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 |
|---|---|---|---|---|---|
| Anthony August Saltarski | Avantax Advisory Services BD affiliated | Exencial Wealth Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 23, 2021 | Nov 18, 2021 |
| Lawrence Rocha | Avantax Advisory Services BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 18, 2021 | Jan 4, 2022 (47 d) |
| Nirmal Kartari | Avantax Advisory Services BD affiliated | Financial Solutions, Inc. state registered | Affiliated broker-dealer or bank to a state-registered adviser | Nov 16, 2021 | May 11, 2022 (176 d) |
| Albert Roy Leger | Avantax Advisory Services BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Nov 3, 2021 | Dec 8, 2004 |
| John A Doran | Avantax Advisory Services BD affiliated | Ip Financial Advisory Services LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 3, 2021 | Oct 20, 2025 (1447 d) |
| Chrystal R Adams | Avantax Advisory Services BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 3, 2021 | Oct 29, 2021 |
| Elizabeth Lacombe Guilbeau | Avantax Advisory Services BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 3, 2021 | Oct 29, 2021 |
| Thomas Charles Pell | Avantax Advisory Services BD affiliated | Advisornet Wealth Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 2, 2021 | Oct 27, 2021 |
| Eileen M Proto | Avantax Advisory Services BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 29, 2021 | Jun 29, 2023 (608 d) |
| James S Adducci | Avantax Advisory Services BD affiliated | Woodbury Financial Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 28, 2021 | Nov 8, 2021 |
| Gary Stephen Mannuzza | Avantax Advisory Services BD affiliated | Calton & Associates, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 26, 2021 | Oct 29, 2021 |
| Steven Stone | Avantax Advisory Services BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 12, 2021 | Sep 13, 2021 |
| Steven Lee Wilson | Avantax Advisory Services BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 11, 2021 | Sep 29, 2021 |
| Timothy Wayne Cramer | Avantax Advisory Services BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 11, 2021 | Sep 29, 2021 |
| Joseph Francis Garbarino | Avantax Advisory Services BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 7, 2021 | Sep 30, 2021 |
| William Edward Lloyd Dahle | Avantax Advisory Services BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 6, 2021 | Oct 5, 2021 |
| Aaron James Dahle | Avantax Advisory Services BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 6, 2021 | Oct 5, 2021 |
| Linda Lee Knighton | Avantax Advisory Services BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 1, 2021 | Sep 27, 2021 |
| Gary Dennis Reed | Avantax Advisory Services BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 30, 2021 | Sep 13, 2021 |
| Mary Ann Wilson | Avantax Advisory Services BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 30, 2021 | Sep 29, 2021 |
| Lee Edward Brown | Avantax Advisory Services BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 28, 2021 | Oct 4, 2021 |
| Douglas Karl Heil | Avantax Advisory Services BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 23, 2021 | Sep 23, 2021 |
| Raeann Kerbow Forester | Avantax Advisory Services BD affiliated | Archer Investment Corporation independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 22, 2021 | Sep 17, 2021 |
| Peter Lamar Herb | Avantax Advisory Services BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 21, 2021 | Sep 16, 2021 |
| James Albert Wade | Avantax Advisory Services BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 20, 2021 | Jul 28, 2021 |
| Lance Edward Modawell | Avantax Advisory Services BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 14, 2021 | Sep 13, 2021 |
| Bruce Leonard Ruotsala | Avantax Advisory Services BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Sep 14, 2021 | Feb 7, 2024 (876 d) |
| Matthew Chanda | Avantax Advisory Services BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Sep 14, 2021 | Nov 2, 2021 (49 d) |
| Robert Bruce Carroll | Avantax Advisory Services BD affiliated | American Portfolios Advisors, Inc independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 3, 2021 | Aug 31, 2021 |
| Shakeeb H Syed | Avantax Advisory Services BD affiliated | Allstate Financial Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 3, 2021 | Sep 17, 2021 |
