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 |
|---|---|---|---|---|---|
| Dianne Shumway | MML Investors Services, LLC BD affiliated | Secure Investment Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 16, 2025 | Jul 15, 2025 |
| Timothy Matthew Keller | MML Investors Services, LLC BD affiliated | Esi Financial Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 15, 2025 | Jul 31, 2025 |
| Gabrielle Bentze | MML Investors Services, LLC BD affiliated | Bny Mellon Securities Corporation other | Other | Jul 15, 2025 | Sep 3, 2025 (50 d) |
| Tyler J Tutino | MML Investors Services, LLC BD affiliated | Esi Financial Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 14, 2025 | Aug 5, 2025 |
| Christopher Y Provel | MML Investors Services, LLC BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 14, 2025 | Aug 6, 2025 |
| Roshan Nair | MML Investors Services, LLC BD affiliated | Lazard Asset Management LLC other | Other | Jul 9, 2025 | Aug 5, 2025 |
| Darcy Campbell Ridge | MML Investors Services, LLC BD affiliated | Robert W. Baird & Co. Incorporated mixed wealth | Affiliated broker-dealer or bank to independent RIA | Jul 9, 2025 | Jul 8, 2025 |
| Havendra P Sookraj | MML Investors Services, LLC BD affiliated | Voya Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 8, 2025 | Oct 8, 2025 (92 d) |
| Sean Matthew Mulchrone | MML Investors Services, LLC BD affiliated | RBC Capital Markets, LLC national BD | Affiliated broker-dealer or bank to another | Jul 7, 2025 | Jul 14, 2025 |
| David Lewis | MML Investors Services, LLC BD affiliated | Velbridge Wealth Advisors LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jul 2, 2025 | Jul 9, 2025 |
| Jared Steven Deutsch | MML Investors Services, LLC BD affiliated | Great Valley Advisor Group, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 2, 2025 | Jul 28, 2025 |
| Michael Pombo | MML Investors Services, LLC BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 2, 2025 | Aug 6, 2025 (35 d) |
| Jonathan Isamu Yokoyama | MML Investors Services, LLC BD affiliated | Principal Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 1, 2025 | Jul 1, 2025 |
| Brandon Austreng | MML Investors Services, LLC BD affiliated | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 1, 2025 | Jul 17, 2025 |
| Cody Jacob Deems | MML Investors Services, LLC BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jul 1, 2025 | Oct 28, 2025 (119 d) |
| Thomas Burchhardt | MML Investors Services, LLC BD affiliated | Esi Financial Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 26, 2025 | Jul 14, 2025 |
| Gillian P Hannon | MML Investors Services, LLC BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 26, 2025 | Jul 15, 2025 |
| Andrew Mattingly | MML Investors Services, LLC BD affiliated | The Mather Group, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 26, 2025 | Jul 28, 2026 (397 d) |
| Kenneth Haines | MML Investors Services, LLC BD affiliated | Mrm Financial Advisors, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jun 24, 2025 | Jun 24, 2025 |
| Nicholas David Pelini | MML Investors Services, LLC BD affiliated | Mosaic Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 24, 2025 | Jun 25, 2025 |
| Anthony Vincent Dimeglio | MML Investors Services, LLC BD affiliated | Sandy Morris Financial & Estate Planning Services, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 24, 2025 | Jun 1, 2026 (342 d) |
| Logan Dorey Lum | MML Investors Services, LLC BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Jun 12, 2025 | Jul 21, 2025 (39 d) |
| Elena Debora Cumberbatch-Lynch | MML Investors Services, LLC BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 11, 2025 | Jun 9, 2025 |
| Anthony Bridges | MML Investors Services, LLC BD affiliated | Forvis Mazars Wealth Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 11, 2025 | Aug 20, 2025 (70 d) |
| Richard Lawrence Totman | MML Investors Services, LLC BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Jun 10, 2025 | Jun 2, 2025 |
| Brent Corbin Christensen | MML Investors Services, LLC BD affiliated | Allstate Financial Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 10, 2025 | Oct 17, 2025 (129 d) |
| Edward Scott Rosenberg | MML Investors Services, LLC BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 10, 2025 | Jun 9, 2025 |
| William Esteban Romero | MML Investors Services, LLC BD affiliated | Spartan Capital Private Wealth Management LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jun 10, 2025 | Mar 9, 2026 (272 d) |
| Bernard John Lynch | MML Investors Services, LLC BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Jun 9, 2025 | Jun 2, 2025 |
| David Michael Morris | MML Investors Services, LLC BD affiliated | Tribridge Partners Financial LLC no RAUM | Other | Jun 9, 2025 | May 17, 2024 |
