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 Wbi Investments, 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
Patrick Darren PryzWbi Investments, LLC independent RIAMariner BD affiliatedRIA to affiliated broker-dealer or bankOct 29, 2021Nov 15, 2021
Travis DufnerWbi Investments, LLC independent RIAMillstone Financial Group independent RIARIA to RIASep 3, 2021Mar 10, 2022 (188 d)
Justin John EspositoWbi Investments, LLC independent RIACambridge Investment Research Advisors, Inc. BD affiliatedRIA to affiliated broker-dealer or bankDec 1, 2020Jan 11, 2021 (41 d)
David Brian AngeliWbi Investments, LLC independent RIAPgim Investments LLC asset managerOtherAug 19, 2020Nov 1, 2021 (439 d)
John CecchinoWbi Investments, LLC independent RIAThrivent Investment Management Inc. BD affiliatedRIA to affiliated broker-dealer or bankApr 27, 2020Apr 11, 2023 (1079 d)
Giuseppe MerloWbi Investments, LLC independent RIAWeitz Investment Management, Inc. asset managerOtherApr 27, 2020Apr 8, 2021 (346 d)
William F GallagherWbi Investments, LLC independent RIAHartshorne Group, LLC no RAUMOtherMar 23, 2020Oct 12, 2009
Cynthia Rose StroikWbi Investments, LLC independent RIAWilmington Trust Investment Advisors, Inc. otherOtherJul 31, 2019Aug 29, 2019
Artyome Jan PearlWbi Investments, LLC independent RIANew York Life Investment Management LLC asset managerOtherMar 25, 2019Apr 8, 2019
Austin M GuarinoWbi Investments, LLC independent RIAProshare Advisors LLC asset managerOtherMar 12, 2019Nov 24, 2020 (623 d)
Daniel Evan ColluccioWbi Investments, LLC independent RIAM&T Securities, Inc. unclassifiedOtherJul 9, 2018Jul 25, 2018
Tyler FreemanWbi Investments, LLC independent RIASantander Securities BD affiliatedRIA to affiliated broker-dealer or bankApr 5, 2018Apr 20, 2018
Brandon P BuhayWbi Investments, LLC otherGitterman Wealth Management, LLC otherOtherJan 30, 2018Feb 21, 2018
Jeffrey David ThomasWbi Investments, LLC otherSwan Global Investments, LLC otherOtherAug 25, 2017Oct 6, 2017 (42 d)
Joshua Michael HayesWbi Investments, LLC otherWaddell & Reed otherOtherAug 15, 2017Sep 1, 2017
Bryan Patrick KeorletWbi Investments, LLC otherFisher Investments independent RIAOtherFeb 24, 2017Aug 15, 2018 (537 d)
Thomas Daniel KuceraWbi Investments, LLC otherVoya Financial Advisors, Inc. BD affiliatedOtherJan 3, 2017Apr 30, 2020 (1213 d)
Brandon James GrockiWbi Investments, LLC otherCetera Investment Advisers LLC otherOtherOct 14, 2016Oct 26, 2016
Daniel Patrick LoughlinWbi Investments, LLC otherStratos Wealth Partners, Ltd independent RIAOtherSep 20, 2016Sep 4, 2018 (714 d)
Melissa Margaret KarwoskiWbi Investments, LLC otherPgim Investments LLC otherOtherAug 15, 2016Oct 18, 2016 (64 d)
Michalis BatasWbi Investments, LLC otherAmeriprise Financial Services, LLC national BDOtherFeb 23, 2016Mar 3, 2016
Richard Jeffrey LoberWbi Investments, LLC otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherNov 30, 2015Mar 11, 2016 (102 d)
Derek Douglas SwannerWbi Investments, LLC otherAmeriprise Financial Services, LLC national BDOtherApr 29, 2015Sep 14, 2015 (138 d)
John Erik OlsonWbi Investments, LLC otherSwan Global Investments, LLC otherOtherSep 16, 2014Jun 25, 2015 (282 d)
Michael P WalshWbi Investments, LLC otherPgim Investments LLC otherOtherMar 27, 2014Mar 12, 2015 (350 d)
Cy Octavian AlemanWbi Investments, LLC otherAmundi Pioneer Institutional Asset Management, Inc. otherOtherJun 4, 2012Jun 8, 2012
Cindy JonesWbi Investments, LLC otherCovington Investment Advisors, Inc. otherOtherApr 10, 2012Jul 13, 2012 (94 d)
Alfonso Rocco SaverinoWbi Investments, LLC otherNorthwestern Mutual Investment Services,LLC otherOtherMay 20, 2011Mar 28, 2012 (313 d)
Richard Paul KundracikWbi Investments, LLC otherFsc Securities Corporation otherOtherOct 7, 2010Nov 1, 2010
Thomas Joseph DuffyWbi Investments, LLC otherJersey Shore Financial Advisors LLC state registeredOtherApr 17, 2007Jun 26, 2007 (70 d)
Jeremy Joseph HudsonWbi Investments, LLC otherHoward Financial Services, Ltd. otherOtherAug 16, 2006Mar 10, 2006
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31 moves match.