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 Carroll Financial Associates Inc

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
Kellen S TaylorCarroll Financial Associates Inc independent RIACetera Advisor Networks LLC otherOtherDec 8, 2021Sep 9, 2011
Clifford Jonathan CamardaCarroll Financial Associates Inc independent RIACamarda Wealth Advisory Group independent RIARIA to RIANov 4, 2021Nov 11, 2021
David Randall PetersCarroll Financial Associates Inc independent RIACfo Capital Management, LLC independent RIARIA to RIANov 1, 2021Nov 2, 2021
Richard Philip TaylorCarroll Financial Associates Inc independent RIACapital Investment Advisory Services, LLC BD affiliatedRIA to affiliated broker-dealer or bankOct 22, 2021Oct 22, 2021
Philip Reese BaileyCarroll Financial Associates Inc independent RIAMuirfield Wealth Advisors LLC no RAUMRIA to a newly registered adviserSep 30, 2021Sep 30, 2021
Joshua Reese BaileyCarroll Financial Associates Inc independent RIAMuirfield Wealth Advisors LLC no RAUMRIA to a newly registered adviserSep 30, 2021Sep 30, 2021
Thomas Jeffrey McdermottCarroll Financial Associates Inc independent RIAFoundations Investment Advisors LLC independent RIARIA to RIANov 4, 2020Sep 28, 2022 (693 d)
Timothy James McdermottCarroll Financial Associates Inc independent RIAAe Wealth Management, LLC independent RIARIA to RIAJun 12, 2020Jun 15, 2020
Brian Wayne DebruinCarroll Financial Associates Inc independent RIABrightpath Wealth Advisors LLC state registeredRIA to a state-registered adviserJan 7, 2020Feb 18, 2020 (42 d)
Keith Robert BentonCarroll Financial Associates Inc independent RIALPL Financial LLC independent RIARIA to RIANov 19, 2018Nov 14, 2018
Carl David TolsonCarroll Financial Associates Inc independent RIALPL Financial LLC independent RIARIA to RIANov 19, 2018Nov 14, 2018
Jacob Charles CarrCarroll Financial Associates Inc independent RIALPL Financial LLC independent RIARIA to RIANov 19, 2018Nov 14, 2018
Austin Keith TerryCarroll Financial Associates Inc independent RIALPL Financial LLC independent RIARIA to RIANov 19, 2018Nov 14, 2018
Donald Cody BowersCarroll Financial Associates Inc independent RIALPL Financial LLC independent RIARIA to RIANov 19, 2018Nov 14, 2018
Derek HawkCarroll Financial Associates Inc independent RIALPL Financial LLC independent RIARIA to RIANov 16, 2018Nov 14, 2018
Bridget McdermottCarroll Financial Associates Inc otherCarolinas Investment Consulting LLC otherOtherFeb 2, 2017Apr 6, 2017 (63 d)
Lorianne Sawyer MontsingerCarroll Financial Associates Inc otherNorthwestern Mutual Investment Services,LLC otherOtherOct 7, 2014Jun 18, 2015 (254 d)
Scott M LauritzenCarroll Financial Associates Inc otherWells Fargo Advisors wirehouseOtherNov 23, 2010Nov 26, 2010
Joseph PecarroCarroll Financial Associates Inc other1717 Capital Management Company unclassifiedOtherFeb 1, 2007Feb 13, 2008 (377 d)
John Thomas GugleCarroll Financial Associates Inc otherAlpha Financial Advisors, LLC otherOtherJul 12, 2005Sep 14, 2005 (64 d)
Wesley Wayne BeanCarroll Financial Associates Inc other1717 Capital Management Company unclassifiedOtherAug 31, 2004Nov 8, 2005 (434 d)
Francisco Deborja CarrilloCarroll Financial Associates Inc otherCetera Investment Advisers LLC BD affiliatedOtherJan 16, 2004Jan 9, 2024 (7298 d)
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22 moves match.