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 Mid Atlantic Financial Management, 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.

AdvisorFromToTypeLeftRegistered
Michael Thomas BigleyMid Atlantic Financial Management, Inc. BD affiliatedGateway Financial Wealth Management LP unclassifiedOtherNov 1, 2021Jun 15, 1999
David John DownMid Atlantic Financial Management, Inc. BD affiliatedNew Edge Wealth no RAUMOtherNov 1, 2021Oct 28, 2020
Kyle Peter SmithMid Atlantic Financial Management, Inc. BD affiliatedNew Edge Wealth no RAUMOtherNov 1, 2021Oct 27, 2020
Kurt David WedewerMid Atlantic Financial Management, Inc. BD affiliatedAccel Wealth Management mixed wealthAffiliated broker-dealer or bank to independent RIAJun 7, 2021Jun 4, 2021
Carey A DroznekMid Atlantic Financial Management, Inc. BD affiliatedAlight Financial Advisors, LLC independent RIAAffiliated broker-dealer or bank to independent RIAApr 19, 2021Aug 3, 2021 (106 d)
Mark Andrew PhillipsMid Atlantic Financial Management, Inc. BD affiliatedPhillips Wealth Management LLC state registeredAffiliated broker-dealer or bank to a state-registered adviserOct 8, 2020Sep 14, 2018
Matthew Robert PillardMid Atlantic Financial Management, Inc. BD affiliatedFriday Financial independent RIAAffiliated broker-dealer or bank to independent RIAAug 28, 2020Apr 10, 2026 (2051 d)
Hugh William RhodesMid Atlantic Financial Management, Inc. BD affiliatedFifth Third Securities, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherAug 24, 2020Sep 2, 2020
Aaron Eugene SchuellerMid Atlantic Financial Management, Inc. BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherAug 11, 2020Aug 31, 2020
Kenneth Louis RiffleMid Atlantic Financial Management, Inc. BD affiliatedFcg Investment Company no RAUMAffiliated broker-dealer or bank to a newly registered adviserJun 1, 2020Apr 22, 2020
William Lewis GurnerMid Atlantic Financial Management, Inc. BD affiliatedFcg Investment Company no RAUMAffiliated broker-dealer or bank to a newly registered adviserJun 1, 2020Apr 22, 2020
Dennis Ray PlylerMid Atlantic Financial Management, Inc. BD affiliatedFcg Investment Company no RAUMAffiliated broker-dealer or bank to a newly registered adviserJun 1, 2020Apr 22, 2020
Lloyd Vernon CrawfordMid Atlantic Financial Management, Inc. BD affiliatedFcg Investment Company no RAUMAffiliated broker-dealer or bank to a newly registered adviserJun 1, 2020Apr 22, 2020
Jeremy Shane PlylerMid Atlantic Financial Management, Inc. BD affiliatedFcg Investment Company no RAUMAffiliated broker-dealer or bank to a newly registered adviserJun 1, 2020Apr 22, 2020
Michael David ThompsonMid Atlantic Financial Management, Inc. BD affiliatedFcg Investment Company no RAUMAffiliated broker-dealer or bank to a newly registered adviserJun 1, 2020Apr 22, 2020
John Michael BeanMid Atlantic Financial Management, Inc. BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherDec 16, 2019Dec 16, 2019
Terry Edward RumkerMid Atlantic Financial Management, Inc. BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherDec 16, 2019Dec 16, 2019
Deborah Elizabeth BrentMid Atlantic Financial Management, Inc. BD affiliatedEquitable Advisors, LLC national BDAffiliated broker-dealer or bank to anotherDec 13, 2019Jan 16, 2020 (34 d)
Lori Jo Daff-SigginsMid Atlantic Financial Management, Inc. BD affiliatedCwm, LLC independent RIAAffiliated broker-dealer or bank to independent RIAOct 18, 2019May 6, 2019
Alicia M ReedMid Atlantic Financial Management, Inc. BD affiliatedCwm, LLC independent RIAAffiliated broker-dealer or bank to independent RIAOct 18, 2019May 6, 2019
Alyssa Erin RitchieMid Atlantic Financial Management, Inc. BD affiliatedCetera Advisor Networks LLC BD affiliatedAffiliated broker-dealer or bank to anotherSep 10, 2019Sep 13, 2019
Patrick James ClarkMid Atlantic Financial Management, Inc. BD affiliatedPnc Capital Advisors LLC otherOtherSep 6, 2019Jun 4, 2020 (272 d)
John Philip WilliamsMid Atlantic Financial Management, Inc. BD affiliatedOneseven independent RIAAffiliated broker-dealer or bank to independent RIAJul 16, 2019Jul 12, 2019
Mitchell Dean SimkinsMid Atlantic Financial Management, Inc. BD affiliatedFarther independent RIAAffiliated broker-dealer or bank to independent RIAJul 8, 2019Nov 3, 2023 (1579 d)
Corey OltyanMid Atlantic Financial Management, Inc. BD affiliatedPruco Securities, LLC BD affiliatedAffiliated broker-dealer or bank to anotherApr 12, 2019Jul 25, 2019 (104 d)
Daniel Scott KatesMid Atlantic Financial Management, Inc. BD affiliatedUnited Capital Financial Advisors independent RIAAffiliated broker-dealer or bank to independent RIAApr 10, 2019Mar 19, 2019
