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 |
|---|---|---|---|---|---|
| Kapongo Dale Mbambi | MML Investors Services, LLC BD affiliated | Vanguard Advisers, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 9, 2025 | May 27, 2026 (260 d) |
| Michael L Digiaimo | MML Investors Services, LLC BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 9, 2025 | Sep 29, 2025 |
| Michael James Barnes | MML Investors Services, LLC BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 9, 2025 | Sep 25, 2025 |
| Amer Tipura | MML Investors Services, LLC BD affiliated | Key Investment Services LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 8, 2025 | Dec 18, 2025 (101 d) |
| Asher Hoopes | MML Investors Services, LLC BD affiliated | Td Private Client Wealth LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 8, 2025 | Sep 16, 2025 |
| Philip Berkley | MML Investors Services, LLC BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Sep 8, 2025 | Feb 21, 2026 (166 d) |
| Demetrio Joselito Munoz | MML Investors Services, LLC BD affiliated | Oneamerica Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 5, 2025 | Dec 19, 2025 (105 d) |
| Thomas Eugene Shepherd | MML Investors Services, LLC BD affiliated | Bluedoor Private Wealth, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 5, 2025 | Apr 16, 2026 (223 d) |
| Coleman Shwayder | MML Investors Services, LLC BD affiliated | 7two independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 5, 2025 | Sep 18, 2025 |
| Lester Philip Litchfield | MML Investors Services, LLC BD affiliated | Sound Income Strategies, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 4, 2025 | Sep 10, 2025 |
| Jason Buckley Harness | MML Investors Services, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 2, 2025 | Sep 10, 2025 |
| Adam Bass | MML Investors Services, LLC BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Sep 2, 2025 | Sep 18, 2025 |
| Jeremy Scott Harness | MML Investors Services, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 2, 2025 | Sep 2, 2025 |
| Tyler Jonathan Matchack | MML Investors Services, LLC BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 29, 2025 | Sep 14, 2026 (381 d) |
| Kenneth Wasekanes | MML Investors Services, LLC BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 29, 2025 | Sep 18, 2025 |
| Jacob Ashton Higgins | MML Investors Services, LLC BD affiliated | Campbell Asset Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 28, 2025 | Aug 28, 2025 |
| Stephanie Lynn Roman | MML Investors Services, LLC BD affiliated | First Manhattan Co. LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 27, 2025 | Sep 4, 2025 |
| Jhonny Kreidi | MML Investors Services, LLC BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 27, 2025 | Nov 6, 2025 (71 d) |
| Penny Jean Young | MML Investors Services, LLC BD affiliated | Alphastar Capital Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 26, 2025 | Sep 3, 2025 |
| Michael A Stein | MML Investors Services, LLC BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Aug 25, 2025 | Aug 22, 2025 |
| Chad Ronald Lehr | MML Investors Services, LLC BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 25, 2025 | Aug 25, 2025 |
| Michael August Malatesta | MML Investors Services, LLC BD affiliated | Key Investment Services LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 22, 2025 | Oct 3, 2025 (42 d) |
| Kevin Cornell Parker | MML Investors Services, LLC BD affiliated | Valic Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 21, 2025 | Apr 17, 2026 (239 d) |
| Bryan Hatfield | MML Investors Services, LLC BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 18, 2025 | Oct 15, 2025 (58 d) |
| Nicole Brianne Taggart | MML Investors Services, LLC BD affiliated | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 18, 2025 | Oct 29, 2025 (72 d) |
| Daniel R Krall | MML Investors Services, LLC BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 15, 2025 | Oct 22, 2025 (68 d) |
| John Tyler Ernst | MML Investors Services, LLC BD affiliated | Sagespring Wealth Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 15, 2025 | Sep 3, 2025 |
| Andrew Coughlin | MML Investors Services, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 15, 2025 | Aug 18, 2025 |
| Frank Dryden Anzalone | MML Investors Services, LLC BD affiliated | Onedigital institutional | Other | Aug 14, 2025 | Nov 4, 2025 (82 d) |
| Neal Bharat Patel | MML Investors Services, LLC BD affiliated | Mrm Financial Advisors, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Aug 12, 2025 | Aug 13, 2025 |
