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 Transamerica Retirement Advisors, 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.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Claudia Hernandez Nybo | Transamerica Retirement Advisors, LLC BD affiliated | Creative Planning independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 12, 2022 | Sep 20, 2022 |
| Julio Maico Castillo | Transamerica Retirement Advisors, LLC BD affiliated | Advice And Planning Services BD affiliated | Affiliated broker-dealer or bank to another | Sep 6, 2022 | Oct 6, 2022 |
| Shareef Anthony Doumet | Transamerica Retirement Advisors, LLC BD affiliated | Principal Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 9, 2022 | Sep 14, 2022 (36 d) |
| Joseph Edward Weintraub | Transamerica Retirement Advisors, LLC BD affiliated | Ae Wealth Management, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 2, 2022 | Sep 21, 2022 (50 d) |
| Caleb Leif Spore | Transamerica Retirement Advisors, LLC BD affiliated | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 8, 2022 | Jun 6, 2022 |
| Casilda Gorozpe | Transamerica Retirement Advisors, LLC BD affiliated | Empower Advisory Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 23, 2022 | May 26, 2022 |
| Maurice Michael Seitter | Transamerica Retirement Advisors, LLC BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Apr 12, 2022 | Jul 12, 2022 (91 d) |
| Meghan M Mcguire | Transamerica Retirement Advisors, LLC BD affiliated | Principal Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 4, 2022 | Apr 21, 2022 |
| Alain Eduardo Rodriguez | Transamerica Retirement Advisors, LLC BD affiliated | Nationwide Investment Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 3, 2022 | Feb 10, 2022 |
| Tyler Schroeder | Transamerica Retirement Advisors, LLC BD affiliated | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 13, 2022 | Feb 25, 2022 (43 d) |
| Raleigh Smith | Transamerica Retirement Advisors, LLC BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 11, 2022 | Jan 10, 2022 |
| Emily E Zimmerman | Transamerica Retirement Advisors, LLC BD affiliated | Spectrum Investment Advisors, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 7, 2022 | Jan 27, 2022 |
| Nicholas Fanning | Transamerica Retirement Advisors, LLC BD affiliated | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 7, 2022 | Jan 25, 2022 |
| Michael John Albrecht | Transamerica Retirement Advisors, LLC BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Dec 7, 2021 | Dec 8, 2021 |
| Gary Thomas Gabor | Transamerica Retirement Advisors, LLC BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 3, 2021 | Feb 17, 2022 (76 d) |
| John Hopkins De Jong | Transamerica Retirement Advisors, LLC BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Oct 13, 2021 | Aug 21, 2023 (677 d) |
| Alan Martin Molnar | Transamerica Retirement Advisors, LLC BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Sep 21, 2021 | Sep 30, 2021 |
| Christian Lewis | Transamerica Retirement Advisors, LLC BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Sep 8, 2021 | Sep 15, 2021 |
| James Blayde Thomas Woodrum | Transamerica Retirement Advisors, LLC BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Sep 8, 2021 | Dec 14, 2021 (97 d) |
| Lenin Ibarra | Transamerica Retirement Advisors, LLC BD affiliated | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 23, 2021 | Aug 30, 2021 |
| Douglas Baines | Transamerica Retirement Advisors, LLC BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Aug 17, 2021 | May 11, 2023 (632 d) |
| Christopher K Johnson | Transamerica Retirement Advisors, LLC BD affiliated | Ae Wealth Management, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 17, 2021 | Nov 4, 2021 (79 d) |
| Sanel Duranovic | Transamerica Retirement Advisors, LLC BD affiliated | Schwab Wealth Advisory, Inc. no RAUM | Other | Aug 9, 2021 | Jul 30, 2025 (1451 d) |
| Michael Gregory Olszewski | Transamerica Retirement Advisors, LLC BD affiliated | Robert W. Baird & Co. Incorporated mixed wealth | Affiliated broker-dealer or bank to independent RIA | Aug 4, 2021 | Oct 27, 2024 (1180 d) |
| Stacey Courtwright Russell | Transamerica Retirement Advisors, LLC BD affiliated | Voya Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 27, 2021 | Mar 4, 2022 (220 d) |
| Jarret T Roberts | Transamerica Retirement Advisors, LLC BD affiliated | Alight Financial Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 27, 2021 | May 16, 2022 (293 d) |
| Matthew J Urbanek | Transamerica Retirement Advisors, LLC BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 6, 2021 | Jul 7, 2021 |
| Alicia Diane Cerulla | Transamerica Retirement Advisors, LLC BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 3, 2021 | Jan 20, 2023 (596 d) |
| Risa L Lamontagne | Transamerica Retirement Advisors, LLC BD affiliated | Sanctuary Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 25, 2021 | Feb 9, 2022 (260 d) |
