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 Ast Investment 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
Byron Eller	Ast Investment Services, Inc. asset manager	Fidelity Personal And Workplace Advisors BD affiliated	Other	Nov 13, 2020	Jan 19, 2022 (432 d)
John Arena	Ast Investment Services, Inc. asset manager	Fidelity Personal And Workplace Advisors BD affiliated	Other	Nov 13, 2020	Jul 27, 2022 (621 d)
Frank John Rosala	Ast Investment Services, Inc. asset manager	Lincoln Investment BD affiliated	Other	Nov 11, 2020	Jan 28, 2022 (443 d)
Eric Jason Richman	Ast Investment Services, Inc. asset manager	Charles Schwab & Co., Inc. national BD	Other	Nov 6, 2020	Nov 1, 2021 (360 d)
Bradley James Wise	Ast Investment Services, Inc. asset manager	Revisor Wealth Management LLC independent RIA	Other	Nov 4, 2020	Apr 3, 2025 (1611 d)
Robert John Clarke	Ast Investment Services, Inc. asset manager	Virtus Investment Advisers, LLC asset manager	Other	Nov 4, 2020	Oct 10, 2023 (1070 d)
Alexander Michael Leuser	Ast Investment Services, Inc. asset manager	Fidelity Personal And Workplace Advisors BD affiliated	Other	Mar 2, 2020	Jul 27, 2021 (512 d)
Roger Ciriello	Ast Investment Services, Inc. asset manager	Brookstone Capital Management LLC independent RIA	Other	Nov 25, 2019	Dec 4, 2019
Joshua Shapiro	Ast Investment Services, Inc. asset manager	Mutual Trust Asset Mgmt., Inc. independent RIA	Other	Nov 21, 2019	Oct 4, 2021 (683 d)
Christopher Robert Scarlata	Ast Investment Services, Inc. asset manager	Vanguard Advisers, Inc. BD affiliated	Other	Feb 25, 2019	Mar 6, 2020 (375 d)
Thanh Tran	Ast Investment Services, Inc. asset manager	Park Avenue Securities LLC BD affiliated	Other	Jan 24, 2019	Apr 12, 2019 (78 d)
Tina Marie Downing	Ast Investment Services, Inc. asset manager	Russell Investments asset manager	Other	Jul 31, 2018	Oct 23, 2018 (84 d)
Elisa Maria Francis	Ast Investment Services, Inc. asset manager	Symmetry Partners independent RIA	Other	Apr 2, 2018	May 15, 2018 (43 d)
Richard Brian Wolf	Ast Investment Services, Inc. other	Osaic Institutions, Inc. other	Other	Jan 5, 2018	Jan 3, 2018
Melissa Walling Adams	Ast Investment Services, Inc. other	Merit Financial Partners LLC other	Other	Jul 3, 2017	Mar 13, 2018 (253 d)
Deryl Stephen Wells	Ast Investment Services, Inc. other	LPL Financial LLC other	Other	Apr 14, 2017	Sep 14, 2017 (153 d)
Rodney Raymond Allain	Ast Investment Services, Inc. other	Clearbridge Investments, LLC mixed wealth	Other	Mar 10, 2017	Jun 3, 2021 (1546 d)
Andrew Morris	Ast Investment Services, Inc. other	Sorrento Pacific Financial, LLC other	Other	Nov 9, 2016	Jan 12, 2017 (64 d)
Elizabeth Stoltz Rugg	Ast Investment Services, Inc. other	UBS Financial Services Inc. wirehouse	Other	Aug 5, 2016	Jul 26, 2018 (720 d)
Nicole Christine Williams	Ast Investment Services, Inc. other	Wells Fargo Advisors wirehouse	Other	May 18, 2016	May 17, 2016
Michael Robert Tomlin	Ast Investment Services, Inc. other	Empower Advisory Group, LLC BD affiliated	Other	May 18, 2016	Nov 22, 2023 (2744 d)
Daniel Edward Grabowski	Ast Investment Services, Inc. other	Wells Fargo Advisors wirehouse	Other	May 11, 2016	Oct 12, 2016 (154 d)
Roy E. Johansen	Ast Investment Services, Inc. other	LPL Financial LLC other	Other	Mar 23, 2016	Apr 11, 2016
John J Konikowski	Ast Investment Services, Inc. other	Cuso Financial Services, L.P. other	Other	Feb 24, 2016	Feb 22, 2016
Colin Theodore Barber	Ast Investment Services, Inc. other	Sierra Investment Management, LLC other	Other	Sep 9, 2015	Nov 18, 2015 (70 d)
Jack Robert Kelly	Ast Investment Services, Inc. other	Delaware Capital Management Advisers, Inc no RAUM	Other	Jul 24, 2015	Aug 24, 2015 (31 d)
Shane Francis O'Brien	Ast Investment Services, Inc. other	Morgan Stanley wirehouse	Other	Jan 22, 2015	Feb 9, 2015
