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.

AdvisorFromToTypeLeftRegistered
Julio VozzaSpc BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherJun 30, 2023Jun 30, 2023
Christopher John MikolajczewskiSpc BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherJun 26, 2023Jun 29, 2023
Dennis Lynn StarbuckSpc BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherJun 23, 2023Jun 30, 2023
Nicole Lynn StarbuckSpc BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherJun 23, 2023Jun 27, 2023
Kenneth Daniel Glen EarwoodSpc BD affiliatedAe Wealth Management, LLC BD affiliatedAffiliated broker-dealer or bank to anotherJun 21, 2023Jun 26, 2023
Raja Govind AsavaSpc BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherJun 16, 2023Jun 16, 2023
Matthew Ryan SimonSpc BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherJun 16, 2023Jun 16, 2023
Richard James RodakSpc BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherJun 9, 2023Jun 12, 2023
John Eric MooreSpc BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherJun 9, 2023Jun 9, 2023
John Alan KuntzSpc BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherJun 8, 2023Jun 5, 2023
Tori Catherine LewisSpc BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherJun 8, 2023Jun 5, 2023
Dennis Alan HaubertSpc BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherJun 2, 2023Jun 2, 2023
Jonathan Mike MoranchelSpc BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherJun 2, 2023Jun 15, 2023
Julia OhSpc BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherJun 2, 2023Jun 2, 2023
Christine Catherine MallulSpc BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherJun 1, 2023Jun 22, 2023
Douglas Harry BartonSpc BD affiliatedOsaic Advisory Services, LLC BD affiliatedAffiliated broker-dealer or bank to anotherMay 18, 2023May 18, 2023
Joshua Scott GriffinSpc BD affiliatedOsaic Advisory Services, LLC BD affiliatedAffiliated broker-dealer or bank to anotherMay 18, 2023May 18, 2023
Randell Eugene ChumleySpc BD affiliatedJ. W. Cole Advisors, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherApr 28, 2023Apr 28, 2023
Gregory James GormanSpc BD affiliatedJ. W. Cole Advisors, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherApr 28, 2023Apr 28, 2023
David Michael JohnsonSpc BD affiliatedJ. W. Cole Advisors, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherApr 28, 2023Apr 28, 2023
Adam Brian HartungSpc BD affiliatedJ. W. Cole Advisors, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherApr 28, 2023May 3, 2023
Aaron M GagoSpc BD affiliatedJ. W. Cole Advisors, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherApr 28, 2023Apr 28, 2023
Corey David SchmiedebergSpc BD affiliatedJ. W. Cole Advisors, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherApr 28, 2023Apr 28, 2023
Connor ThielfoldtSpc BD affiliatedJ. W. Cole Advisors, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherApr 28, 2023Apr 28, 2023
Kameryn SiemersSpc BD affiliatedJ. W. Cole Advisors, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherApr 28, 2023Apr 28, 2023
Matthew James HessSpc BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherApr 6, 2023Apr 17, 2023
Jonathan Hennessey HolmesSpc BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherApr 5, 2023Apr 13, 2023
Steven Thomas BelloliSpc BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherApr 5, 2023Apr 11, 2023
Craig James FreundSpc BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherApr 5, 2023Apr 11, 2023
Keith Austin MadrigalSpc BD affiliatedAvantax Advisory Services BD affiliatedAffiliated broker-dealer or bank to anotherApr 4, 2023Apr 6, 2023
Connor Bartlett SweeneySpc BD affiliatedTruist Advisory Services, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherMar 22, 2023Oct 22, 2024 (580 d)
Justin Louis KohnkeSpc BD affiliatedFuture Capital Management Inc. state registeredAffiliated broker-dealer or bank to a state-registered adviserFeb 28, 2023Feb 27, 2023
Craig William BrooksSpc BD affiliatedFuture Capital Management Inc. state registeredAffiliated broker-dealer or bank to a state-registered adviserFeb 28, 2023Feb 27, 2023
