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 MML Investors Services, 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 Van Mercy Vo | MML Investors Services, LLC BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 14, 2025 | Dec 11, 2025 |
| Lucas Leblanc | MML Investors Services, LLC BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 13, 2025 | Feb 23, 2026 (102 d) |
| Jeffrey C Goering | MML Investors Services, LLC BD affiliated | Diamond Client Group, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 7, 2025 | Jul 23, 2026 (258 d) |
| Ronen James Kim | MML Investors Services, LLC BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Nov 7, 2025 | Jan 2, 2026 (56 d) |
| John Ramsay Ellis | MML Investors Services, LLC BD affiliated | Alden Investment Group independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 6, 2025 | Jun 26, 2026 (232 d) |
| Sarah M Zirbel Nowak | MML Investors Services, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 6, 2025 | Nov 4, 2025 |
| Sean Stockman | MML Investors Services, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 6, 2025 | Nov 4, 2025 |
| Richard W Tso | MML Investors Services, LLC BD affiliated | Signature Resources Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 6, 2025 | Nov 12, 2025 |
| Michael James Fairchild | MML Investors Services, LLC BD affiliated | Key Investment Services LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 5, 2025 | Dec 1, 2025 |
| Simon Robert Goldin | MML Investors Services, LLC BD affiliated | Signature Resources Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 4, 2025 | Nov 10, 2025 |
| Christian Stone Thompson | MML Investors Services, LLC BD affiliated | Hsbc Securities (USA) Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 4, 2025 | Dec 16, 2025 (42 d) |
| Alexander Aarian Lashkari | MML Investors Services, LLC BD affiliated | Signature Resources Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 4, 2025 | Nov 12, 2025 |
| John Cooper Kronenberger | MML Investors Services, LLC BD affiliated | State Farm Investment Management Corp. asset manager | Other | Nov 3, 2025 | Jan 9, 2026 (67 d) |
| Richard Stanley Caldecott | MML Investors Services, LLC BD affiliated | Pivotal Wealth And Tax state registered | Affiliated broker-dealer or bank to a state-registered adviser | Oct 31, 2025 | Jan 2, 2026 (63 d) |
| Benton Kiesling | MML Investors Services, LLC BD affiliated | Two West Capital Advisors LLC institutional | Other | Oct 31, 2025 | Nov 6, 2025 |
| Max Land | MML Investors Services, LLC BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 29, 2025 | Dec 9, 2025 (41 d) |
| Keith L Wood | MML Investors Services, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 28, 2025 | Oct 28, 2025 |
| Joseph Daniel Stabile | MML Investors Services, LLC BD affiliated | Forefront independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 28, 2025 | Oct 28, 2025 |
| Jonathan Joseph Rosen | MML Investors Services, LLC BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 27, 2025 | May 19, 2026 (204 d) |
| Jordan D Oyer | MML Investors Services, LLC BD affiliated | Fiduciary Financial Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 27, 2025 | Oct 24, 2025 |
| Scott Louis Varon | MML Investors Services, LLC BD affiliated | Newedge Advisors BD affiliated | Affiliated broker-dealer or bank to another | Oct 24, 2025 | Oct 22, 2025 |
| Scott Davis Woodward | MML Investors Services, LLC BD affiliated | Newedge Advisors BD affiliated | Affiliated broker-dealer or bank to another | Oct 24, 2025 | Oct 22, 2025 |
| Jack Gerard Maguire | MML Investors Services, LLC BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 23, 2025 | Nov 14, 2025 |
| Daniel S Tam | MML Investors Services, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 21, 2025 | Oct 20, 2025 |
| John L Heacock | MML Investors Services, LLC BD affiliated | Valic Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 21, 2025 | Oct 20, 2025 |
| Jennifer Green Harvey | MML Investors Services, LLC BD affiliated | Park Avenue Securities LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 21, 2025 | Dec 8, 2025 (48 d) |
| Michael Gerald Collins | MML Investors Services, LLC BD affiliated | Equitable Advisors, LLC national BD | Affiliated broker-dealer or bank to another | Oct 17, 2025 | Dec 18, 2025 (62 d) |
| Matthew Lawrence Kern | MML Investors Services, LLC BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Oct 16, 2025 | Oct 17, 2025 |
| Bradly David Collins | MML Investors Services, LLC BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Oct 16, 2025 | Oct 13, 2025 |
| David Sanderlin | MML Investors Services, LLC BD affiliated | Waverly Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 14, 2025 | Feb 5, 2026 (114 d) |
