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 New Century Financial Group, 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.

AdvisorFromToTypeLeftRegistered
Jacqueline P BennettNew Century Financial Group, LLC independent RIAOsaic Wealth, Inc. BD affiliatedRIA to affiliated broker-dealer or bankDec 31, 2025Apr 8, 2025
Samuel Stuart PasqualeNew Century Financial Group, LLC independent RIAOsaic Wealth, Inc. BD affiliatedRIA to affiliated broker-dealer or bankDec 31, 2025Nov 5, 2025
Vincent J NotteNew Century Financial Group, LLC independent RIAOsaic Wealth, Inc. BD affiliatedRIA to affiliated broker-dealer or bankDec 31, 2025May 29, 2025
Anthony George MuttilloNew Century Financial Group, LLC independent RIAAgm Financial Services, Inc. unclassifiedOtherDec 31, 2025Feb 2, 2016
Anthony Joseph CaltabilotaNew Century Financial Group, LLC independent RIAOsaic Wealth, Inc. BD affiliatedRIA to affiliated broker-dealer or bankDec 31, 2025Jun 2, 2025
Dirk AlexanderNew Century Financial Group, LLC independent RIAOsaic Wealth, Inc. otherOtherDec 31, 2025Nov 16, 2015
Richard Kyle OringNew Century Financial Group, LLC independent RIAOsaic Wealth, Inc. BD affiliatedRIA to affiliated broker-dealer or bankDec 31, 2025Jul 30, 2018
Erik Paul GarciaNew Century Financial Group, LLC independent RIAOsaic Wealth, Inc. BD affiliatedRIA to affiliated broker-dealer or bankDec 31, 2025Apr 14, 2025
Xavier J AngelNew Century Financial Group, LLC independent RIAOsaic Wealth, Inc. BD affiliatedRIA to affiliated broker-dealer or bankDec 31, 2025Apr 14, 2025
Walter John PodgurskiNew Century Financial Group, LLC independent RIAOsaic Wealth, Inc. BD affiliatedRIA to affiliated broker-dealer or bankDec 31, 2025Sep 26, 2025
Joshua William LevitusNew Century Financial Group, LLC independent RIAOsaic Wealth, Inc. BD affiliatedRIA to affiliated broker-dealer or bankDec 31, 2025Sep 30, 2024
Michael William ZisaNew Century Financial Group, LLC independent RIAViking Wealth Management LLC state registeredRIA to a state-registered adviserJan 3, 2020Jan 10, 2020
Sunil Dutt MisraNew Century Financial Group, LLC independent RIAOsaic Wealth, Inc. BD affiliatedRIA to affiliated broker-dealer or bankJul 25, 2018Jan 23, 2018
Herbert J FriedmanNew Century Financial Group, LLC independent RIAPortfolio Medics, LLC independent RIARIA to RIAJul 9, 2018Jan 8, 2019 (183 d)
Harold Alan SchwartzNew Century Financial Group, LLC independent RIADmk Advisor Group, Inc. independent RIARIA to RIAApr 5, 2018Jan 4, 2022 (1370 d)
Michael Anthony PhillipsNew Century Financial Group, LLC otherOsaic Wealth, Inc. otherOtherNov 17, 2016Mar 2, 2017 (105 d)
Mary Ann ReinoehlNew Century Financial Group, LLC otherNational Planning Corporation ("Npc Of America" In Fl & Ny) otherOtherAug 14, 2013Jul 29, 2013
Jim CaseyNew Century Financial Group, LLC otherLPL Financial LLC otherOtherDec 13, 2012Jan 2, 2013
Matthew Jay DernisNew Century Financial Group, LLC otherInvestacorp Advisory Services Inc otherOtherAug 17, 2010Aug 10, 2012 (724 d)
Diana Lynn PlucienkowskiNew Century Financial Group, LLC otherSummit Financial Group Inc otherOtherJul 22, 2010Jul 8, 2010
Brian Albert NolanNew Century Financial Group, LLC otherSummit Financial Resources Inc no RAUMOtherSep 16, 2009Sep 10, 2009
Chad Michael WhiteNew Century Financial Group, LLC otherLPL Financial LLC otherOtherMar 17, 2006Mar 6, 2006
Larry Jay SchwartzNew Century Financial Group, LLC otherCetera Advisor Networks LLC BD affiliatedOtherApr 5, 2004Mar 31, 2021 (6204 d)
Matthew J NielsenNew Century Financial Group, LLC otherCetera Investment Advisers LLC otherOtherApr 5, 2004Jul 27, 2006 (843 d)
Arthur GrossbardNew Century Financial Group, LLC otherOsaic Wealth, Inc. otherOtherFeb 27, 2004Mar 11, 2004
Brian Thomas GintyNew Century Financial Group, LLC otherLPL Financial LLC otherOtherNov 1, 2002Jan 24, 2011 (3006 d)
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26 moves match.