Ray Allen IsaacsSpc BD affiliatedIsaacs & Associates, LLC state registeredAffiliated broker-dealer or bank to a state-registered adviserFeb 16, 2023Feb 17, 2023
Michael Patrick StarkSpc BD affiliatedClark Brothers Investments independent RIAAffiliated broker-dealer or bank to independent RIAFeb 15, 2023Feb 1, 2023
Manuel R FrancoSpc BD affiliatedLPL Financial LLC independent RIAAffiliated broker-dealer or bank to independent RIAJan 19, 2023Jan 19, 2023
Ryan Alan FrancoSpc BD affiliatedLPL Financial LLC independent RIAAffiliated broker-dealer or bank to independent RIAJan 19, 2023Jan 20, 2023
Peter MarsSpc BD affiliatedPruco Securities, LLC BD affiliatedAffiliated broker-dealer or bank to anotherJan 10, 2023Jan 23, 2023
Marvin Anton BoxdorferSpc BD affiliatedPlanmember Securities Corporation independent RIAAffiliated broker-dealer or bank to independent RIADec 31, 2022Jan 4, 2023
Troy Scott HeningtonSpc BD affiliatedHenington Group Ria LLC state registeredAffiliated broker-dealer or bank to a state-registered adviserDec 31, 2022Sep 26, 2023 (269 d)
Jeffery Alan SkinnerSpc BD affiliatedSkinner Financial Services state registeredAffiliated broker-dealer or bank to a state-registered adviserDec 31, 2022May 30, 2024 (516 d)
Lucas Brant BreedenSpc BD affiliatedPackerland Brokerage Services, Inc. independent RIAAffiliated broker-dealer or bank to independent RIADec 31, 2022Mar 21, 2023 (80 d)
Scott Aldrich SaylorSpc BD affiliatedOsaic Wealth, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherNov 28, 2022Jan 9, 2024 (407 d)
Kevin Robert EnglandSpc BD affiliatedTier One Wealth Management no RAUMAffiliated broker-dealer or bank to a newly registered adviserNov 23, 2022Nov 28, 2022
Gregory Allen DexterSpc BD affiliatedTier One Wealth Management independent RIAAffiliated broker-dealer or bank to independent RIAOct 11, 2022Jan 1, 2025 (813 d)
Garret Thomas JettSpc BD affiliatedTier One Wealth Management no RAUMAffiliated broker-dealer or bank to a newly registered adviserOct 11, 2022Oct 10, 2022
Kaleel Thomas GeorgeSpc BD affiliatedGeorge Financial Services state registeredAffiliated broker-dealer or bank to a state-registered adviserAug 11, 2022Aug 15, 2022
Peter Joseph LenartSpc BD affiliatedWells Fargo Advisors wirehouseAffiliated broker-dealer or bank to wirehouseJul 25, 2022Aug 1, 2022
Martin DedvukajSpc BD affiliatedCitizens Securities, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherJul 25, 2022Aug 30, 2022 (36 d)
Steven P KaoSpc BD affiliatedAe Wealth Management, LLC BD affiliatedAffiliated broker-dealer or bank to anotherJun 21, 2022Dec 16, 2025 (1274 d)
George W HutchensSpc BD affiliatedLPL Financial LLC independent RIAAffiliated broker-dealer or bank to independent RIAJun 6, 2022Jun 27, 2022
Scott Martin SensenigSpc BD affiliatedInnovative Adviser Solutions, LLC independent RIAAffiliated broker-dealer or bank to independent RIAMay 2, 2022Apr 29, 2022
Benjamin RoySpc BD affiliatedProsperity Capital Advisors independent RIAAffiliated broker-dealer or bank to independent RIAApr 27, 2022May 16, 2022
Ronald C BraunSpc BD affiliatedVantage Point Financial, LLC independent RIAAffiliated broker-dealer or bank to independent RIAFeb 22, 2022Aug 20, 2024 (910 d)
Anthony Dean BagneschiSpc BD affiliatedCg Advisory Services independent RIAAffiliated broker-dealer or bank to independent RIAJan 3, 2022Jan 12, 2022
Henry Don ConleySpc BD affiliatedOsaic Wealth, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherDec 31, 2021Jan 3, 2022
Timothy Richard FarrisSpc BD affiliatedCetera Investment Advisers LLC BD affiliatedAffiliated broker-dealer or bank to anotherDec 17, 2021Mar 21, 2024 (825 d)
Joseph Francis Schmitz, Jr.Spc BD affiliatedPeak Retirement Planning, Inc. independent RIAAffiliated broker-dealer or bank to independent RIANov 23, 2021Nov 24, 2021
William Leo LoweSpc BD affiliatedBeacon Capital Management, Inc. independent RIAAffiliated broker-dealer or bank to independent RIANov 3, 2021Feb 3, 2022 (92 d)
Gregory John BonzagniSpc BD affiliatedBeacon Capital Management, Inc. independent RIAAffiliated broker-dealer or bank to independent RIANov 3, 2021Feb 4, 2022 (93 d)
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620 moves match.