Lee Francis Hurney	Ast Investment Services, Inc. other	Integrated Wealth Management, LLC other	Other	Dec 16, 2014	Apr 7, 2015 (112 d)
Michael Rourke Burke	Ast Investment Services, Inc. other	Eagle Strategies LLC other	Other	Oct 16, 2014	Oct 16, 2014
Susan F. Graham	Ast Investment Services, Inc. other	Fidelity Personal And Workplace Advisors BD affiliated	Other	Jun 12, 2014	Oct 14, 2021 (2681 d)
James A Dunn	Ast Investment Services, Inc. other	The Phynancial Md, LLC unclassified	Other	Apr 28, 2014	Jan 2, 2015 (249 d)
Michael Benjamin Liebson	Ast Investment Services, Inc. other	UBS Financial Services Inc. wirehouse	Other	Feb 28, 2014	Feb 26, 2014
Stacy Marie Linneman	Ast Investment Services, Inc. other	Advice And Planning Services other	Other	Dec 4, 2013	Jan 6, 2014 (33 d)
Robert Thomas Murphy	Ast Investment Services, Inc. other	Simplicity Financial Advisory Services, Inc unclassified	Other	Nov 8, 2013	Jun 23, 2015 (592 d)
Randy Eugene Smith	Ast Investment Services, Inc. other	Spc other	Other	Oct 2, 2013	Oct 3, 2013
Crissel Lopez	Ast Investment Services, Inc. other	Global Portfolio Strategies, Inc. other	Other	Jul 10, 2013	Mar 2, 2016 (966 d)
Christopher J Allegro	Ast Investment Services, Inc. other	LPL Financial LLC other	Other	May 8, 2013	Aug 7, 2013 (91 d)
Sandra Jessica Goins	Ast Investment Services, Inc. other	Edward Jones national BD	Other	Apr 9, 2013	Oct 7, 2013 (181 d)
Waldemar Mark Dziedzic	Ast Investment Services, Inc. other	Nationwide Securities, LLC no RAUM	Other	Jan 29, 2013	Jul 23, 2013 (175 d)
Billy Joe Estes	Ast Investment Services, Inc. other	Edward Jones national BD	Other	Aug 7, 2012	Aug 8, 2012
Amar Prakash Bhatt	Ast Investment Services, Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Jul 6, 2012	Jul 19, 2012
Philip Michael Napolitano	Ast Investment Services, Inc. other	Santander Securities other	Other	Nov 18, 2011	Mar 28, 2013 (496 d)
Christina Marie Frattura	Ast Investment Services, Inc. other	Manulife Investment Management (US) LLC other	Other	Jul 15, 2011	Dec 19, 2012 (523 d)
James Gordon Miller	Ast Investment Services, Inc. other	Intervest International, Inc. other	Other	Feb 16, 2010	Mar 10, 2015 (1848 d)
Rebecca Nassar Dunne	Ast Investment Services, Inc. other	Hornor, Townsend & Kent, LLC other	Other	Dec 31, 2009	Mar 17, 2010 (76 d)
Matthew William Fortney	Ast Investment Services, Inc. other	Msi Financial Services, Inc. other	Other	Sep 29, 2009	Mar 25, 2010 (177 d)
Janeen Dulcinea Ingram	Ast Investment Services, Inc. other	Ameritas Advisory Services other	Other	Dec 22, 2008	Mar 23, 2009 (91 d)
Albert Barry Burns	Ast Investment Services, Inc. other	Nationwide Securities, LLC no RAUM	Other	Dec 3, 2008	Jun 14, 2011 (923 d)
Chad Allen Metzger	Ast Investment Services, Inc. other	Nationwide Securities, LLC no RAUM	Other	Nov 26, 2008	May 3, 2011 (888 d)
Joseph Fuschillo	Ast Investment Services, Inc. other	Park Avenue Securities LLC BD affiliated	Other	Nov 10, 2008	Oct 21, 2025 (6189 d)
Robert Calder Stack	Ast Investment Services, Inc. other	Thornburg Investment Management Inc other	Other	Oct 3, 2008	Oct 22, 2008
Sebastian Matthew Zacharias	Ast Investment Services, Inc. other	New York Life Investment Management LLC other	Other	Nov 9, 2007	Nov 15, 2007
Robert Calder Stack	Ast Investment Services, Inc. other	Thornburg Investment Management Inc other	Other	Jul 31, 2007	Aug 16, 2007
Zigmas Kaknevicius	Ast Investment Services, Inc. other	Clearbridge Investments, LLC other	Other	Jun 7, 2007	May 12, 2009 (705 d)
Jerry W Lynn	Ast Investment Services, Inc. other	Signator Financial Services, Inc. other	Other	Mar 13, 2007	Mar 23, 2007
Michael Anthony Saldutti	Ast Investment Services, Inc. other	Pgim Investments LLC other	Other	May 3, 2006	Jun 6, 2006 (34 d)

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56 moves match.