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
Kerry CahillSpc BD affiliatedBeacon Capital Management, Inc. independent RIAAffiliated broker-dealer or bank to independent RIANov 3, 2021Feb 10, 2022 (99 d)
John HenselerSpc BD affiliatedBeacon Capital Management, Inc. independent RIAAffiliated broker-dealer or bank to independent RIANov 3, 2021Feb 7, 2022 (96 d)
Joshua SmithSpc BD affiliatedBeacon Capital Management, Inc. independent RIAAffiliated broker-dealer or bank to independent RIANov 3, 2021Feb 3, 2022 (92 d)
Jesse HowieSpc BD affiliatedBeacon Capital Management, Inc. independent RIAAffiliated broker-dealer or bank to independent RIANov 3, 2021Feb 2, 2022 (91 d)
Stacy Ann TalaricoSpc BD affiliatedFidelity Personal And Workplace Advisors BD affiliatedAffiliated broker-dealer or bank to anotherOct 14, 2021Feb 8, 2022 (117 d)
Kevin VandenhauteSpc BD affiliatedSecure Asset Management, L.L.C. independent RIAAffiliated broker-dealer or bank to independent RIASep 28, 2021Sep 23, 2021
Jonathan ThomasSpc BD affiliatedSecure Asset Management, L.L.C. independent RIAAffiliated broker-dealer or bank to independent RIASep 28, 2021Sep 23, 2021
Mark John MuellerSpc BD affiliatedSecure Asset Management, L.L.C. independent RIAAffiliated broker-dealer or bank to independent RIASep 24, 2021Sep 23, 2021
Corey Alan StaubSpc BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherSep 23, 2021Sep 23, 2021
Adam BlockiSpc BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherSep 23, 2021Sep 23, 2021
Jason Michael WernerSpc BD affiliatedWerner Financial independent RIAAffiliated broker-dealer or bank to independent RIASep 15, 2021Sep 14, 2021
Michael David RautiolaSpc BD affiliatedCwm, LLC BD affiliatedAffiliated broker-dealer or bank to anotherAug 24, 2021Aug 23, 2021
Adam James FinchSpc BD affiliatedCwm, LLC BD affiliatedAffiliated broker-dealer or bank to anotherAug 24, 2021Aug 23, 2021
Matthew Thomas BowdenSpc BD affiliatedCwm, LLC BD affiliatedAffiliated broker-dealer or bank to anotherAug 24, 2021Aug 23, 2021
Anthony Joseph VocalinaSpc BD affiliatedEssex Financial Services, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAAug 2, 2021Aug 2, 2021
Dustin McdonaldSpc BD affiliatedCambridge Investment Research Advisors, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherAug 2, 2021Aug 2, 2021
Richard Charles StainsbySpc BD affiliatedWealthstar Advisors, LLC independent RIAAffiliated broker-dealer or bank to independent RIAJul 16, 2021Jul 16, 2021
Joseph Warren NelsonSpc BD affiliatedThe Fiduciary Alliance independent RIAAffiliated broker-dealer or bank to independent RIAJun 15, 2021Jun 18, 2021
Randall Gray NeighbourSpc BD affiliatedThe Fiduciary Alliance independent RIAAffiliated broker-dealer or bank to independent RIAJun 15, 2021Jun 16, 2021
Matthew James MyrickSpc BD affiliatedThe Fiduciary Alliance independent RIAAffiliated broker-dealer or bank to independent RIAJun 15, 2021Sep 23, 2022 (465 d)
Eric Thomas HuSpc BD affiliatedVanderbilt Advisory Services BD affiliatedAffiliated broker-dealer or bank to anotherJun 1, 2021Feb 22, 2022 (266 d)
Steven Edward DrahozalSpc BD affiliatedSecurities America Advisors, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherMay 17, 2021May 14, 2021
Judy Ilene GoldisSpc BD affiliatedOliver Lagore Vanvalin Investment Group, Inc. no RAUMAffiliated broker-dealer or bank to a newly registered adviserMay 5, 2021May 28, 2021
Christopher Dean ScheimerSpc BD affiliatedTlg Advisors, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherMay 5, 2021May 6, 2021
Joel Philip LagoreSpc BD affiliatedOliver Lagore Vanvalin Investment Group, Inc. no RAUMAffiliated broker-dealer or bank to a newly registered adviserApr 29, 2021Apr 28, 2021
Scott Richard CartySpc BD affiliatedOliver Lagore Vanvalin Investment Group, Inc. no RAUMAffiliated broker-dealer or bank to a newly registered adviserApr 29, 2021Apr 28, 2021
Jesse Michael VanvalinSpc BD affiliatedOliver Lagore Vanvalin Investment Group, Inc. no RAUMAffiliated broker-dealer or bank to a newly registered adviserApr 29, 2021Apr 28, 2021
Benjamin Dean OliverSpc BD affiliatedOliver Lagore Vanvalin Investment Group, Inc. no RAUMAffiliated broker-dealer or bank to a newly registered adviserApr 29, 2021Apr 28, 2021
Amy Kim HolzerSpc BD affiliatedRetirement Income Solutions, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAApr 23, 2021May 3, 2021