Mitchell Dean SimkinsMid Atlantic Financial Management, Inc. BD affiliatedUnited Capital Financial Advisors independent RIAAffiliated broker-dealer or bank to independent RIAFeb 15, 2019Feb 15, 2019
Christopher Robert StaggMid Atlantic Financial Management, Inc. BD affiliatedUnited Capital Financial Advisors independent RIAAffiliated broker-dealer or bank to independent RIAFeb 15, 2019Feb 19, 2019
Jonathan Paul HlavacMid Atlantic Financial Management, Inc. BD affiliatedEverhart Advisors otherOtherAug 15, 2018Mar 4, 2016
Duane Jerrod GillmanMid Atlantic Financial Management, Inc. BD affiliatedEverhart Advisors otherOtherJun 27, 2018Mar 4, 2016
Elizabeth Anne HermanMid Atlantic Financial Management, Inc. otherWoodbury Financial Services, Inc. BD affiliatedOtherNov 6, 2017Nov 3, 2017
Kenneth Marshall StireMid Atlantic Financial Management, Inc. otherSpc otherOtherOct 31, 2017Nov 3, 2017
Jose Maria ValenzuelaMid Atlantic Financial Management, Inc. otherCpr Investments Inc independent RIAOtherOct 16, 2017Oct 20, 2017
Neven ZelichMid Atlantic Financial Management, Inc. otherAmeriprise Financial Services, LLC national BDOtherSep 25, 2017Sep 25, 2017
John Eugene ElginMid Atlantic Financial Management, Inc. otherAmeriprise Financial Services, LLC national BDOtherSep 25, 2017Sep 25, 2017
Lindsay Marie BattershellMid Atlantic Financial Management, Inc. otherAmeriprise Financial Services, LLC national BDOtherSep 25, 2017Sep 25, 2017
Mark Christopher ZacekMid Atlantic Financial Management, Inc. otherRaymond James Financial Services Advisors, Inc otherOtherSep 11, 2017Oct 31, 2017 (50 d)
James Edgar BradleyMid Atlantic Financial Management, Inc. otherPenobscot Financial Advisors no RAUMOtherAug 1, 2017Jan 30, 2017
Thomas Lee HarnishMid Atlantic Financial Management, Inc. otherNortheast Planning Associates, Inc. otherOtherJul 31, 2017Nov 2, 2016
Craig Alan GroverMid Atlantic Financial Management, Inc. otherNortheast Planning Associates, Inc. otherOtherJul 31, 2017Nov 3, 2016
Craig Arthur JoncasMid Atlantic Financial Management, Inc. otherPenobscot Financial Advisors no RAUMOtherJul 31, 2017Jan 30, 2017
Travis Ned BarkerMid Atlantic Financial Management, Inc. otherHefren-Tillotson, Inc. otherOtherNov 18, 2016Mar 14, 2017 (116 d)
David Codd BoydellMid Atlantic Financial Management, Inc. otherConcert Wealth Management otherOtherJun 1, 2016Jul 21, 2016 (50 d)
James Dorrance WellsMid Atlantic Financial Management, Inc. otherStratos Wealth Partners, Ltd otherOtherMay 4, 2016May 9, 2016
Ingrid Herrold StreichMid Atlantic Financial Management, Inc. otherMorgan Stanley wirehouseOtherMar 29, 2016Apr 12, 2016
Adri James Giacobine BleierMid Atlantic Financial Management, Inc. otherOsaic Wealth, Inc. otherOtherJan 27, 2016Jan 27, 2016
William David AltavillaMid Atlantic Financial Management, Inc. otherWells Fargo Advisors wirehouseOtherDec 1, 2015Dec 1, 2015
Jeffrey Seth FishmanMid Atlantic Financial Management, Inc. otherJsf Financial, LLC otherOtherNov 25, 2015Apr 2, 2012
Debra Lyn HightowerMid Atlantic Financial Management, Inc. otherWells Fargo Advisors wirehouseOtherFeb 13, 2015Feb 13, 2015
Gary Stewart BedfordMid Atlantic Financial Management, Inc. otherWestern Wealth Management LLC otherOtherNov 17, 2014Nov 18, 2014
Tucker Morrison VeenisMid Atlantic Financial Management, Inc. otherFifth Third Wealth Advisors LLC bank affiliatedOtherMay 5, 2014Jan 22, 2024 (3549 d)
Nicholas Edward CortazzoMid Atlantic Financial Management, Inc. otherPnc Wealth Management otherOtherOct 3, 2013Nov 6, 2013 (34 d)
Timothy John HoagMid Atlantic Financial Management, Inc. otherHazard & Siegel Advisory Services LLC otherOtherAug 1, 2013Sep 18, 2013 (48 d)
Steven John MrozekMid Atlantic Financial Management, Inc. otherFragasso Financial Advisors otherOtherFeb 1, 2013Feb 11, 2013
Mark George VisnicMid Atlantic Financial Management, Inc. otherOak Grove Capital, LLC no RAUMOtherNov 12, 2012Nov 12, 2012
John Vincent StilleyMid Atlantic Financial Management, Inc. otherCharles Schwab & Co., Inc. national BDOtherOct 25, 2011Nov 23, 2011
Stephen Andrew YarmeschMid Atlantic Financial Management, Inc. otherIndependent Financial Partners otherOtherSep 26, 2011Sep 28, 2011
Frank Edward MontesMid Atlantic Financial Management, Inc. otherKms Financial Services, Inc otherOtherFeb 17, 2011Feb 18, 2011
Eric Paul RaderMid Atlantic Financial Management, Inc. otherTlg Advisors, Inc. otherOtherJan 3, 2011Jan 3, 2011
Christopher D. BurtonMid Atlantic Financial Management, Inc. otherLPL Financial LLC otherOtherJul 15, 2009Sep 3, 2009 (50 d)
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84 moves match.