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 On Investment Management Co
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 |
|---|---|---|---|---|---|
| Philip Thomas Alford | On Investment Management Co BD affiliated | Facet independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 6, 2026 | Aug 18, 2026 |
| Timothy Patrick Reidy | On Investment Management Co BD affiliated | The Ameriflex Group BD affiliated | Affiliated broker-dealer or bank to another | Jul 28, 2026 | Jul 28, 2026 |
| William George Pendleton | On Investment Management Co BD affiliated | The Ameriflex Group BD affiliated | Affiliated broker-dealer or bank to another | Jul 28, 2026 | Jul 28, 2026 |
| Timothy Patrick Reidy | On Investment Management Co BD affiliated | The Ameriflex Group BD affiliated | Affiliated broker-dealer or bank to another | Jul 28, 2026 | Jul 28, 2026 |
| Jane Slaven Eddy | On Investment Management Co BD affiliated | Hornor, Townsend & Kent, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 26, 2026 | Mar 24, 2026 |
| Jack Lyman Carter | On Investment Management Co BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 17, 2025 | Mar 5, 2026 (78 d) |
| Darin Allan Dequardo | On Investment Management Co BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 3, 2025 | Dec 1, 2025 |
| George Erwin Cater | On Investment Management Co BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Nov 17, 2025 | May 6, 2026 (170 d) |
| William John Mulligan | On Investment Management Co BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 15, 2025 | Sep 15, 2025 |
| Kimberly Dolson Gustafson | On Investment Management Co BD affiliated | Key Investment Services LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 22, 2025 | Aug 26, 2025 |
| Jacob Charles Mcconnell | On Investment Management Co BD affiliated | River'S Edge independent RIA | Affiliated broker-dealer or bank to independent RIA | May 5, 2025 | May 7, 2025 |
| Terek Wilson | On Investment Management Co BD affiliated | Lsf Capital LLC unclassified | Other | Jan 24, 2025 | Mar 4, 2025 (39 d) |
| Justin Porco | On Investment Management Co BD affiliated | Stratos Wealth Partners, Ltd BD affiliated | Affiliated broker-dealer or bank to another | Jan 3, 2025 | Feb 12, 2025 (40 d) |
| Steven Michael Kluever | On Investment Management Co BD affiliated | Robert W. Baird & Co. Incorporated mixed wealth | Affiliated broker-dealer or bank to independent RIA | Dec 10, 2024 | Sep 15, 2025 (279 d) |
| Paul Russell Adams | On Investment Management Co BD affiliated | Wood Wealth Group, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Nov 26, 2024 | Dec 16, 2024 |
| Stephen Richard Mueller | On Investment Management Co BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 15, 2024 | Nov 13, 2024 |
| Donald R Ayers | On Investment Management Co BD affiliated | Innovative Wealth Partners, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Nov 4, 2024 | Dec 5, 2025 (396 d) |
| Mark Patrick Monahan | On Investment Management Co BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 10, 2024 | Dec 2, 2024 (53 d) |
| Jeffrey P Spencer | On Investment Management Co BD affiliated | Wood Wealth Group, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Aug 21, 2024 | Aug 16, 2024 |
| Geoffrey Mishkin | On Investment Management Co BD affiliated | Wood Wealth Group, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Aug 20, 2024 | Aug 25, 2024 |
| Meagan M. Dejesus | On Investment Management Co BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 13, 2024 | Aug 13, 2024 |
| Debra Ann Nelson | On Investment Management Co BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 1, 2024 | Aug 1, 2024 |
| Jeffery Joseph Seeburger | On Investment Management Co BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 1, 2024 | Aug 1, 2024 |
| Aaron Edward Stewart | On Investment Management Co BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 1, 2024 | Aug 1, 2024 |
| Ross Michael Pfeifer | On Investment Management Co BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 1, 2024 | Aug 1, 2024 |
| Thomas Gilbert Sullivan | On Investment Management Co BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 1, 2024 | Aug 1, 2024 |
| Michael Scott Wollenberg | On Investment Management Co BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 1, 2024 | Aug 1, 2024 |
| Ronald Lynn Lungwitz | On Investment Management Co BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 1, 2024 | Aug 1, 2024 |
| William M Mercer | On Investment Management Co BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 26, 2024 | Jun 26, 2024 |
