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
William G SiningerSpc BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherDec 9, 2019Dec 12, 2019
Frank AcostaSpc BD affiliatedIht Wealth Management LLC independent RIAAffiliated broker-dealer or bank to independent RIADec 6, 2019Dec 12, 2019
Stacy A HollenderSpc BD affiliatedKestra Advisory Services, LLC BD affiliatedAffiliated broker-dealer or bank to anotherDec 6, 2019Jun 15, 2021 (557 d)
Alvin Masanori AbeSpc BD affiliatedAe Wealth Management, LLC independent RIAAffiliated broker-dealer or bank to independent RIADec 2, 2019Dec 7, 2019
Jeffrey David BuckSpc BD affiliatedAe Wealth Management, LLC independent RIAAffiliated broker-dealer or bank to independent RIADec 2, 2019Dec 6, 2019
Katie Christine BuckSpc BD affiliatedAe Wealth Management, LLC independent RIAAffiliated broker-dealer or bank to independent RIADec 2, 2019Dec 7, 2019
Scott Michael TusaSpc BD affiliatedAe Wealth Management, LLC independent RIAAffiliated broker-dealer or bank to independent RIADec 2, 2019Dec 6, 2019
Rachelle Marie DavisSpc BD affiliatedAe Wealth Management, LLC independent RIAAffiliated broker-dealer or bank to independent RIADec 2, 2019Dec 6, 2019
Sean Jeffrey HiteSpc BD affiliatedAe Wealth Management, LLC independent RIAAffiliated broker-dealer or bank to independent RIADec 2, 2019Dec 6, 2019
Justin Hamilton HodgesSpc BD affiliatedAe Wealth Management, LLC independent RIAAffiliated broker-dealer or bank to independent RIADec 2, 2019Dec 7, 2019
Brandi-Ayn Sachiko KamanoSpc BD affiliatedAe Wealth Management, LLC independent RIAAffiliated broker-dealer or bank to independent RIADec 2, 2019Dec 6, 2019
Jay Corbett HensonSpc BD affiliatedTucker Asset Management LLC independent RIAAffiliated broker-dealer or bank to independent RIAOct 31, 2019Nov 1, 2019
Michael Joseph BlackmoreSpc BD affiliatedDmk Advisor Group, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAOct 29, 2019Jan 5, 2022 (799 d)
Charles John KoehnSpc BD affiliatedAdvisory Services Network independent RIAAffiliated broker-dealer or bank to independent RIAOct 28, 2019Jan 1, 2025 (1892 d)
Scott Emerson HendrixSpc BD affiliatedCalton & Associates, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAOct 9, 2019Oct 9, 2019
Jonathan Robert VogelSpc BD affiliatedMML Investors Services, LLC BD affiliatedAffiliated broker-dealer or bank to anotherSep 6, 2019Sep 23, 2019
Jordan Wain DeboerSpc BD affiliatedCalibration Financial state registeredAffiliated broker-dealer or bank to a state-registered adviserAug 2, 2019Aug 2, 2019
Jose Luis MartinezSpc BD affiliatedLPL Financial LLC independent RIAAffiliated broker-dealer or bank to independent RIAJun 21, 2019Jun 21, 2019
Robert Steven MorgensternSpc BD affiliatedLPL Financial LLC independent RIAAffiliated broker-dealer or bank to independent RIAJun 21, 2019Jun 21, 2019
Joseph Jeffry D'UrsoSpc BD affiliatedExodus Wealth, LLC independent RIAAffiliated broker-dealer or bank to independent RIAJun 6, 2019Jun 7, 2019
Brandon S AtkinsonSpc BD affiliatedPruco Securities, LLC BD affiliatedAffiliated broker-dealer or bank to anotherMay 22, 2019Sep 25, 2019 (126 d)
Megan Lynn HeatonSpc BD affiliatedLPL Financial LLC independent RIAAffiliated broker-dealer or bank to independent RIAMay 9, 2019May 14, 2019
Raymond Cripps De WittSpc BD affiliatedConcorde Asset Management, LLC BD affiliatedAffiliated broker-dealer or bank to anotherMay 6, 2019Apr 23, 2019
Dennis E NelsonSpc BD affiliatedEdward Jones national BDAffiliated broker-dealer or bank to anotherApr 26, 2019Apr 30, 2019
Jeremy Don WoodSpc BD affiliatedKestra Private Wealth Services, LLC BD affiliatedAffiliated broker-dealer or bank to anotherApr 10, 2019Apr 11, 2019
Kevin Michael PierceSpc BD affiliatedCentaurus Financial, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherMar 29, 2019Apr 9, 2019
Michael Francis ShearonSpc BD affiliatedOnedigital otherOtherFeb 1, 2019Jan 15, 2019
