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
Dustin McdonaldSpc otherWoodbury Financial Services, Inc. BD affiliatedOtherNov 1, 2017Dec 5, 2017 (34 d)
Joe Rowland BashamSpc otherOsaic Wealth, Inc. otherOtherOct 23, 2017Oct 24, 2017
Taylor Desmond AshlandSpc otherDiversify Advisory Services, LLC BD affiliatedOtherOct 20, 2017Jan 6, 2025 (2635 d)
Lewis Matthew YoungSpc otherNewedge Advisors otherOtherOct 3, 2017Oct 2, 2017
Kevin Edward LooserSpc otherVestgen Investment Management independent RIAOtherOct 2, 2017Jan 17, 2019 (472 d)
Stephen Alexander Kim Sin BelascoSpc otherBancwest Investment Services, Inc. (Bwis) otherOtherSep 28, 2017Oct 4, 2017
Angela Marie BourgeoisSpc otherRaymond James & Associates, Inc. national BDOtherSep 27, 2017Oct 2, 2017
Joshua Thomas FoxSpc otherSecurities America Advisors, Inc. otherOtherSep 18, 2017Sep 15, 2017
Albin Bruce CampbellSpc otherSecurities America Advisors, Inc. otherOtherAug 23, 2017Aug 23, 2017
Adam BlockiSpc otherA Smarter Way To Invest no RAUMOtherAug 3, 2017Aug 2, 2017
Robert Baucum AnglinSpc otherInvestment Centers Of America, Inc. otherOtherJul 31, 2017Aug 1, 2017
Nancy Karen NelsonSpc otherInvestment Centers Of America, Inc. otherOtherJul 31, 2017Aug 1, 2017
Thomas Johnson PaupSpc otherAvantax Advisory Services otherOtherJul 31, 2017Jul 28, 2017
Arthur Martinez MojaresSpc otherCambridge Investment Research Advisors, Inc. otherOtherJun 30, 2017Jul 5, 2017
George Robert PlockSpc otherThrive Capital Management, LLC independent RIAOtherJun 22, 2017Jul 28, 2017 (36 d)
Troy Scott HeningtonSpc otherHaydenrock Portfolios LLC unclassifiedOtherJun 20, 2017Aug 4, 2017 (45 d)
Bruce Michael DevoogdSpc otherIp Financial Advisory Services LLC independent RIAOtherJun 19, 2017Jan 9, 2020 (934 d)
David Allen RhodesSpc otherScf Investment Advisors, Inc. otherOtherJun 15, 2017Jun 14, 2017
Lonnie D MclaneSpc otherIp Financial Advisory Services LLC independent RIAOtherMay 30, 2017Feb 1, 2020 (977 d)
Keith W KohoutSpc otherVaultis Private Wealth Ltd state registeredOtherMay 11, 2017May 11, 2017
Nancy Louise Roach-WilderSpc otherPruco Securities, LLC otherOtherApr 24, 2017May 18, 2017
Brian Bennett SmithSpc otherCambridge Investment Research Advisors, Inc. otherOtherApr 13, 2017Apr 13, 2017
Bryan Michael MastenSpc otherCambridge Investment Research Advisors, Inc. otherOtherApr 13, 2017Apr 13, 2017
Avery Joseph HasenauerSpc otherCreative Financial Designs, Inc. otherOtherFeb 15, 2017Feb 16, 2017
Grady HoltSpc otherPrincipal Securities, Inc. otherOtherJan 23, 2017Jan 27, 2017
Richard Ignatius ShaheenSpc otherCambridge Investment Research Advisors, Inc. otherOtherJan 19, 2017Jan 19, 2017
Anthony John RighiSpc otherCambridge Investment Research Advisors, Inc. otherOtherJan 19, 2017Jan 19, 2017
Brian Lee AndersonSpc otherRaymond James Financial Services Advisors, Inc otherOtherJan 19, 2017Feb 8, 2017
Rebecca Pearson MartinSpc otherDunham otherOtherNov 10, 2016Jan 13, 2017 (64 d)
Biniam KeletaSpc otherWestpark Wealth Advisors, Inc. otherOtherOct 28, 2016Oct 27, 2016
