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 U.S. Financial Advisors

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
Jeffrey John Bannon	U.S. Financial Advisors other	New England Securities Corporation other	Other	Jan 23, 2007	Mar 26, 2007 (62 d)
Mark Paul Gomes	U.S. Financial Advisors other	Edward Jones national BD	Other	Sep 15, 2006	Oct 30, 2006 (45 d)
Keith William Crowley	U.S. Financial Advisors other	Commonwealth Financial Network national BD	Other	Sep 15, 2006	Mar 14, 2011 (1641 d)
Matthew James Cunningham	U.S. Financial Advisors other	Park Avenue Securities LLC other	Other	May 31, 2006	Aug 4, 2006 (65 d)
Paul Joseph Fitzpatrick	U.S. Financial Advisors other	Sagepoint Financial, Inc. other	Other	Jan 26, 2006	Jan 26, 2006
Matthew Mark Glatt	U.S. Financial Advisors other	Sagepoint Financial, Inc. other	Other	Jan 26, 2006	Jan 26, 2006
Timothy George Vanech	U.S. Financial Advisors other	Sagepoint Financial, Inc. other	Other	Dec 31, 2005	Jan 26, 2007 (391 d)
Patrick Jude Barrett	U.S. Financial Advisors other	Sagepoint Financial, Inc. other	Other	Dec 31, 2005	Jan 5, 2006
Cathy Webster Pinard	U.S. Financial Advisors other	National Planning Corporation ("Npc Of America" In Fl & Ny) other	Other	Dec 31, 2005	Jan 12, 2006
Joseph Francis Quinn	U.S. Financial Advisors other	Osaic Fa, Inc. other	Other	Jan 4, 2005	Jan 24, 2006 (385 d)
Thomas Leo Condon	U.S. Financial Advisors other	Condon Wealth Management, Inc. independent RIA	Other	Dec 31, 2004	Nov 20, 2003
Gregory Paul Hart	U.S. Financial Advisors other	Summer Street Financial Advisors, LLC unclassified	Other	Dec 31, 2004	Feb 13, 2004
Sean Michael Condon	U.S. Financial Advisors other	Condon Wealth Management, Inc. independent RIA	Other	Dec 31, 2004	Nov 20, 2003
James Douglas Maxon	U.S. Financial Advisors other	Veravest Investment Advisors, Inc. unclassified	Other	May 10, 2002	Oct 4, 2002 (147 d)

Page 2 of 2Previous

74 moves match.