| Brian Gregory Lizzi | MML Investors Services, LLC BD affiliated | Tribridge Partners Financial LLC no RAUM | Other | Jun 9, 2025 | May 17, 2024 |
| John C Morris | MML Investors Services, LLC BD affiliated | Tribridge Partners Financial LLC no RAUM | Other | Jun 9, 2025 | May 17, 2024 |
| Christopher Michael Schneider | MML Investors Services, LLC BD affiliated | Tribridge Partners Financial LLC no RAUM | Other | Jun 9, 2025 | May 17, 2024 |
| Brian D Pellegrini | MML Investors Services, LLC BD affiliated | Esi Financial Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 9, 2025 | May 30, 2025 |
| Derek Mccord | MML Investors Services, LLC BD affiliated | Esi Financial Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 6, 2025 | Jun 27, 2025 |
| Joseph Charles Providenti | MML Investors Services, LLC BD affiliated | LPL Enterprise, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 5, 2025 | Jun 2, 2025 |
| Michael Stuart Hirson | MML Investors Services, LLC BD affiliated | LPL Enterprise, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 5, 2025 | Jun 6, 2025 |
| Tanya Martinez | MML Investors Services, LLC BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 4, 2025 | Jun 17, 2026 (378 d) |
| Joanne Marie Laessig | MML Investors Services, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 4, 2025 | May 29, 2025 |
| Jamal Metlaq Azzam | MML Investors Services, LLC BD affiliated | Park Avenue Securities LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 4, 2025 | Jun 9, 2025 |
| Megan Rachel Sheridan | MML Investors Services, LLC BD affiliated | Park Avenue Securities LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 4, 2025 | Jun 11, 2025 |
| Chyathorn Scott Zipperle | MML Investors Services, LLC BD affiliated | The Wellington Grp LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 4, 2025 | Jun 26, 2025 |
| Joshua Morton | MML Investors Services, LLC BD affiliated | Ameritas Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 4, 2025 | Aug 29, 2025 (86 d) |
| Alfred Manuel Sosa | MML Investors Services, LLC BD affiliated | Esi Financial Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 3, 2025 | Jun 26, 2025 |
| Michael Kuleana Wheelwright | MML Investors Services, LLC BD affiliated | Holistic Finance LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jun 3, 2025 | Jun 1, 2025 |
| Francesco Anthony Amodio | MML Investors Services, LLC BD affiliated | LPL Enterprise, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 2, 2025 | Jun 2, 2025 |
| Jeremiah Michael Sensenig | MML Investors Services, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 2, 2025 | May 29, 2025 |
| Michael James Pugliese | MML Investors Services, LLC BD affiliated | LPL Enterprise, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 2, 2025 | Jun 3, 2025 |
| Russell P Miller | MML Investors Services, LLC BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | May 28, 2025 | May 30, 2025 |
| Mark Gabriel Bond | MML Investors Services, LLC BD affiliated | Ae Wealth Management, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 28, 2025 | Jun 16, 2025 |
| Bashar K. Baraz | MML Investors Services, LLC BD affiliated | Hornor, Townsend & Kent, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 23, 2025 | Jul 2, 2025 (40 d) |
| Christian G Watson | MML Investors Services, LLC BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | May 23, 2025 | Jul 22, 2025 (60 d) |
| Christopher Michael Sheeler | MML Investors Services, LLC BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | May 22, 2025 | Jun 2, 2025 |
| Andrew Chang | MML Investors Services, LLC BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | May 22, 2025 | Jul 29, 2025 (68 d) |
| Thomas Robert Lott | MML Investors Services, LLC BD affiliated | Key Investment Services LLC BD affiliated | Affiliated broker-dealer or bank to another | May 20, 2025 | Jun 13, 2025 |
| Joseph Louis Foret | MML Investors Services, LLC BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | May 16, 2025 | May 23, 2025 |
| Benjamin Christian Gerald | MML Investors Services, LLC BD affiliated | Quartz Partners Investment Management independent RIA | Affiliated broker-dealer or bank to independent RIA | May 15, 2025 | May 22, 2025 |
| Christopher Henry King | MML Investors Services, LLC BD affiliated | Gradient Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 15, 2025 | Jun 27, 2025 (43 d) |
| Jason Daniel Huggins | MML Investors Services, LLC BD affiliated | Bull Harbor Capital LLC. independent RIA | Affiliated broker-dealer or bank to independent RIA | May 14, 2025 | May 12, 2025 |
| Eugene Joseph Colligan | MML Investors Services, LLC BD affiliated | Esi Financial Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | May 14, 2025 | Jul 28, 2025 (75 d) |
4,445 moves match.