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 Legend Advisory, 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
Ronald Robert CovingtonLegend Advisory, LLC BD affiliatedCapital Analysts BD affiliatedAffiliated broker-dealer or bank to anotherOct 4, 2019May 14, 2018
James Howard MillerLegend Advisory, LLC BD affiliatedCapital Analysts BD affiliatedAffiliated broker-dealer or bank to anotherOct 4, 2019Mar 25, 2021 (538 d)
Edward DorseyLegend Advisory, LLC BD affiliatedOppenheimer & Co. Inc. BD affiliatedAffiliated broker-dealer or bank to anotherOct 4, 2019Mar 30, 2020 (178 d)
Jared Reed WeissLegend Advisory, LLC BD affiliatedFsc Securities Corporation BD affiliatedAffiliated broker-dealer or bank to anotherOct 4, 2019Dec 2, 2021 (790 d)
Gregory Michael CecchiniLegend Advisory, LLC BD affiliatedLincoln Investment otherOtherSep 24, 2019Jun 29, 2017
Alexander Joseph CorriereLegend Advisory, LLC BD affiliatedLincoln Investment BD affiliatedAffiliated broker-dealer or bank to anotherJul 12, 2019Apr 4, 2019
Robert Allan PalmaLegend Advisory, LLC BD affiliatedLincoln Investment otherOtherJun 18, 2019Jun 9, 2017
Maria Teresa HernandezLegend Advisory, LLC BD affiliatedLincoln Investment otherOtherMay 20, 2019Aug 31, 2017
Leonard Marion SpaldingLegend Advisory, LLC BD affiliatedLincoln Investment otherOtherMay 2, 2019Aug 4, 2017
Kimberly Frances MyersLegend Advisory, LLC BD affiliatedLincoln Investment BD affiliatedAffiliated broker-dealer or bank to anotherApr 22, 2019Apr 5, 2019
Theodore Leonard BrooksLegend Advisory, LLC BD affiliatedSupreme Alliance LLC independent RIAAffiliated broker-dealer or bank to independent RIAMar 14, 2019Jul 22, 2019 (130 d)
Timothy Jay MadiganLegend Advisory, LLC BD affiliatedLincoln Investment otherOtherFeb 11, 2019Jul 20, 2017
David Allen FantLegend Advisory, LLC BD affiliatedValic Financial Advisors, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherFeb 4, 2019Feb 8, 2019
David William RutkowskiLegend Advisory, LLC BD affiliatedLincoln Investment BD affiliatedAffiliated broker-dealer or bank to anotherDec 31, 2018Mar 25, 2021 (815 d)
James Thomas DrewesLegend Advisory, LLC BD affiliatedGwn Securities Inc. BD affiliatedAffiliated broker-dealer or bank to anotherNov 12, 2018Aug 22, 2018
Judith Ann IenatschLegend Advisory, LLC BD affiliatedPlanmember Securities Corporation independent RIAAffiliated broker-dealer or bank to independent RIANov 1, 2018Oct 31, 2018
Haim ShepesLegend Advisory, LLC BD affiliatedLincoln Investment otherOtherOct 24, 2018Jun 27, 2017
Carlo Della MeaLegend Advisory, LLC BD affiliatedLincoln Investment otherOtherOct 11, 2018Jun 22, 2017
William Howard WoodLegend Advisory, LLC BD affiliatedHazard & Siegel Advisory Services LLC otherOtherOct 11, 2018Oct 1, 2025 (2547 d)
Brice Austin ParrLegend Advisory, LLC BD affiliatedLincoln Investment otherOtherAug 6, 2018Jul 3, 2017
Scott David CarlinLegend Advisory, LLC otherPlanmember Securities Corporation otherOtherFeb 14, 2018Feb 14, 2018
Kseniya StarykavaLegend Advisory, LLC otherLincoln Investment otherOtherDec 18, 2017Aug 3, 2017
Victor Manuel GomezLegend Advisory, LLC otherValic Financial Advisors, Inc. otherOtherSep 5, 2017Sep 11, 2017
David Brian BellLegend Advisory, LLC otherCape Investment Advisory, Inc. otherOtherAug 3, 2017Aug 29, 2017
Albert Donghyuk KimLegend Advisory, LLC otherVanguard Advisers, Inc. otherOtherJun 21, 2017Jul 25, 2017 (34 d)
James P MustardLegend Advisory, LLC otherPlanmember Securities Corporation otherOtherFeb 23, 2017Feb 23, 2017
Robert C HookerLegend Advisory, LLC otherVoya Financial Advisors, Inc. otherOtherFeb 22, 2017Feb 22, 2017
