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 Prospera Financial Services, 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.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Stacey Lynn Tucker | Prospera Financial Services, Inc. BD affiliated | Onedigital institutional | Other | Sep 1, 2026 | Sep 1, 2026 |
| Mitchell Randall | Prospera Financial Services, Inc. BD affiliated | Pnc Wealth Management BD affiliated | Affiliated broker-dealer or bank to another | Jun 29, 2026 | Jul 1, 2026 |
| Andrew Bryan Katz | Prospera Financial Services, Inc. BD affiliated | First Heartland Consultants, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 1, 2026 | May 1, 2026 |
| David P Little | Prospera Financial Services, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 22, 2026 | Apr 22, 2026 |
| Tyler D Little | Prospera Financial Services, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 22, 2026 | Apr 22, 2026 |
| Houston G Little | Prospera Financial Services, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 22, 2026 | Apr 22, 2026 |
| Marco Fragnito | Prospera Financial Services, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 31, 2026 | Apr 1, 2026 |
| Robert Ricardo Fragnito | Prospera Financial Services, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 31, 2026 | Mar 31, 2026 |
| Michael Thomas Beard | Prospera Financial Services, Inc. BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Mar 30, 2026 | Mar 31, 2026 |
| David Weiss | Prospera Financial Services, Inc. BD affiliated | Allworth Financial, L.P. BD affiliated | Affiliated broker-dealer or bank to another | Feb 20, 2026 | Mar 6, 2026 |
| Konstantin Richard Danias | Prospera Financial Services, Inc. BD affiliated | Paradigm Investment Advisory, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 4, 2025 | Nov 7, 2025 |
| Frank Henry Bullinger | Prospera Financial Services, Inc. BD affiliated | Titleist Asset Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 23, 2025 | Oct 27, 2025 |
| Julie Ann Hinman | Prospera Financial Services, Inc. BD affiliated | Land Advisory Co., LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Aug 20, 2025 | Aug 20, 2025 |
| Christopher James Robb | Prospera Financial Services, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 2, 2025 | Jun 2, 2025 |
| Kelley Mellar Selph | Prospera Financial Services, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 20, 2025 | May 19, 2025 |
| Michael Scott Martin | Prospera Financial Services, Inc. BD affiliated | Hibernia Wealth Partners, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 18, 2025 | Mar 19, 2025 |
| Jonathan Dale Stein | Prospera Financial Services, Inc. BD affiliated | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 25, 2024 | Nov 28, 2024 |
| Ronald Scott Pyle | Prospera Financial Services, Inc. BD affiliated | Harvest Investment Services, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 30, 2024 | Jul 1, 2024 |
| Jeffrey Raymond Pounds | Prospera Financial Services, Inc. BD affiliated | Harvest Investment Services, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 30, 2024 | Sep 3, 2024 |
| Michael Scott Blanchard | Prospera Financial Services, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 15, 2024 | Aug 19, 2024 |
| William Cordell Huddleston | Prospera Financial Services, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 18, 2024 | Jun 25, 2024 |
| Bradley Kyle Smith | Prospera Financial Services, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 18, 2024 | Jun 25, 2024 |
| Logan Michael Simoni | Prospera Financial Services, Inc. BD affiliated | Kingsview Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 17, 2024 | Oct 15, 2024 (90 d) |
| Sarah Ann Southworth | Prospera Financial Services, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 29, 2024 | May 6, 2024 |
| Amber Goetz | Prospera Financial Services, Inc. BD affiliated | First Command Advisory Services BD affiliated | Affiliated broker-dealer or bank to another | Dec 5, 2023 | May 1, 2024 (148 d) |
| Adam Brian Parrie | Prospera Financial Services, Inc. BD affiliated | Rice, Voelker, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Oct 31, 2023 | Jul 24, 2025 (632 d) |
| Sarah Lauren White | Prospera Financial Services, Inc. independent RIA | Osaic Advisory Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jun 29, 2023 | Jul 10, 2023 |
| Steven Wayne Loerke | Prospera Financial Services, Inc. independent RIA | Vanderbilt Advisory Services BD affiliated | RIA to affiliated broker-dealer or bank | Jun 8, 2023 | Aug 9, 2023 (62 d) |
| Theodore Trottman | Prospera Financial Services, Inc. independent RIA | Rfg Advisory, LLC independent RIA | RIA to RIA | May 16, 2023 | May 15, 2023 |
| Ryan Matthew Laux | Prospera Financial Services, Inc. independent RIA | Cadaret Grant & Co Inc BD affiliated | RIA to affiliated broker-dealer or bank | Apr 24, 2023 | Jul 12, 2023 (79 d) |
| Larae Ann Duff | Prospera Financial Services, Inc. independent RIA | Sanctuary Advisors, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Apr 11, 2023 | May 2, 2023 |
| Carlo Dipietro Bentley | Prospera Financial Services, Inc. independent RIA | LPL Financial LLC BD affiliated | RIA to affiliated broker-dealer or bank | Apr 3, 2023 | Apr 3, 2023 |