Clark D HarrisSpc BD affiliatedSecure Asset Management, L.L.C. independent RIAAffiliated broker-dealer or bank to independent RIAApr 16, 2021Sep 17, 2021 (154 d)
Brett JacksonSpc BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherApr 16, 2021Apr 28, 2021
Angela Marie ZangarolaSpc BD affiliatedQuantum Wealth Strategies, LLC state registeredAffiliated broker-dealer or bank to a state-registered adviserMar 22, 2021Mar 19, 2021
Jonathan Reid RowlandSpc BD affiliatedDfpg Investments, LLC BD affiliatedAffiliated broker-dealer or bank to anotherFeb 26, 2021Mar 11, 2021
Paul Luis DigerolamoSpc BD affiliatedMadison Avenue Securities, LLC BD affiliatedAffiliated broker-dealer or bank to anotherFeb 23, 2021Feb 23, 2021
Robert William CasaceliSpc BD affiliatedTeton Peaks Advisors LLC unclassifiedOtherJan 14, 2021Jan 25, 2021
Troy Victor HunsuckerSpc BD affiliatedTeton Peaks Advisors LLC unclassifiedOtherJan 14, 2021Jan 25, 2021
Ralph James RomanoSpc BD affiliatedCapital Synergy Partners independent RIAAffiliated broker-dealer or bank to independent RIADec 31, 2020Jan 1, 2025 (1462 d)
Broc Jacob StradleySpc BD affiliatedWestpoint Wealth Management, LLC independent RIAAffiliated broker-dealer or bank to independent RIANov 30, 2020Nov 27, 2020
Gregory Allan GaynierSpc BD affiliatedCwm, LLC BD affiliatedAffiliated broker-dealer or bank to anotherNov 3, 2020Oct 30, 2020
Adam Jeffrey FlaggSpc BD affiliatedCetera Advisor Networks LLC BD affiliatedAffiliated broker-dealer or bank to anotherOct 28, 2020Oct 27, 2020
Blayne Allen AndersenSpc BD affiliatedArkadios Wealth Advisors independent RIAAffiliated broker-dealer or bank to independent RIAOct 14, 2020Oct 14, 2020
Douglas William AumontSpc BD affiliatedArkadios Wealth Advisors independent RIAAffiliated broker-dealer or bank to independent RIAOct 14, 2020Oct 13, 2020
David Earl McgillSpc BD affiliatedCfci otherOtherAug 31, 2020Sep 22, 2009
Kenneth Laird MacdonaldSpc BD affiliatedInfinium Investment Advisors, LLC independent RIAAffiliated broker-dealer or bank to independent RIAAug 11, 2020Aug 12, 2020
Matthew Clay SmithSpc BD affiliatedAvantax Advisory Services BD affiliatedAffiliated broker-dealer or bank to anotherAug 3, 2020Aug 3, 2020
Donald John BellefySpc BD affiliatedOsaic Institutions, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherJul 30, 2020Jul 28, 2026 (2189 d)
John Edward PickarskiSpc BD affiliatedGwn Securities Inc. BD affiliatedAffiliated broker-dealer or bank to anotherJul 17, 2020Jul 19, 2020
Michael Josh PickarskiSpc BD affiliatedGwn Securities Inc. BD affiliatedAffiliated broker-dealer or bank to anotherJul 17, 2020Jul 19, 2020
Cody Grant DanielsSpc BD affiliatedFidelity Personal And Workplace Advisors BD affiliatedAffiliated broker-dealer or bank to anotherJun 25, 2020Jul 1, 2020
Todd James PouliotSpc BD affiliatedGateway Financial state registeredAffiliated broker-dealer or bank to a state-registered adviserApr 7, 2020Dec 9, 2019
David Charles BellskySpc BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherFeb 20, 2020Feb 18, 2020
Steven Paul MaskerSpc BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherFeb 20, 2020Feb 18, 2020
Elaine Ardith ParlbergSpc BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherFeb 20, 2020Feb 18, 2020
Daniel J StrongSpc BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherFeb 20, 2020Feb 18, 2020
Melissa Elizabeth SouthwellSpc BD affiliatedAvantax Advisory Services BD affiliatedAffiliated broker-dealer or bank to anotherJan 27, 2020Jan 27, 2020
Ryan Seth CohenSpc BD affiliatedAvantax Advisory Services BD affiliatedAffiliated broker-dealer or bank to anotherJan 27, 2020Jan 28, 2020
Terence Lee ReedSpc BD affiliatedAvantax Advisory Services BD affiliatedAffiliated broker-dealer or bank to anotherJan 27, 2020Jan 27, 2020
Nicholas Joseph ReilandSpc BD affiliatedVantage Point Financial, LLC independent RIAAffiliated broker-dealer or bank to independent RIAJan 20, 2020Dec 18, 2019
Timothy Martin KuntzSpc BD affiliatedVantage Point Financial, LLC independent RIAAffiliated broker-dealer or bank to independent RIAJan 20, 2020Dec 18, 2019
Tracy M PeatlingSpc BD affiliatedAmeriprise Financial Services, LLC national BDAffiliated broker-dealer or bank to anotherDec 19, 2019Dec 18, 2019
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620 moves match.