Nickolas R HankersonLegend Advisory, LLC otherPlanmember Securities Corporation otherOtherFeb 17, 2017Feb 17, 2017
Tina Marie BaughmanLegend Advisory, LLC otherVoya Financial Advisors, Inc. otherOtherFeb 10, 2017Feb 6, 2017
Tracey DeanLegend Advisory, LLC otherInnovation Partners LLC otherOtherJan 24, 2017Jan 13, 2017
Chase John CarlinLegend Advisory, LLC otherIp Financial Advisory Services LLC independent RIAOtherJan 19, 2017Feb 4, 2020 (1111 d)
David Karl HaaseLegend Advisory, LLC otherGwn Securities Inc. otherOtherJan 13, 2017Jan 4, 2017
Daidre Jo BakkeLegend Advisory, LLC otherGwn Securities Inc. otherOtherSep 27, 2016Sep 30, 2016
Ryan Patrick EsseLegend Advisory, LLC otherGwn Securities Inc. otherOtherSep 27, 2016Sep 30, 2016
Carmine Joseph PassanteLegend Advisory, LLC otherAmerican Portfolios Advisors, Inc otherOtherAug 17, 2016Aug 17, 2016
Marcin Filip SwiderskiLegend Advisory, LLC otherGwn Securities Inc. otherOtherAug 15, 2016Aug 12, 2016
Laura Lee ThompsonLegend Advisory, LLC otherGwn Securities Inc. otherOtherAug 10, 2016Aug 10, 2016
Kurt Frederick WitzlebenLegend Advisory, LLC otherGwn Securities Inc. BD affiliatedOtherAug 10, 2016Sep 22, 2021 (1869 d)
Brian Michael SilverbergLegend Advisory, LLC otherCadaret Grant & Co Inc otherOtherMay 5, 2016May 4, 2016
Iroland Rafael GarciaLegend Advisory, LLC otherAbsolute Capital Management, LLC otherOtherApr 7, 2016Feb 8, 2018 (672 d)
Khalid Mazen EldadahLegend Advisory, LLC otherJ.P. Morgan Securities LLC wirehouseOtherMar 31, 2016Jul 6, 2017 (462 d)
Richard Emerson WilliamsLegend Advisory, LLC otherPlanmember Securities Corporation otherOtherMar 3, 2016Feb 17, 2016
Aaron Grant HolderLegend Advisory, LLC otherPlanmember Securities Corporation otherOtherMar 3, 2016Feb 19, 2016
Richard WilsonLegend Advisory, LLC otherPlanmember Securities Corporation otherOtherMar 2, 2016Mar 9, 2016
Scott Andrew EllsworthLegend Advisory, LLC otherPlanmember Securities Corporation otherOtherMar 2, 2016Feb 22, 2016
Denny ArtacheLegend Advisory, LLC otherSecurian Financial Services, Inc. otherOtherMar 1, 2016Mar 11, 2016
Jason Allen SwiatlowskiLegend Advisory, LLC otherPlanmember Securities Corporation otherOtherMar 1, 2016Feb 22, 2016
Jason Samuel TrippettLegend Advisory, LLC otherOsaic Wealth, Inc. otherOtherFeb 26, 2016Feb 22, 2016
Douglas Larry StevensLegend Advisory, LLC otherPlanmember Securities Corporation otherOtherFeb 22, 2016Feb 26, 2016
Joseph Boyd BanachLegend Advisory, LLC otherPlanmember Securities Corporation otherOtherFeb 22, 2016Mar 7, 2016
Justin Duane BlevinsLegend Advisory, LLC otherPlanmember Securities Corporation otherOtherFeb 22, 2016Feb 22, 2016
Gary L ImminkLegend Advisory, LLC otherPlanmember Securities Corporation otherOtherFeb 22, 2016Feb 18, 2016
Lance Roland MarcellLegend Advisory, LLC otherPlanmember Securities Corporation otherOtherFeb 19, 2016Feb 26, 2016
Mark John WilliamsonLegend Advisory, LLC otherPlanmember Securities Corporation otherOtherFeb 19, 2016Feb 18, 2016
Douglas Eric BagleyLegend Advisory, LLC otherPlanmember Securities Corporation otherOtherFeb 19, 2016Feb 22, 2016
David Alan MeckstrothLegend Advisory, LLC otherPlanmember Securities Corporation otherOtherFeb 19, 2016Feb 18, 2016
David William LucasLegend Advisory, LLC otherPlanmember Securities Corporation otherOtherFeb 19, 2016Feb 22, 2016
Kyle J ClementLegend Advisory, LLC otherPlanmember Securities Corporation otherOtherFeb 18, 2016Feb 18, 2016
Joshua Richard WilliamsLegend Advisory, LLC otherPlanmember Securities Corporation otherOtherFeb 18, 2016Feb 18, 2016
Aliceson Jeanne MilanowskiLegend Advisory, LLC otherPlanmember Securities Corporation otherOtherFeb 18, 2016Feb 18, 2016
Page 1 of 3Next
158 moves match.