David Lawrence CoulterSpc otherOsaic Institutions, Inc. otherOtherOct 3, 2016Oct 11, 2016
John Michael CoxSpc otherLegacy Advance Solutions LLC unclassifiedOtherSep 22, 2016Sep 23, 2016
Enoch Carter MorrisSpc otherAtticus Asset Management, LLC unclassifiedOtherSep 16, 2016Sep 15, 2016
Travis Clark PasmaSpc otherCuso Financial Services, L.P. otherOtherSep 15, 2016Sep 19, 2016
Sherry Lee SalamoneSpc otherCliftonlarsonallen Wealth Advisors, LLC otherOtherJul 1, 2016Jul 12, 2016
Corey Daniel ArnoSpc otherInvestment Centers Of America, Inc. otherOtherJun 27, 2016Feb 16, 2017 (234 d)
Daniel David EllisSpc otherWestern Wealth Management LLC otherOtherMay 4, 2016May 4, 2016
Stan Carroll EmerySpc otherNavigation Wealth Management independent RIAOtherApr 25, 2016Apr 26, 2016
James W DaviesSpc otherNavigation Wealth Management independent RIAOtherApr 25, 2016Apr 26, 2016
Nicholas Dean KempSpc otherNavigation Wealth Management independent RIAOtherApr 25, 2016Apr 26, 2016
Andrew Phillip LogueSpc otherNavigation Wealth Management independent RIAOtherApr 25, 2016Apr 26, 2016
Chad Edward HenrySpc otherRaymond James Financial Services Advisors, Inc otherOtherApr 15, 2016Apr 25, 2016
Troy Albert OatesSpc otherRaymond James Financial Services Advisors, Inc otherOtherApr 15, 2016Apr 25, 2016
Jessica Ann EdmondsSpc otherInvestment Professionals, Inc. otherOtherMar 21, 2016May 11, 2016 (51 d)
Richard Albert WilsonSpc otherCreative Financial Designs, Inc. otherOtherMar 1, 2016Nov 11, 2016 (255 d)
Timothy Mark ScholtenSpc otherRaymond James Financial Services Advisors, Inc otherOtherFeb 22, 2016Feb 26, 2016
Adam Edward BruninSpc otherNavigation Wealth Management independent RIAOtherFeb 22, 2016Apr 5, 2016 (43 d)
Joshua Tyler ShankSpc otherFifth Third Securities, Inc. otherOtherFeb 9, 2016Mar 18, 2016 (38 d)
Albert Tyler TynesSpc otherWaddell & Reed otherOtherFeb 1, 2016Feb 3, 2016
James Warren VassasSpc otherCairn Investor Services state registeredOtherJan 26, 2016Jan 30, 2026 (3657 d)
Michael Grant SimptonSpc otherParkstone Wealth Management, LLC otherOtherJan 5, 2016Jan 11, 2016
Jason Tyler WendtSpc otherE*Trade Capital Management, LLC otherOtherJan 4, 2016Jan 8, 2016
Robert Alan ParkerSpc otherHorter Investment Management, LLC otherOtherDec 31, 2015Jan 29, 2016
David Daniel HarrisSpc otherAllegis Investment Advisors, LLC otherOtherDec 31, 2015Jan 5, 2016
Mark Waldo GraberSpc otherSound Income Strategies, LLC otherOtherDec 17, 2015Dec 1, 2015
Jonna Doris KellerSpc otherSagepoint Financial, Inc. otherOtherDec 7, 2015Dec 7, 2015
Jonathan Drew KellerSpc otherSagepoint Financial, Inc. otherOtherDec 7, 2015Jan 5, 2015
Lindsay Anne CameronSpc otherGradient Wealth Management otherOtherDec 4, 2015Dec 3, 2015
Laurie Jean OrtmanSpc otherAmeriprise Financial Services, LLC national BDOtherNov 30, 2015Nov 30, 2015
John L. SwandaSpc otherAmeriprise Financial Services, LLC national BDOtherNov 30, 2015Nov 30, 2015
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620 moves match.