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 |
|---|---|---|---|---|---|
| Benjamin Jon Taylor | Spc BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 22, 2024 | Jul 22, 2024 |
| Brandon Fredrick Grimm | Spc BD affiliated | Kmg Fiduciary Partners, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 18, 2024 | Jul 18, 2024 |
| Thomas Edward Patton | Spc BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 24, 2024 | Jun 24, 2024 |
| Kyle Sean Jobin | Spc BD affiliated | Osaic Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 14, 2024 | Jun 18, 2024 |
| Justin Russo | Spc BD affiliated | Osaic Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 14, 2024 | Jun 14, 2024 |
| Shane Brian Callahan | Spc BD affiliated | Future Capital Management Inc. state registered | Affiliated broker-dealer or bank to a state-registered adviser | May 31, 2024 | May 31, 2024 |
| Johnnie Lee Chestnut | Spc BD affiliated | Osaic Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 31, 2024 | May 31, 2024 |
| Cameron Nicholas Chestnut | Spc BD affiliated | Osaic Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 31, 2024 | May 31, 2024 |
| Jonathan Edward Evans | Spc BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 29, 2024 | Apr 29, 2024 |
| Brandon Michael Konda | Spc BD affiliated | The Freyr Group state registered | Affiliated broker-dealer or bank to a state-registered adviser | Apr 29, 2024 | Apr 29, 2024 |
| David Matthew Rushman | Spc BD affiliated | Washington Avenue Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 26, 2024 | May 2, 2024 |
| Matthew Hans Garrow | Spc BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 1, 2024 | Apr 1, 2024 |
| Timothy Edwin Roth | Spc BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 1, 2024 | Apr 1, 2024 |
| Donna Jean Bogan | Spc BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 1, 2024 | Apr 1, 2024 |
| John Eric Engler | Spc BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 1, 2024 | Apr 1, 2024 |
| Karla K Stanton | Spc BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 1, 2024 | Apr 1, 2024 |
| Terry Lee Stamper | Spc BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 1, 2024 | Apr 5, 2024 |
| Richard Lucas Tesznar | Spc BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 1, 2024 | Apr 1, 2024 |
| Elizabeth Dale Strong-Coover | Spc BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 12, 2024 | Mar 12, 2024 |
| Kent Alan Hilton | Spc BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 22, 2024 | Jan 24, 2024 |
| Robert Emmet Lydon | Spc BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 11, 2024 | Jan 12, 2024 |
| Kenneth James Grzegorczyk | Spc BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 15, 2023 | Dec 15, 2023 |
| Daniel Theodore Hawtree | Spc BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 14, 2023 | Dec 11, 2023 |
| Patrick Francis Van Sumeren | Spc BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 12, 2023 | Dec 12, 2023 |
| Kimberly Ann Bolker | Spc BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 27, 2023 | Nov 27, 2023 |
| Jason Francis Payne | Spc BD affiliated | Timpanogos Financial Advisors, Inc. state registered | Affiliated broker-dealer or bank to a state-registered adviser | Nov 16, 2023 | Nov 16, 2023 |
| Jennifer Anne Nielsen | Spc BD affiliated | Timpanogos Financial Advisors, Inc. state registered | Affiliated broker-dealer or bank to a state-registered adviser | Nov 16, 2023 | Nov 16, 2023 |
| Samuel Lewis Keck | Spc BD affiliated | Osaic Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 10, 2023 | Nov 10, 2023 |
| Ronald Lee Johnson | Spc BD affiliated | Osaic Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 10, 2023 | Nov 10, 2023 |
| Ike J Kutter | Spc BD affiliated | Osaic Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 10, 2023 | Nov 13, 2023 |
| Jeremy Robert Fortin | Spc BD affiliated | Osaic Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 10, 2023 | Nov 10, 2023 |
| Robert Kerr Drake | Spc BD affiliated | Private Advisor Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 30, 2023 | Oct 30, 2023 |
| Nadine M Burns | Spc BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 30, 2023 | Oct 30, 2023 |
| Jennifer Lynn Jensen | Spc BD affiliated | Osaic Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 30, 2023 | Oct 30, 2023 |
| Laurie Piper | Spc BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 30, 2023 | Oct 30, 2023 |
| Liam Pommerich | Spc BD affiliated | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 30, 2023 | Jan 12, 2024 (74 d) |
| Jason William Parker | Spc BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 20, 2023 | Oct 20, 2023 |
| Robert Chalmer Zimmerman | Spc BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 11, 2023 | Oct 11, 2023 |
| Eric V Sechman | Spc BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 2, 2023 | Oct 4, 2023 |
| William Robert Jones | Spc BD affiliated | Oliver Lagore Vanvalin Investment Group, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 29, 2023 | Oct 2, 2023 |
| Dale John Driggs | Spc BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 28, 2023 | Sep 25, 2023 |
| Robert Klepner | Spc BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 28, 2023 | Sep 18, 2023 |
| Sean Gray | Spc BD affiliated | Empower Advisory Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 15, 2023 | Apr 22, 2024 (220 d) |
| Erick Primero | Spc BD affiliated | Fifth Third Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 8, 2023 | Feb 12, 2024 (157 d) |
| Dean Alfred Bell | Spc BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 25, 2023 | Aug 25, 2023 |
| Daniel Logsdon Putman | Spc BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 21, 2023 | Aug 21, 2023 |
| Wade Alan Masen | Spc BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 21, 2023 | Aug 21, 2023 |
| Jeffrey Wayne Hansen | Spc BD affiliated | Summit Financial Working With People You Trust independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 21, 2023 | Nov 9, 2010 |
| Adrian John Paich | Spc BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 21, 2023 | Aug 21, 2023 |
| Zachary H Armstrong | Spc BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 21, 2023 | Aug 21, 2023 |
| Shelby C Masen | Spc BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 21, 2023 | Aug 21, 2023 |
| Jeffery Michael Darwish | Spc BD affiliated | Osaic Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 17, 2023 | Aug 17, 2023 |
| Kenneth Anton | Spc BD affiliated | Cwm, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 16, 2023 | Aug 16, 2023 |
| Scott Jay Sumner | Spc BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 15, 2023 | Feb 13, 2026 (913 d) |
| Robert Roy Macke | Spc BD affiliated | Financial Planning Services independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 9, 2023 | Aug 4, 2023 |
| Bette Lynn Paez | Spc BD affiliated | Warner Wealth no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Aug 2, 2023 | Apr 3, 2025 (610 d) |
| Jeffrey Scott Pirkl | Spc BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 26, 2023 | Jul 27, 2023 |
| Dennis Ray Schafer | Spc BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 17, 2023 | Jul 17, 2023 |
| Mitchell Allan Schafer | Spc BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 17, 2023 | Jul 17, 2023 |
| Caleb Thompson | Spc BD affiliated | Foundations Investment Advisors LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 12, 2023 | Jul 13, 2023 |
620 moves match.