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 |
|---|---|---|---|---|---|
| Elijah Chen | MML Investors Services, LLC BD affiliated | Hsbc Securities (USA) Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 12, 2025 | Sep 18, 2025 (129 d) |
| Matthew Lawrence Witten | MML Investors Services, LLC BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 9, 2025 | May 5, 2025 |
| John Anthony Stone | MML Investors Services, LLC BD affiliated | Hornor, Townsend & Kent, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 8, 2025 | May 14, 2025 |
| Timothy Thomas Walsh | MML Investors Services, LLC BD affiliated | Fountainhead Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | May 8, 2025 | May 15, 2025 |
| Ryan John Bass | MML Investors Services, LLC BD affiliated | Calidris Financial, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | May 7, 2025 | May 7, 2025 |
| Kevin Kirkpatrick | MML Investors Services, LLC BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 7, 2025 | May 5, 2025 |
| Ethan Colby Turner | MML Investors Services, LLC BD affiliated | Waverly Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 7, 2025 | Jul 16, 2025 (70 d) |
| Colleen Joy Kehoe | MML Investors Services, LLC BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | May 6, 2025 | Jun 10, 2025 (35 d) |
| Darren Williams | MML Investors Services, LLC BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | May 6, 2025 | May 22, 2025 |
| Jose Antonio Fernandez | MML Investors Services, LLC BD affiliated | State Farm Investment Management Corp. asset manager | Other | May 5, 2025 | Jun 20, 2025 (46 d) |
| James William Diehl | MML Investors Services, LLC BD affiliated | Fountainhead Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | May 5, 2025 | May 14, 2025 |
| Joseph Anthony Fantozzi | MML Investors Services, LLC BD affiliated | Premier Path Wealth Partners, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 5, 2025 | May 27, 2025 |
| Brandon Ramirez | MML Investors Services, LLC BD affiliated | Strategic Wealth Advisors Group, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | May 5, 2025 | Jun 26, 2025 (52 d) |
| Hunter Joseph Gutierrez | MML Investors Services, LLC BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | May 2, 2025 | May 16, 2025 |
| Michael Anthony Ragusa | MML Investors Services, LLC BD affiliated | Esi Financial Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | May 1, 2025 | May 14, 2025 |
| Antar Jackson | MML Investors Services, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 1, 2025 | May 1, 2025 |
| Shon Ivan Mclain | MML Investors Services, LLC BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 29, 2025 | Apr 28, 2025 |
| Connor Chiulli | MML Investors Services, LLC BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 29, 2025 | Apr 28, 2025 |
| Yaniv Hakim | MML Investors Services, LLC BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 25, 2025 | Jun 4, 2025 (40 d) |
| Benjamin Lopez | MML Investors Services, LLC BD affiliated | Victory Capital Management Inc. asset manager | Other | Apr 23, 2025 | May 5, 2025 |
| Logan S. Sandhu | MML Investors Services, LLC BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 22, 2025 | Jun 6, 2025 (45 d) |
| Andrew Lloyd Stauff | MML Investors Services, LLC BD affiliated | Trajan Wealth, L.L.C. independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 16, 2025 | Oct 23, 2025 (190 d) |
| Matthew C Strickland | MML Investors Services, LLC BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Apr 16, 2025 | Jul 9, 2025 (84 d) |
| Shane Davis | MML Investors Services, LLC BD affiliated | LPL Enterprise, LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 14, 2025 | Apr 17, 2025 |
| John Christopher Noel | MML Investors Services, LLC BD affiliated | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 10, 2025 | Nov 7, 2025 (211 d) |
| Jennifer Ann Denapoli | MML Investors Services, LLC BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 7, 2025 | Apr 8, 2025 |
| Kamron Nahavandi | MML Investors Services, LLC BD affiliated | Money Concepts Advisory Service BD affiliated | Affiliated broker-dealer or bank to another | Apr 7, 2025 | Apr 14, 2025 |
| Kenneth Don Carmickle | MML Investors Services, LLC BD affiliated | Park Avenue Securities LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 3, 2025 | Jan 8, 2026 (280 d) |
| Jason James Bingham | MML Investors Services, LLC BD affiliated | Hornor, Townsend & Kent, LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 2, 2025 | Apr 23, 2025 |
| Autumn Stewart | MML Investors Services, LLC BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 2, 2025 | Apr 25, 2025 |
| Jonathan Richard Gates | MML Investors Services, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 1, 2025 | Mar 31, 2025 |