| Michael Jay Kapolka | Avantax Advisory Services BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 1, 2021 | Aug 27, 2021 |
| Kyle Bach | Avantax Advisory Services BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 1, 2021 | Nov 3, 2021 (63 d) |
| Jennifer Sanders | Avantax Advisory Services BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 1, 2021 | Aug 25, 2021 |
| Isaiah Timothy Bennett | Avantax Advisory Services BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Aug 27, 2021 | Oct 14, 2021 (48 d) |
| Steven Ross Johnson | Avantax Advisory Services BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 23, 2021 | Aug 18, 2021 |
| Lane Merrill Johnson | Avantax Advisory Services BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 23, 2021 | Aug 26, 2021 |
| Richard D Gifford | Avantax Advisory Services BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 18, 2021 | Aug 20, 2021 |
| Amon Ainsley Holcomb | Avantax Advisory Services BD affiliated | Verus Capital Partners, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 16, 2021 | Aug 13, 2021 |
| John Barry Hartmann | Avantax Advisory Services BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 4, 2021 | Oct 6, 2021 (63 d) |
| Mary Todd | Avantax Advisory Services BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 30, 2021 | Jul 28, 2021 |
| Jonathan Shofner | Avantax Advisory Services BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 30, 2021 | Jul 28, 2021 |
| Benjamin Daniel Crofford | Avantax Advisory Services BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Jul 23, 2021 | Sep 10, 2021 (49 d) |
| Selene Larena Sullivan | Avantax Advisory Services BD affiliated | Go Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 19, 2021 | Jan 2, 2026 (1628 d) |
| Alan Wesley Thompson | Avantax Advisory Services BD affiliated | Dominion Wealth Management, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jul 16, 2021 | Jul 2, 2021 |
| Webster Kenwood Burrier | Avantax Advisory Services BD affiliated | Dominion Wealth Management, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jul 16, 2021 | Jul 2, 2021 |
| Todd Hayden Green | Avantax Advisory Services BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 7, 2021 | Jun 30, 2021 |
| Caleb Tsang | Avantax Advisory Services BD affiliated | Verus Capital Partners, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 7, 2021 | Jul 6, 2021 |
| Yueh-Hwa Lee | Avantax Advisory Services BD affiliated | Verus Capital Partners, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 7, 2021 | Aug 3, 2021 |
| David Morris Richardson | Avantax Advisory Services BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 2, 2021 | Jul 6, 2021 |
| Ryan David Richardson | Avantax Advisory Services BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 2, 2021 | Jun 30, 2021 |
| Henry Joseph Vanbuskirk | Avantax Advisory Services BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 2, 2021 | Jul 1, 2021 |
| Ryan Allan Cox | Avantax Advisory Services BD affiliated | Dew Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 25, 2021 | Jul 27, 2021 (32 d) |
| Benjamin Michael Motiff | Avantax Advisory Services BD affiliated | Harbour Investments, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 23, 2021 | Jun 17, 2021 |
| Michael Shane Moore | Avantax Advisory Services BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jun 23, 2021 | Jun 25, 2021 |
| Matthew James Meek | Avantax Advisory Services BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 22, 2021 | Jun 21, 2021 |
| Tricia Fiore | Avantax Advisory Services BD affiliated | Integrity Alliance, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 22, 2021 | Jun 16, 2021 |
| Craig Anthony Cheramie | Avantax Advisory Services BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 18, 2021 | Jun 15, 2021 |
| Gregory Scott Adams | Avantax Advisory Services BD affiliated | Dominion Wealth Management, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jun 18, 2021 | Jun 28, 2021 |
| Michael Francis Byers | Avantax Advisory Services BD affiliated | Ip Financial Advisory Services LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 11, 2021 | Jun 8, 2021 |
| Jennifer L. Despain | Avantax Advisory Services BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 9, 2021 | Jun 3, 2021 |
1,143 moves match.