| Mitchell Paul Mercer | On Investment Management Co BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 26, 2024 | Jun 26, 2024 |
| Christopher Noah Myers | On Investment Management Co BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 18, 2024 | Jun 18, 2024 |
| Robin Leslie Faulkner-Harrison | On Investment Management Co BD affiliated | Wood Wealth Group, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | May 14, 2024 | May 13, 2024 |
| Brian Timothy Lenell | On Investment Management Co BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 1, 2024 | Mar 28, 2024 |
| Barbara Jean Kubesh | On Investment Management Co BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 26, 2024 | Mar 25, 2024 |
| Kenneth Andrew Hoiland | On Investment Management Co BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 26, 2024 | Mar 29, 2024 |
| Gavin Douglas Chambers | On Investment Management Co BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 26, 2024 | Mar 27, 2024 |
| Selina Jane Witt | On Investment Management Co BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 26, 2024 | Mar 28, 2024 |
| Janice Marie Swanson | On Investment Management Co BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 9, 2024 | Feb 20, 2024 |
| Richard Joseph Stockheimer | On Investment Management Co BD affiliated | Equitable Advisors, LLC national BD | Affiliated broker-dealer or bank to another | Feb 6, 2024 | Jan 31, 2024 |
| Brent Wayne Derossett | On Investment Management Co BD affiliated | Saxony Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 31, 2023 | Jan 2, 2024 |
| Keith Conley | On Investment Management Co BD affiliated | Wealth Teams Alliance independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 31, 2023 | Jan 3, 2024 |
| Timothy Stafford Whelan | On Investment Management Co BD affiliated | Cornerstone Wealth Partners, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Dec 15, 2023 | Dec 18, 2023 |
| Raymond Edward Vargo | On Investment Management Co BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 28, 2023 | Nov 28, 2023 |
| Darryl Steven Visocky | On Investment Management Co BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 27, 2023 | Nov 28, 2023 |
| Jeffrey John Kobak | On Investment Management Co BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 27, 2023 | Nov 28, 2023 |
| John Jay Takacs | On Investment Management Co BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 27, 2023 | Nov 28, 2023 |
| Grant David Visocky | On Investment Management Co BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 27, 2023 | Nov 28, 2023 |
| Regan Michael Turner | On Investment Management Co BD affiliated | Global Retirement Partners LLC institutional | Other | Nov 2, 2023 | Nov 2, 2023 |
| John Thomas Hopper | On Investment Management Co BD affiliated | Principal Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 17, 2023 | Oct 18, 2023 |
| Lee Edward Hopper | On Investment Management Co BD affiliated | Principal Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 17, 2023 | Oct 18, 2023 |
| Jonathon Patrick Krikie | On Investment Management Co BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 30, 2023 | Sep 5, 2023 |
| Daniel Oliver Mackey | On Investment Management Co BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 2, 2023 | Aug 2, 2023 |
| James Evan Fanning | On Investment Management Co BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 2, 2023 | Aug 1, 2023 |
| Christopher Joseph Wood | On Investment Management Co BD affiliated | Wood Wealth Group, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jul 27, 2023 | Feb 9, 2024 (197 d) |
| James Peter Carlson | On Investment Management Co BD affiliated | Avantax Advisory Services BD affiliated | Affiliated broker-dealer or bank to another | Jul 24, 2023 | Jul 24, 2023 |
| Eustace Peter Fernandes | On Investment Management Co BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 30, 2023 | Jun 29, 2023 |
| David Brian Hesler | On Investment Management Co BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 30, 2023 | Jun 30, 2023 |
| John Francis Mckenna | On Investment Management Co BD affiliated | Embarcadero Financial Group independent RIA | Affiliated broker-dealer or bank to independent RIA | May 24, 2023 | Sep 27, 2013 |
| Bruce Joseph Falcon | On Investment Management Co BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 11, 2023 | May 11, 2023 |
| Jay E Nissley | On Investment Management Co BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 11, 2023 | May 10, 2023 |
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385 moves match.