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 Avantax Advisory Services
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 |
|---|---|---|---|---|---|
| Ismail Fida Bharmal | Avantax Advisory Services BD affiliated | LPL Enterprise, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jan 21, 2025 | Jan 24, 2025 |
| Isaac Alexander Kot | Avantax Advisory Services BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 10, 2025 | Mar 13, 2025 (62 d) |
| Mark R Aumack | Avantax Advisory Services BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 8, 2025 | Jan 15, 2025 |
| Robert Thomas Green | Avantax Advisory Services BD affiliated | Roan Capital Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 31, 2024 | Jan 27, 2025 |
| Jason Lee Lillmars | Avantax Advisory Services BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 23, 2024 | Jan 31, 2025 (39 d) |
| Richard Allen Vera | Avantax Advisory Services BD affiliated | Vera-Cpa, Inc. state registered | Affiliated broker-dealer or bank to a state-registered adviser | Dec 21, 2024 | Apr 9, 2025 (109 d) |
| Angella Nichole Ohara | Avantax Advisory Services BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 21, 2024 | Jan 30, 2025 (40 d) |
| Steven J Kaminski | Avantax Advisory Services BD affiliated | Voya Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 13, 2024 | Dec 1, 2025 (353 d) |
| Parker R Smith | Avantax Advisory Services BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 9, 2024 | Aug 21, 2025 (255 d) |
| Nathan Munro | Avantax Advisory Services BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 29, 2024 | Nov 21, 2024 |
| Bradley W. Goldsmith | Avantax Advisory Services BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 29, 2024 | Nov 20, 2024 |
| Caradoc Crandall | Avantax Advisory Services BD affiliated | Lane Brothers Investment Counsel independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 29, 2024 | Nov 17, 2024 |
| Anthony Vincent Lupoli | Avantax Advisory Services BD affiliated | Avl Advisory LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Nov 19, 2024 | Aug 21, 2025 (275 d) |
| Richard Joseph Morowczynski | Avantax Advisory Services BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 6, 2024 | Nov 14, 2024 |
| David Carroll Colby | Avantax Advisory Services BD affiliated | Mariner BD affiliated | Affiliated broker-dealer or bank to another | Nov 5, 2024 | Nov 13, 2024 |
| Janice Susan Towne | Avantax Advisory Services BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 4, 2024 | Oct 30, 2024 |
| Amos Matthew Stovall | Avantax Advisory Services BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 4, 2024 | Oct 30, 2024 |
| James Clark | Avantax Advisory Services BD affiliated | Packerland Brokerage Services, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 24, 2024 | Feb 27, 2025 (126 d) |
| Jimmy Peters | Avantax Advisory Services BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 24, 2024 | Nov 8, 2024 |
| Kevin Allen Bernard | Avantax Advisory Services BD affiliated | Pivot Capital Management, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Oct 24, 2024 | Oct 22, 2025 (363 d) |
| Kai A Mays | Avantax Advisory Services BD affiliated | Guardian Wealth Advisory Services, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Oct 24, 2024 | Aug 31, 2026 (676 d) |
| Brad David Yoder | Avantax Advisory Services BD affiliated | Integrated Wealth Concepts LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 24, 2024 | Jan 29, 2025 (97 d) |
| Sharon Yvonne Peters | Avantax Advisory Services BD affiliated | LPL Enterprise, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Oct 24, 2024 | Mar 6, 2025 (133 d) |
| Richard Sanchez | Avantax Advisory Services BD affiliated | Sterling Financial Planning Inc independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 23, 2024 | Oct 9, 2025 (351 d) |
| Christopher John Gelfuso | Avantax Advisory Services BD affiliated | Virtue Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 23, 2024 | Oct 16, 2024 |
| Travis Criblez | Avantax Advisory Services BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 16, 2024 | Nov 1, 2024 |
| Joseph Michael Sullivan | Avantax Advisory Services BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Oct 10, 2024 | Oct 3, 2024 |
| Sarah Anne Johnson | Avantax Advisory Services BD affiliated | Iron Horse Financial Services LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Oct 10, 2024 | Jun 5, 2026 (603 d) |
| James Robert Karberg | Avantax Advisory Services BD affiliated | Redw Wealth LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 30, 2024 | Oct 1, 2024 |
| Patrick Francis Cusick | Avantax Advisory Services BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 26, 2024 | Sep 18, 2024 |
| Brian Jeffrey Sauer | Avantax Advisory Services BD affiliated | Inspire Investing, LLC asset manager | Other | Sep 26, 2024 | Oct 3, 2024 |
