisors LLC BD affiliated | Bright Futures Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 21, 2024 | Aug 25, 2021 |
| Jerry Neil Hefley | Cetera Advisors LLC BD affiliated | Bright Futures Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 21, 2024 | Sep 17, 2021 |
| Gregory John Halstead | Cetera Advisors LLC BD affiliated | Bright Futures Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 21, 2024 | Sep 30, 2021 |
| Patrice Aileen Lancelot | Cetera Advisors LLC BD affiliated | Bright Futures Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 21, 2024 | Aug 23, 2021 |
| Robert John Cryts | Cetera Advisors LLC BD affiliated | Cambridge Financial Services state registered | Affiliated broker-dealer or bank to a state-registered adviser | Mar 21, 2024 | Dec 21, 2016 |
| Mark Samuel Santelli | Cetera Advisors LLC BD affiliated | Bright Futures Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 21, 2024 | Aug 25, 2021 |
| Keith Edward Condemi | Cetera Advisors LLC BD affiliated | Bright Futures Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 21, 2024 | Aug 23, 2021 |
| Robert Harold Hogsette | Cetera Advisors LLC BD affiliated | Dawson Wealth Management unclassified | Other | Mar 21, 2024 | May 10, 2007 |
| Robert Normand Richard | Cetera Advisors LLC BD affiliated | Bright Futures Wealth Management, LLC no RAUM | Other | Mar 21, 2024 | Feb 14, 2017 |
| Cregg Dale Miyat | Cetera Advisors LLC BD affiliated | Ergawealth Advisors, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 21, 2024 | Jan 5, 2018 |
| Martin Eugene Paul | Cetera Advisors LLC BD affiliated | Bright Futures Wealth Management, LLC no RAUM | Other | Mar 21, 2024 | Feb 13, 2017 |
| Ryan L Malloch | Cetera Advisors LLC BD affiliated | M1 Capital Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 21, 2024 | Jan 20, 2021 |
| Kevin Tavas | Cetera Advisors LLC BD affiliated | Bright Futures Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 21, 2024 | Mar 8, 2022 |
| Oren Guzman | Cetera Advisors LLC BD affiliated | Bright Futures Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 21, 2024 | May 15, 2020 |
| Steven Raymond Dutton | Cetera Advisors LLC BD affiliated | Cascadia Advisory Services, LLC no RAUM | Other | Mar 21, 2024 | Mar 8, 2018 |
| Collin Robert Fingon | Cetera Advisors LLC BD affiliated | Bright Futures Wealth Management, LLC no RAUM | Other | Mar 21, 2024 | Jan 23, 2017 |
| Antonio Desano | Cetera Advisors LLC BD affiliated | M1 Capital Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 21, 2024 | Feb 3, 2022 |
| Dylan Thomas Shaw | Cetera Advisors LLC BD affiliated | Bright Futures Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 21, 2024 | Aug 27, 2021 |
| Brandon James Butler | Cetera Advisors LLC BD affiliated | Bright Futures Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 21, 2024 | Aug 31, 2023 |
| Phillip Livio Faso | Cetera Advisors LLC BD affiliated | Ergawealth Advisors, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 21, 2024 | May 26, 2022 |
| Carol Ann Whelan | Cetera Advisors LLC BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 19, 2024 | Mar 1, 2024 |
| Brian Edward Birchmeier | Cetera Advisors LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 14, 2024 | Feb 27, 2024 |
| Jason Scott Stewart | Cetera Advisors LLC BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 13, 2024 | Mar 1, 2024 |
| Rami Sassoon | Cetera Advisors LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 12, 2024 | Aug 30, 2024 (171 d) |
| Mark Louis Glass | Cetera Advisors LLC BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 7, 2024 | Mar 4, 2024 |
| Graham Granger Merk | Cetera Advisors LLC BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 7, 2024 | Mar 13, 2024 |
| Robert Carper | Cetera Advisors LLC BD affiliated | Cornerstone Advisors LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 5, 2024 | Mar 7, 2024 |
| James Richard Bentley | Cetera Advisors LLC BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 4, 2024 | Feb 14, 2024 |
| Catherine Rose Paige | Cetera Advisors LLC BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 4, 2024 | Mar 1, 2024 |
| David Lane Gabay | Cetera Advisors LLC BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Feb 12, 2024 | Feb 9, 2024 |
| Caroline Gabay | Cetera Advisors LLC BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Feb 12, 2024 | Feb 9, 2024 |
| David Paul Rottschafer | Cetera Advisors LLC BD affiliated | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 8, 2024 | Jan 29, 2024 |
| Andrew Mcalister | Cetera Advisors LLC BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 7, 2024 | Feb 2, 2024 |
| Deborah Waynell Andrews | Cetera Advisors LLC BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 6, 2024 | Feb 1, 2024 |
| Lloyd Patrick Hebert | Cetera Advisors LLC BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 5, 2024 | Feb 2, 2024 |
| James R Bennett | Cetera Advisors LLC BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 2, 2024 | Feb 1, 2024 |
| Kathryn Carleen Pagh | Cetera Advisors LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 25, 2024 | Jan 25, 2024 |
| Barbara Ann Headley | Cetera Advisors LLC BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Jan 23, 2024 | Jan 18, 2024 |
| Francis Thomas Boyle | Cetera Advisors LLC BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Jan 18, 2024 | Jan 18, 2024 |
| Mary Grace Ales | Cetera Advisors LLC BD affiliated | Osaic Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 9, 2024 | Jan 10, 2024 |
| Catherine Marie Mcgrath | Cetera Advisors LLC BD affiliated | World Investment Advisors, LLC institutional | Other | Jan 4, 2024 | Jan 22, 2024 |
| James Andrew Rawson | Cetera Advisors LLC BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 3, 2024 | Feb 14, 2024 (42 d) |
| Byron Patricio Alvarado | Cetera Advisors LLC BD affiliated | Prosperitas Financial, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 31, 2023 | Aug 6, 2024 (219 d) |
| Joy Michelle Schlie | Cetera Advisors LLC BD affiliated | Harvest Financial Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 22, 2023 | Jan 31, 2024 (40 d) |
| Dennis P Oconnor | Cetera Advisors LLC BD affiliated | Blackridge Asset Management, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 30, 2023 | Nov 27, 2023 |
| Cheyenne Janel Armstrong | Cetera Advisors LLC BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 30, 2023 | Dec 5, 2023 |
| David Patrick Leathers | Cetera Advisors LLC BD affiliated | J. W. Cole Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 29, 2023 | Nov 30, 2023 |
| Kayden Besher | Cetera Advisors LLC BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 10, 2023 | Nov 10, 2023 |
| Spencer Belnap | Cetera Advisors LLC BD affiliated | T. Rowe Price Advisory Services, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 9, 2023 | Mar 5, 2024 (117 d) |
| Paul David Gaschen | Cetera Advisors LLC BD affiliated | Cadaret Grant & Co Inc BD affiliated | Affiliated broker-dealer or bank to another | Nov 1, 2023 | Oct 31, 2023 |
| Francis Consolmagno | Cetera Advisors LLC BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 20, 2023 | Oct 18, 2023 |
| Jacob L Buehler | Cetera Advisors LLC BD affiliated | The Ameriflex Group BD affiliated | Affiliated broker-dealer or bank to another | Oct 19, 2023 | Oct 9, 2023 |
| Christopher Chad Soileau | Cetera Advisors LLC BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Oct 18, 2023 | Jan 9, 2024 (83 d) |
| Deborah Marie Reaves | Cetera Advisors LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 4, 2023 | Oct 4, 2023 |
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910 moves match.