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 Spc
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 |
|---|---|---|---|---|---|
| Todd Michael Shivers | Spc BD affiliated | Osaic Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 17, 2026 | Jul 17, 2026 |
| John L Schuele | Spc BD affiliated | Transamerica Retirement Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 6, 2026 | Jul 9, 2026 |
| Richard Lance High | Spc BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 23, 2026 | Jun 17, 2026 |
| Brett Charles Busuttil | Spc BD affiliated | Bay Pointe Financial no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jun 1, 2026 | May 29, 2026 |
| Mark Frank Pauwels | Spc BD affiliated | Bay Pointe Financial no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jun 1, 2026 | May 29, 2026 |
| Sean David Stuczynski | Spc BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 21, 2026 | Apr 21, 2026 |
| Mark Alan Grieger | Spc BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 20, 2026 | Mar 20, 2026 |
| Leland Todd Proshek | Spc BD affiliated | Secure Asset Management, L.L.C. independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 25, 2026 | Mar 10, 2026 |
| Charles Logan Mclean | Spc BD affiliated | Charles Mclean Capital Management state registered | Affiliated broker-dealer or bank to a state-registered adviser | Feb 12, 2026 | May 8, 2026 (85 d) |
| Ryan Edward Starling | Spc BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 14, 2026 | Jan 14, 2026 |
| Grant Gohmann | Spc BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 5, 2026 | Jan 28, 2026 |
| Victor Osbourne Harris | Spc BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 4, 2025 | Apr 7, 2026 (124 d) |
| Natalie Sorensen | Spc BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 2, 2025 | Dec 1, 2025 |
| Landon Jack Winn | Spc BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 2, 2025 | Dec 1, 2025 |
| Margaret Rehmer Swiess | Spc BD affiliated | Founders Financial Securities, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 25, 2025 | Aug 12, 2025 |
| Timothy Dana Bales | Spc BD affiliated | The Wellington Grp LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 4, 2025 | Dec 3, 2025 |
| Timothy W Ayer | Spc BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 24, 2025 | Oct 27, 2025 |
| Dana Nicole Trowbridge-Mette | Spc BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 21, 2025 | Oct 21, 2025 |
| Carlos Dardon | Spc BD affiliated | Sofi Wealth LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 10, 2025 | Oct 24, 2025 |
| Robert Nathan Willison | Spc BD affiliated | Schwab Wealth Advisory, Inc. no RAUM | Other | Oct 6, 2025 | Dec 15, 2025 (70 d) |
| Holly Michelle Kiper | Spc BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 2, 2025 | Sep 5, 2025 |
| Michael Todd Kiper | Spc BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 2, 2025 | Sep 2, 2025 |
| Adam John Bos | Spc BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 29, 2025 | Aug 29, 2025 |
| Donald D Dalton | Spc BD affiliated | Consolidated Portfolio Review Corp independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 11, 2025 | Sep 2, 2025 |
| Kyle Steven Aschliman | Spc BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 30, 2025 | Jul 29, 2025 |
| Jacob David Aschliman | Spc BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 30, 2025 | Jul 28, 2025 |
| Jacob Prince | Spc BD affiliated | Strategic Advisers LLC national BD | Affiliated broker-dealer or bank to another | Jul 18, 2025 | Sep 17, 2025 (61 d) |
| Randall Alan Hoover | Spc BD affiliated | Hoover Private Wealth, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 8, 2025 | Jul 8, 2025 |
| Randall Alan Hoover | Spc BD affiliated | Hoover Private Wealth, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 8, 2025 | Jul 8, 2025 |
| Matthew Kay Stewart | Spc BD affiliated | Summit Ridge Advisors state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jun 30, 2025 | Jun 30, 2025 |
| Eric Montgomery | Spc BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 16, 2025 | Jun 17, 2025 |
| Robert Joseph Kramer | Spc BD affiliated | Prosperity Capital Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | May 27, 2025 | May 27, 2025 |
| Melody Michele Lowe | Spc BD affiliated | Prosperity Capital Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | May 27, 2025 | May 27, 2025 |
| Blake Allen Smith | Spc BD affiliated | Prosperity Capital Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | May 27, 2025 | May 27, 2025 |
| Josef Visinski | Spc BD affiliated | Ae Wealth Management, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 21, 2025 | May 21, 2025 |
| Christopher Griswold Gent | Spc BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | May 13, 2025 | May 14, 2025 |
| Stuart John Hawkins | Spc BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | May 13, 2025 | May 13, 2025 |
| Charles Dominic Vercellone | Spc BD affiliated | Osaic Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 24, 2025 | Apr 28, 2025 |
| William Scarr Shefte | Spc BD affiliated | Sb Advisory, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 15, 2025 | May 28, 2025 (43 d) |
| Dustin Robert Insley | Spc BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Apr 15, 2025 | Apr 15, 2025 |
| Nathan Daniel Tiarks | Spc BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 24, 2025 | Mar 24, 2025 |
| Andrew David Tiarks | Spc BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 24, 2025 | Mar 24, 2025 |
| Michael Lee Mishler | Spc BD affiliated | 724 Capital, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 24, 2025 | Mar 21, 2025 |
| Adam J Handler | Spc BD affiliated | Centaurus Financial, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 21, 2025 | Mar 20, 2025 |
| Travis Andrew Fisher | Spc BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 3, 2025 | Jan 2, 2025 |
| Cody Clem | Spc BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 3, 2025 | Jan 2, 2025 |
| Shannon Dawn Olson | Spc BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 3, 2025 | Jan 2, 2025 |
| Shannon John Stoeffler | Spc BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Dec 6, 2024 | Dec 6, 2024 |
| Brad Michael Kreiner | Spc BD affiliated | Park Avenue Securities LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 19, 2024 | Nov 25, 2024 |
| Adam Charles Peak | Spc BD affiliated | Foguth Wealth Management, LLC. independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 11, 2024 | Nov 17, 2024 |
| Steven Wayne Morse | Spc BD affiliated | Osaic Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 28, 2024 | Oct 28, 2024 |
| Aaron David Jensen | Spc BD affiliated | Osaic Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 28, 2024 | Oct 28, 2024 |
| Douglas George Thompson | Spc BD affiliated | J. W. Cole Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 3, 2024 | Sep 30, 2024 |
| Thomas W Repaskey | Spc BD affiliated | Advisor Share Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 12, 2024 | Oct 18, 2024 (36 d) |
| Christopher Charles Hass | Spc BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 6, 2024 | Sep 6, 2024 |
| Jeffrey Lin Caufield | Spc BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 6, 2024 | Sep 6, 2024 |
| James Edward Buchheit | Spc BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 6, 2024 | Sep 6, 2024 |
| Chad Andrew Perkins | Spc BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 6, 2024 | Sep 6, 2024 |
| James William Frye | Spc BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 30, 2024 | Jul 29, 2024 |
| Michael Luke Wholehan | Spc BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 22, 2024 | Jul 22, 2024 |
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620 moves match.