| Gurvinder Kaur Aujla | Avantax Advisory Services BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 20, 2024 | Sep 17, 2024 |
| Thomas Alcee Legendre | Avantax Advisory Services BD affiliated | Empower Advisory Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 12, 2024 | Dec 9, 2024 (88 d) |
| Robert Oakes | Avantax Advisory Services BD affiliated | Prosperity - An Eisneramper Company independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 4, 2024 | Sep 3, 2024 |
| Adam Heath Baucom | Avantax Advisory Services BD affiliated | Baucom Wealth Management LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Sep 4, 2024 | Oct 1, 2024 |
| Jennifer Allyn Mckinnon | Avantax Advisory Services BD affiliated | Prosperity - An Eisneramper Company independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 19, 2024 | Aug 7, 2024 |
| Steven Daniel Katzenstein | Avantax Advisory Services BD affiliated | Prosperity - An Eisneramper Company independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 19, 2024 | Aug 14, 2024 |
| Peter Adams | Avantax Advisory Services BD affiliated | Prosperity - An Eisneramper Company independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 19, 2024 | Aug 13, 2024 |
| Lawrence Hamilton | Avantax Advisory Services BD affiliated | Prosperity - An Eisneramper Company independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 19, 2024 | Aug 7, 2024 |
| Robert Brooks Malone | Avantax Advisory Services BD affiliated | Prosperity - An Eisneramper Company independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 19, 2024 | Aug 7, 2024 |
| Arthur Kent Pittman | Avantax Advisory Services BD affiliated | Prosperity - An Eisneramper Company independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 19, 2024 | Aug 12, 2024 |
| Timothy Craig Gupton | Avantax Advisory Services BD affiliated | Prosperity - An Eisneramper Company independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 19, 2024 | Aug 7, 2024 |
| John Mark Livingston | Avantax Advisory Services BD affiliated | Prosperity - An Eisneramper Company independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 19, 2024 | Aug 12, 2024 |
| Nancy Lydon Campbell | Avantax Advisory Services BD affiliated | Prosperity - An Eisneramper Company independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 19, 2024 | Aug 7, 2024 |
| Heather Lynn Dean | Avantax Advisory Services BD affiliated | Prosperity - An Eisneramper Company independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 19, 2024 | Aug 7, 2024 |
| Timothy Scott Naylor | Avantax Advisory Services BD affiliated | Prosperity - An Eisneramper Company independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 19, 2024 | Aug 7, 2024 |
| Elizabeth Broadway | Avantax Advisory Services BD affiliated | Prosperity - An Eisneramper Company independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 19, 2024 | Aug 7, 2024 |
| Adam Eli Barton Buchanan | Avantax Advisory Services BD affiliated | Prosperity - An Eisneramper Company independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 19, 2024 | Aug 7, 2024 |
| Matthew Schanz | Avantax Advisory Services BD affiliated | Prosperity - An Eisneramper Company independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 19, 2024 | Aug 7, 2024 |
| Cheryl Lynne Rhew | Avantax Advisory Services BD affiliated | Prosperity - An Eisneramper Company independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 19, 2024 | Aug 7, 2024 |
| Abdiel Alan Valenzuela | Avantax Advisory Services BD affiliated | RBC Capital Markets, LLC national BD | Affiliated broker-dealer or bank to another | Aug 6, 2024 | Mar 27, 2025 (233 d) |
| Michael Joseph Savisky | Avantax Advisory Services BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Aug 6, 2024 | Jul 19, 2024 |
| Linda Kay Price | Avantax Advisory Services BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 6, 2024 | Aug 6, 2024 |
| Caitlyn Garrett | Avantax Advisory Services BD affiliated | Optional Financial Strategies, Inc. unclassified | Other | Aug 6, 2024 | Sep 10, 2024 (35 d) |
| George Robert Englert | Avantax Advisory Services BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 19, 2024 | Jul 10, 2024 |
| Kevin Englert | Avantax Advisory Services BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 19, 2024 | Jul 10, 2024 |
| Daniel Brownlow | Avantax Advisory Services BD affiliated | Bok Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jul 10, 2024 | Jul 15, 2024 |
| Dale Bruce Costello | Avantax Advisory Services BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jun 28, 2024 | Jul 1, 2024 |
| Mark R. Exler | Avantax Advisory Services BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 28, 2024 | Jun 24, 2024 |
| Peter John Yurkowski | Avantax Advisory Services BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 28, 2024 | Jun 20, 2024 |
1,143 moves match.