| Ryan Atchley | MML Investors Services, LLC BD affiliated | Digital Ascension Group - Wealth other | Other | Oct 14, 2025 | Nov 12, 2025 |
| David Hue-Yun Soohoo | MML Investors Services, LLC BD affiliated | Angel Wealth Advisors state registered | Affiliated broker-dealer or bank to a state-registered adviser | Oct 13, 2025 | Oct 17, 2025 |
| Diljeet Singh Masuda | MML Investors Services, LLC BD affiliated | Park Avenue Securities LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 10, 2025 | Feb 10, 2026 (123 d) |
| Andrew Mark Rutner | MML Investors Services, LLC BD affiliated | LPL Enterprise, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 6, 2025 | Oct 6, 2025 |
| Osvaldo Cabrales | MML Investors Services, LLC BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 6, 2025 | Nov 17, 2025 (42 d) |
| Jose Ignacio Marques | MML Investors Services, LLC BD affiliated | Mai Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 3, 2025 | Feb 25, 2026 (145 d) |
| Charles H Hawkins III | MML Investors Services, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 2, 2025 | Oct 1, 2025 |
| Thomas Giltner | MML Investors Services, LLC BD affiliated | Oneseven independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 2, 2025 | Sep 30, 2025 |
| Caeden Goering | MML Investors Services, LLC BD affiliated | Diamond Client Group, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 2, 2025 | Sep 29, 2025 |
| Joshua Robert Keith Gay | MML Investors Services, LLC BD affiliated | Pinnacle Wealth Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 2, 2025 | Oct 9, 2025 |
| Elliot James Lamie | MML Investors Services, LLC BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 1, 2025 | Jan 22, 2026 (113 d) |
| Peter Hieu Truong | MML Investors Services, LLC BD affiliated | Esi Financial Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 30, 2025 | Oct 17, 2025 |
| Huck Green | MML Investors Services, LLC BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 26, 2025 | Oct 24, 2025 |
| Branden Doherty | MML Investors Services, LLC BD affiliated | Equitable Advisors, LLC national BD | Affiliated broker-dealer or bank to another | Sep 26, 2025 | Oct 14, 2025 |
| Alan Craig Bolotin | MML Investors Services, LLC BD affiliated | Prosperity - An Eisneramper Company independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 25, 2025 | Sep 5, 2025 |
| Jared S Bolotin | MML Investors Services, LLC BD affiliated | Prosperity - An Eisneramper Company independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 25, 2025 | Sep 5, 2025 |
| Micah Bolotin | MML Investors Services, LLC BD affiliated | Prosperity - An Eisneramper Company independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 25, 2025 | Sep 5, 2025 |
| Christopher Barrett | MML Investors Services, LLC BD affiliated | Prosperity - An Eisneramper Company independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 25, 2025 | Sep 5, 2025 |
| Jennifer Siraco | MML Investors Services, LLC BD affiliated | Prosperity - An Eisneramper Company independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 25, 2025 | Sep 7, 2025 |
| Cameron Mackoul | MML Investors Services, LLC BD affiliated | Prosperity - An Eisneramper Company independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 25, 2025 | Sep 17, 2025 |
| Kevin Kustelski | MML Investors Services, LLC BD affiliated | Reliance Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 25, 2025 | Sep 25, 2025 |
| Bradley Charles Snyder | MML Investors Services, LLC BD affiliated | LPL Enterprise, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 24, 2025 | Oct 6, 2025 |
| Todd Lawrence Crowley | MML Investors Services, LLC BD affiliated | Cerity Partners LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 23, 2025 | Apr 14, 2026 (203 d) |
| Brandon Gabriel Weed | MML Investors Services, LLC BD affiliated | Newedge Advisors BD affiliated | Affiliated broker-dealer or bank to another | Sep 23, 2025 | Sep 15, 2025 |
| Bryan Schneider | MML Investors Services, LLC BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 17, 2025 | Nov 3, 2025 (47 d) |
| Jose Franciosa Martin | MML Investors Services, LLC BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Sep 15, 2025 | Sep 12, 2025 |
| Matthew J Saul | MML Investors Services, LLC BD affiliated | Saul Wealth Advisors, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Sep 11, 2025 | Sep 8, 2025 |
| Dawn Lynn Green | MML Investors Services, LLC BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 11, 2025 | Sep 10, 2025 |
| Shawn Patrick Kilmurray | MML Investors Services, LLC BD affiliated | Brookwood Investment Group independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 10, 2025 | Sep 23, 2025 |
| Christopher Michael Davey | MML Investors Services, LLC BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Sep 10, 2025 | Sep 12, 2025 |
4,445 moves match.