| Chase Landon Bentley | Prospera Financial Services, Inc. independent RIA | LPL Financial LLC BD affiliated | RIA to affiliated broker-dealer or bank | Apr 3, 2023 | Apr 3, 2023 |
| Matthew James Ford | Prospera Financial Services, Inc. independent RIA | Raymond James Financial Services Advisors, Inc BD affiliated | RIA to affiliated broker-dealer or bank | Feb 28, 2023 | Mar 1, 2023 |
| Brian Patrick Gleason | Prospera Financial Services, Inc. independent RIA | Raymond James Financial Services Advisors, Inc BD affiliated | RIA to affiliated broker-dealer or bank | Oct 30, 2022 | Oct 31, 2022 |
| Mark Charles Silva | Prospera Financial Services, Inc. independent RIA | Raymond James & Associates, Inc. national BD | RIA to affiliated broker-dealer or bank | Aug 18, 2022 | Aug 17, 2022 |
| Thadius Beavers | Prospera Financial Services, Inc. independent RIA | Level Four Advisory Services BD affiliated | RIA to affiliated broker-dealer or bank | Jun 30, 2022 | Jun 27, 2022 |
| Russell Sidney Johnson | Prospera Financial Services, Inc. independent RIA | Johnson Financial Services LLC unclassified | Other | Jun 30, 2022 | Sep 29, 2022 (91 d) |
| David Scott Trettel | Prospera Financial Services, Inc. independent RIA | Strategic Wealth Investment Group, LLC independent RIA | RIA to RIA | Apr 20, 2022 | Jun 15, 2022 (56 d) |
| Damon Allen Trammell | Prospera Financial Services, Inc. independent RIA | Vanguard Advisers, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Mar 24, 2022 | Jun 23, 2022 (91 d) |
| Justin Charles Cramer | Prospera Financial Services, Inc. independent RIA | Oneascent Financial Services LLC independent RIA | RIA to RIA | Mar 18, 2022 | Jan 1, 2025 (1020 d) |
| Frederic Cassivi | Prospera Financial Services, Inc. independent RIA | Securities America Advisors, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Dec 31, 2021 | Jan 3, 2022 |
| Roberto Antonio Martinez | Prospera Financial Services, Inc. independent RIA | Steward Partners Investment Advisory, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Dec 20, 2021 | Dec 20, 2021 |
| Julia Denise Lovejoy | Prospera Financial Services, Inc. independent RIA | Truist Advisory Services, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Oct 29, 2021 | Jan 12, 2022 (75 d) |
| Richard Joseph Testa | Prospera Financial Services, Inc. independent RIA | Cambridge Investment Research Advisors, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Oct 27, 2021 | Oct 25, 2021 |
| Keith Collins Reagan | Prospera Financial Services, Inc. independent RIA | Sowell Management independent RIA | RIA to RIA | Sep 8, 2021 | Sep 16, 2021 |
| Christy Rene Hinson-Holloway | Prospera Financial Services, Inc. independent RIA | Sowell Management independent RIA | RIA to RIA | Sep 8, 2021 | Sep 3, 2021 |
| Kole G Bosworth | Prospera Financial Services, Inc. independent RIA | Morgan Stanley wirehouse | RIA to wirehouse | Aug 25, 2021 | Sep 8, 2021 |
| Russell Sidney Johnson | Prospera Financial Services, Inc. independent RIA | Johnson Financial Services LLC unclassified | Other | Jun 11, 2021 | Oct 27, 2021 (138 d) |
| Daniel Hall Phillips | Prospera Financial Services, Inc. independent RIA | Michels Family Financial, LLC independent RIA | RIA to RIA | Apr 21, 2021 | Mar 20, 2023 (698 d) |
| Andrew Louis Toshie | Prospera Financial Services, Inc. independent RIA | Ibn Asset Management, LLC other | Other | Oct 1, 2020 | Jan 6, 2026 (1923 d) |
| Cindy Ball Toshie | Prospera Financial Services, Inc. independent RIA | Ibn Asset Management, LLC institutional | Other | Oct 1, 2020 | Nov 1, 2022 (761 d) |
| Bradley James Lukens | Prospera Financial Services, Inc. independent RIA | Ibn Asset Management, LLC other | Other | Oct 1, 2020 | Jan 5, 2026 (1922 d) |
| Gregory Brian Meadows | Prospera Financial Services, Inc. independent RIA | Bb&T Securities, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Sep 28, 2020 | Oct 9, 2020 |
| Judith Ofelia Polak | Prospera Financial Services, Inc. independent RIA | LPL Financial LLC BD affiliated | RIA to affiliated broker-dealer or bank | May 24, 2020 | May 21, 2020 |
| Theophilous Henry Woods | Prospera Financial Services, Inc. independent RIA | International Assets Investment Management, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Mar 23, 2020 | Mar 24, 2020 |
| Diarvonda Shicole Ransom | Prospera Financial Services, Inc. independent RIA | Charles Schwab & Co., Inc. national BD | RIA to affiliated broker-dealer or bank | Aug 28, 2019 | Sep 10, 2019 |
| Stacy Ray Brown | Prospera Financial Services, Inc. independent RIA | Raymond James Financial Services Advisors, Inc BD affiliated | RIA to affiliated broker-dealer or bank | Jul 31, 2019 | Jul 31, 2019 |
| Jennifer Nicole Nichols | Prospera Financial Services, Inc. independent RIA | Raymond James Financial Services Advisors, Inc BD affiliated | RIA to affiliated broker-dealer or bank | Jul 31, 2019 | Jul 31, 2019 |
| Callen Michael Robinson | Prospera Financial Services, Inc. independent RIA | Morgan Stanley wirehouse | RIA to wirehouse | Jun 13, 2019 | Jun 19, 2019 |
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125 moves match.