| Lauren Melissa Williams | MML Investors Services, LLC BD affiliated | Sagespring Wealth Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 8, 2025 | May 26, 2026 (291 d) |
| Elizabeth M Hollman | MML Investors Services, LLC BD affiliated | Bull Harbor Capital LLC. independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 6, 2025 | Dec 4, 2024 |
| James Justin Towne | MML Investors Services, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 6, 2025 | Aug 4, 2025 |
| Amit A Trivedi | MML Investors Services, LLC BD affiliated | Fortis Capital Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 6, 2025 | Aug 1, 2025 |
| Edward James Golden | MML Investors Services, LLC BD affiliated | Citizens Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 6, 2025 | Aug 6, 2025 |
| Eric Cote | MML Investors Services, LLC BD affiliated | Sound Income Strategies, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 6, 2025 | Aug 18, 2025 |
| Allen Wesley Carr | MML Investors Services, LLC BD affiliated | Vantus Wealth no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Aug 5, 2025 | Aug 4, 2025 |
| Mark R Stein | MML Investors Services, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 5, 2025 | Aug 15, 2025 |
| Jeffrey Paul Emrich | MML Investors Services, LLC BD affiliated | Vantus Wealth no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Aug 5, 2025 | Aug 4, 2025 |
| Andrew Joseph Sedora | MML Investors Services, LLC BD affiliated | Vantus Wealth no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Aug 5, 2025 | Aug 4, 2025 |
| Paul Kahler Broomell | MML Investors Services, LLC BD affiliated | Vantus Wealth no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Aug 5, 2025 | Aug 4, 2025 |
| Clinton M Simmons | MML Investors Services, LLC BD affiliated | Wienken Advisors, Ltd. no RAUM | Other | Aug 5, 2025 | Mar 4, 2020 |
| Myla Lynn Koons | MML Investors Services, LLC BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Aug 4, 2025 | Sep 22, 2025 (49 d) |
| Jonathan Andrew Gruber | MML Investors Services, LLC BD affiliated | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 1, 2025 | Aug 1, 2025 |
| Anthony Lucarelli | MML Investors Services, LLC BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 30, 2025 | Sep 4, 2025 (36 d) |
| Jabbar Jamison | MML Investors Services, LLC BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 29, 2025 | Jul 25, 2025 |
| Centario J Grier | MML Investors Services, LLC BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 29, 2025 | Jul 25, 2025 |
| Michael D Hayduk | MML Investors Services, LLC BD affiliated | Nathan G. Hanna, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jul 29, 2025 | Oct 16, 2025 (79 d) |
| Marc Allen Wegrzynowski | MML Investors Services, LLC BD affiliated | Esi Financial Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 28, 2025 | Aug 8, 2025 |
| Christopher Charles Fox | MML Investors Services, LLC BD affiliated | Park Avenue Securities LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 28, 2025 | Apr 30, 2026 (276 d) |
| Jason Elliott Hine | MML Investors Services, LLC BD affiliated | LPL Enterprise, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 23, 2025 | Aug 4, 2025 |
| Shampy Prakash | MML Investors Services, LLC BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 23, 2025 | Sep 8, 2025 (47 d) |
| George I Black | MML Investors Services, LLC BD affiliated | Advisory Services Network independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 23, 2025 | Jul 18, 2025 |
| Derek Leonard Johnson | MML Investors Services, LLC BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 22, 2025 | Aug 1, 2025 |
| Thomas M. Smythe | MML Investors Services, LLC BD affiliated | Robert W. Baird & Co. Incorporated mixed wealth | Affiliated broker-dealer or bank to independent RIA | Jul 22, 2025 | Jul 31, 2025 |
| Nicholas Charles Chason | MML Investors Services, LLC BD affiliated | Proper Wealth no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jul 21, 2025 | Jul 24, 2025 |
| Austin Langston | MML Investors Services, LLC BD affiliated | Proper Wealth no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jul 21, 2025 | Jul 24, 2025 |
| Stephanie Ann Yoingco | MML Investors Services, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 18, 2025 | Jul 23, 2025 |
| Peter Mars | MML Investors Services, LLC BD affiliated | LPL Enterprise, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 18, 2025 | Jul 14, 2025 |
| Joseph Doss | MML Investors Services, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 17, 2025 | Jul 16, 2025 |
4,445 moves match.