Michael Dennis FlynnSpc BD affiliatedOnedigital otherOtherFeb 1, 2019Jan 18, 2019
Jennifer Borowiec JonesSpc BD affiliatedOnedigital otherOtherFeb 1, 2019Jan 18, 2019
Michael Joseph ShearonSpc BD affiliatedOnedigital otherOtherFeb 1, 2019Jan 18, 2019
Joshua SmailSpc BD affiliatedKey Investment Services LLC BD affiliatedAffiliated broker-dealer or bank to anotherJan 24, 2019Mar 15, 2019 (50 d)
Marc R. StasikSpc BD affiliatedCetera Investment Advisers LLC BD affiliatedAffiliated broker-dealer or bank to anotherJan 11, 2019Feb 2, 2024 (1848 d)
Robert Louis PuzSpc BD affiliatedLPL Financial LLC independent RIAAffiliated broker-dealer or bank to independent RIAJan 7, 2019Jan 7, 2019
Paul Warholak JrSpc BD affiliatedSigma Investment Counselors independent RIAAffiliated broker-dealer or bank to independent RIADec 26, 2018Jan 9, 2019
Patrick Eugene FlynnSpc BD affiliatedWealthspire Retirement Advisory institutionalOtherDec 3, 2018Aug 27, 2024 (2094 d)
Brian Paul NaumanSpc BD affiliatedPlanmember Securities Corporation independent RIAAffiliated broker-dealer or bank to independent RIANov 13, 2018Nov 13, 2018
James Harold ColeSpc BD affiliatedLPL Financial LLC independent RIAAffiliated broker-dealer or bank to independent RIANov 7, 2018Nov 9, 2018
David Alan HerbeckSpc BD affiliatedPnc Wealth Management BD affiliatedAffiliated broker-dealer or bank to anotherNov 7, 2018Dec 3, 2018
Katherine WaltnerSpc BD affiliatedPnc Wealth Management BD affiliatedAffiliated broker-dealer or bank to anotherOct 26, 2018Nov 13, 2018
Michael Howard SpencerSpc BD affiliatedAlphastar Capital Management independent RIAAffiliated broker-dealer or bank to independent RIAOct 12, 2018Oct 12, 2018
Peter Matthew BakalisSpc BD affiliatedD.H. Hill Advisors, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAOct 3, 2018May 22, 2019 (231 d)
James Robert CarnaghiSpc BD affiliatedWaddell & Reed BD affiliatedAffiliated broker-dealer or bank to anotherSep 28, 2018Sep 28, 2018
Paul Eugene TurnerSpc BD affiliatedLPL Financial LLC independent RIAAffiliated broker-dealer or bank to independent RIAAug 1, 2018Jul 31, 2018
Bruce Alan AndersonSpc BD affiliatedCetera Investment Advisers LLC BD affiliatedAffiliated broker-dealer or bank to anotherJul 30, 2018Jul 31, 2018
Edward John MaedelSpc BD affiliatedCambridge Investment Research Advisors, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherJun 29, 2018Jan 1, 2025 (2378 d)
Cory Thomas ShiversSpc BD affiliatedCambridge Investment Research Advisors, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherMay 11, 2018May 16, 2018
Ryan BurgessSpc BD affiliatedBlue Oaks Financial, LLC unclassifiedOtherMay 8, 2018Jun 19, 2018 (42 d)
Thomas James GruszkaSpc otherLPL Financial LLC independent RIAOtherMar 2, 2018Mar 2, 2018
Marshall Mayer ShigonSpc otherMML Investors Services, LLC BD affiliatedOtherFeb 16, 2018Apr 3, 2018 (46 d)
John Douglas VanweeldenSpc otherVanweelden Wealth Management, LLC independent RIAOtherFeb 1, 2018Dec 6, 2017
Michael J RichardsonSpc otherLincoln Investment otherOtherJan 17, 2018Jan 16, 2018
Aaron Michael McandrewSpc otherLincoln Investment otherOtherJan 17, 2018Jan 17, 2018
Patrick Carl ThuemmelSpc otherNorthwest Asset Management otherOtherDec 31, 2017Jan 4, 2018
Craig Harvey TibbittsSpc otherMML Investors Services, LLC otherOtherDec 22, 2017Jan 29, 2018 (38 d)
Jeffrey Thomas KochanSpc otherHighpoint Advisor Group, LLC otherOtherDec 18, 2017Jan 1, 2018
Patrick Cary DaySpc otherAvantax Advisory Services otherOtherDec 14, 2017Dec 13, 2017
William David FrierSpc otherPathway Advisors Group no RAUMOtherDec 12, 2017Nov 10, 2017
Julianne GlasgowSpc otherStrategic Advisers LLC national BDOtherDec 4, 2017Feb 28, 2018 (86 d)
Michael SalahSpc otherCitizens Securities, Inc. BD affiliatedOtherNov 20, 2017Nov 21, 2017
James Gerard HuhnSpc otherBrookstone Capital Management LLC independent RIAOtherNov 17, 2017Nov 6, 2019 (719 d)
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620 moves match.