| Melanie Susan Graff | Transamerica Retirement Advisors, LLC BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | May 25, 2021 | Apr 21, 2023 (696 d) |
| Miguel A Tirado | Transamerica Retirement Advisors, LLC BD affiliated | John Hancock Personal Financial Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 17, 2021 | Jul 7, 2021 (51 d) |
| Mark Donald Murray | Transamerica Retirement Advisors, LLC BD affiliated | Creative Planning independent RIA | Affiliated broker-dealer or bank to independent RIA | May 12, 2021 | Mar 1, 2022 (293 d) |
| Thomas Patrick Fulfaro | Transamerica Retirement Advisors, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 5, 2021 | May 24, 2021 |
| Dennis Alan Haubert | Transamerica Retirement Advisors, LLC BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Apr 19, 2021 | Apr 16, 2021 |
| Bertha M Arias | Transamerica Retirement Advisors, LLC BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Apr 7, 2021 | Jan 30, 2023 (663 d) |
| Shane M Workman | Transamerica Retirement Advisors, LLC BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 5, 2021 | May 10, 2021 (35 d) |
| Lillian P. Leo | Transamerica Retirement Advisors, LLC BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Mar 30, 2021 | Oct 26, 2022 (575 d) |
| Joseph Herron | Transamerica Retirement Advisors, LLC BD affiliated | Annex Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 11, 2021 | Jun 1, 2021 (110 d) |
| Britt Eckman Clanton | Transamerica Retirement Advisors, LLC BD affiliated | MML Investors Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 9, 2021 | Feb 8, 2021 |
| Granville Marquale Jordan | Transamerica Retirement Advisors, LLC BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jan 26, 2021 | Feb 19, 2021 |
| Thomas Huffman Engelhard | Transamerica Retirement Advisors, LLC BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Jan 12, 2021 | Jun 7, 2021 (146 d) |
| Randal E Hagen | Transamerica Retirement Advisors, LLC BD affiliated | MML Investors Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2020 | Feb 9, 2021 (40 d) |
| Anna M Storey | Transamerica Retirement Advisors, LLC BD affiliated | Empower Advisory Group, LLC other | Other | Dec 16, 2020 | May 5, 2021 (140 d) |
| Lora Nickel | Transamerica Retirement Advisors, LLC BD affiliated | The Oak Ridge Financial Services Group, Inc independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 15, 2020 | Jan 29, 2024 (1140 d) |
| Adam Michael Millman | Transamerica Retirement Advisors, LLC BD affiliated | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 10, 2020 | Dec 3, 2020 |
| Justin Hahl | Transamerica Retirement Advisors, LLC BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 5, 2020 | Nov 9, 2020 |
| Dillon Sterle | Transamerica Retirement Advisors, LLC BD affiliated | Eagle Strategies LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 21, 2020 | Jul 8, 2022 (655 d) |
| Nathen Robert Pastorik | Transamerica Retirement Advisors, LLC BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Aug 3, 2020 | Feb 8, 2021 (189 d) |
| Max Romo Flores | Transamerica Retirement Advisors, LLC BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Jun 22, 2020 | Aug 14, 2020 (53 d) |
| John Joseph Burke | Transamerica Retirement Advisors, LLC BD affiliated | Voya Retirement Advisors, LLC other | Other | May 21, 2020 | Jul 10, 2023 (1145 d) |
| Michael Mcfaul | Transamerica Retirement Advisors, LLC BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Apr 14, 2020 | Apr 13, 2020 |
| Shannon M Sassman | Transamerica Retirement Advisors, LLC BD affiliated | Advisornet Wealth Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 8, 2020 | Jun 10, 2020 (63 d) |
| Cody Templin | Transamerica Retirement Advisors, LLC BD affiliated | Empower Advisory Group, LLC institutional | Other | Feb 11, 2020 | Feb 13, 2020 |
| Joe Valiquette | Transamerica Retirement Advisors, LLC BD affiliated | Empower Advisory Group, LLC institutional | Other | Jan 10, 2020 | Apr 20, 2020 (101 d) |
| Michael J Hoffman | Transamerica Retirement Advisors, LLC BD affiliated | Integrity Alliance, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 8, 2020 | Feb 10, 2020 (33 d) |
| Kenneth Joseph Bart | Transamerica Retirement Advisors, LLC BD affiliated | Prudential Select Strategies LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 8, 2020 | Sep 28, 2020 (264 d) |
| Jason Ellis | Transamerica Retirement Advisors, LLC BD affiliated | Valic Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 8, 2020 | Jan 21, 2020 |
| Andrew Jerome Goo | Transamerica Retirement Advisors, LLC BD affiliated | Trueplan Benefit And Retirement Advisors institutional | Other | Jan 8, 2020 | Jan 3, 2020 |
| John David Arbuckle | Transamerica Retirement Advisors, LLC BD affiliated | Empower Advisory Group, LLC institutional | Other | Jan 6, 2020 | Jan 29, 2020 |
| Scott David Jordan | Transamerica Retirement Advisors, LLC BD affiliated | Valic Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 2, 2020 | Aug 11, 2020 (222 d) |
194 moves match.