| Ross Paul Bruner | MML Investors Services, LLC BD affiliated | Quartz Partners Investment Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 26, 2025 | May 12, 2025 (47 d) |
| Jeffrey Paul Neavor | MML Investors Services, LLC BD affiliated | Savant Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 26, 2025 | Apr 4, 2025 |
| Adam Michael Goyer | MML Investors Services, LLC BD affiliated | Lotus Oak Capital Institute state registered | Affiliated broker-dealer or bank to a state-registered adviser | Mar 24, 2025 | Dec 22, 2025 (273 d) |
| Scott David Mullen | MML Investors Services, LLC BD affiliated | State Farm Investment Management Corp. asset manager | Other | Mar 20, 2025 | Apr 14, 2026 (390 d) |
| Christopher J. Lewis | MML Investors Services, LLC BD affiliated | Equitable Advisors, LLC national BD | Affiliated broker-dealer or bank to another | Mar 18, 2025 | Mar 17, 2025 |
| Brandon Stuart Grimm | MML Investors Services, LLC BD affiliated | Esi Financial Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 14, 2025 | Oct 22, 2025 (222 d) |
| Michael Alan Schmoldt | MML Investors Services, LLC BD affiliated | Equitable Advisors, LLC national BD | Affiliated broker-dealer or bank to another | Mar 14, 2025 | Mar 10, 2025 |
| Mason Charles Pascoe | MML Investors Services, LLC BD affiliated | LPL Enterprise, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Mar 13, 2025 | Mar 19, 2025 |
| Devin Lamont Alphin | MML Investors Services, LLC BD affiliated | Pr Squared Wealth Management LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Mar 12, 2025 | May 22, 2025 (71 d) |
| Deandris Leann Watts | MML Investors Services, LLC BD affiliated | Vesica Wealth Acquisition state registered | Affiliated broker-dealer or bank to a state-registered adviser | Mar 12, 2025 | Jun 26, 2026 (471 d) |
| Christopher Scott Checketts | MML Investors Services, LLC BD affiliated | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 12, 2025 | Apr 16, 2025 (35 d) |
| Kevin Heinz Kulins | MML Investors Services, LLC BD affiliated | State Farm Investment Management Corp. asset manager | Other | Mar 11, 2025 | Jun 9, 2025 (90 d) |
| Annamarie Rainy Hernandez | MML Investors Services, LLC BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Mar 11, 2025 | Aug 6, 2025 (148 d) |
| Bernard Joseph Audet | MML Investors Services, LLC BD affiliated | Gwn Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 10, 2025 | Mar 20, 2026 (375 d) |
| John Michael Mousel | MML Investors Services, LLC BD affiliated | Fifth Third Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 7, 2025 | Mar 3, 2025 |
| Paul M Baader | MML Investors Services, LLC BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 7, 2025 | Mar 3, 2025 |
| Celso Quiterio Rodriguez Gonzalez | MML Investors Services, LLC BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 5, 2025 | Mar 3, 2025 |
| Maria Senior | MML Investors Services, LLC BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 5, 2025 | Jun 30, 2025 (117 d) |
| James N Papadakos | MML Investors Services, LLC BD affiliated | Esi Financial Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 3, 2025 | Mar 3, 2025 |
| Matt Amick | MML Investors Services, LLC BD affiliated | Clear Creek Financial Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 26, 2025 | Feb 21, 2025 |
| Johnny Farris Leech | MML Investors Services, LLC BD affiliated | Tlg Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 25, 2025 | Feb 19, 2025 |
| Zachary Poker | MML Investors Services, LLC BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 20, 2025 | Feb 21, 2025 |
| Matthew Gabriel Veland | MML Investors Services, LLC BD affiliated | LPL Enterprise, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Feb 20, 2025 | Feb 14, 2025 |
| Dominic Daniel Demicco | MML Investors Services, LLC BD affiliated | Sgl Financial, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 18, 2025 | Feb 18, 2025 |
| Hunter Lynn Mateer | MML Investors Services, LLC BD affiliated | Strategic Wealth Advisors Group, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 18, 2025 | Feb 18, 2025 |
| Robert Bradley | MML Investors Services, LLC BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 14, 2025 | Jan 31, 2025 |
| Mitchell Sehi | MML Investors Services, LLC BD affiliated | Wealthcare Advisory Partners LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 12, 2025 | Mar 31, 2025 (47 d) |
| Gordon Westcott Price | MML Investors Services, LLC BD affiliated | Wealth Enhancement Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 10, 2025 | Apr 4, 2025 (53 d) |
| Ruben Antonio Tapia Vargas | MML Investors Services, LLC BD affiliated | Tactica LLC asset manager | Other | Feb 10, 2025 | Jun 4, 2025 (114 d) |
4,445 moves match.