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
Joshua David Chapin	Spc other	Emerson Equity LLC other	Other	Nov 13, 2015	Nov 13, 2015
Kingston Julio Wong	Spc other	Foresters Equity Services, Inc. other	Other	Nov 9, 2015	Jan 5, 2016 (57 d)
Matthew David Martin	Spc other	Retirement Plan Advisors, LLC other	Other	Nov 9, 2015	Nov 16, 2015
Peter Joseph Market	Spc other	Cambridge Investment Research Advisors, Inc. other	Other	Oct 29, 2015	Oct 29, 2015
Timothy Charles Parros	Spc other	Woodbury Financial Services, Inc. other	Other	Oct 21, 2015	Nov 12, 2015
Philip Kwon Hoa Cheng	Spc other	Bancwest Investment Services, Inc. (Bwis) other	Other	Sep 16, 2015	Sep 25, 2015
Kevin Vincent Cooney	Spc other	Rothschild Wealth LLC other	Other	Sep 11, 2015	Sep 15, 2015
Laurie Ann Ellis-Mcleod	Spc other	Investors Capital Advisory other	Other	Sep 1, 2015	Sep 1, 2015
Mauricio Sanchez	Spc other	Pnc Managed Account Solutions, Inc. other	Other	Aug 28, 2015	Nov 5, 2015 (69 d)
Brett Jackson	Spc other	Rehmann Wealth other	Other	Jul 10, 2015	Jul 31, 2015
Richard Kendall Hawes	Spc other	Cambridge Investment Research Advisors, Inc. other	Other	Jun 2, 2015	Jun 4, 2015
G Scott Diddel	Spc other	Questar Asset Management, Inc. other	Other	May 4, 2015	May 1, 2015
Daniel Patrick Kuczero	Spc other	T2 Asset Management, LLC independent RIA	Other	May 4, 2015	May 5, 2015
Charles Joseph Doran	Spc other	Questar Asset Management, Inc. other	Other	May 4, 2015	May 1, 2015
Gregg William Huxley	Spc other	Forthright Capital LLC unclassified	Other	Apr 30, 2015	May 4, 2015
Theodore M Moyer	Spc other	J. W. Cole Advisors, Inc. other	Other	Mar 31, 2015	Apr 9, 2015
Robert Jude Lane	Spc other	Cetera Investment Advisers LLC BD affiliated	Other	Mar 18, 2015	Mar 21, 2024 (3291 d)
James Marion Nelson	Spc other	Lineweaver Wealth Advisors other	Other	Mar 5, 2015	Mar 13, 2015
Ryan Conrad Bates	Spc other	Lineweaver Wealth Advisors other	Other	Mar 5, 2015	Jul 14, 2015 (131 d)
Randall John Mason	Spc other	Cetera Investment Advisers LLC BD affiliated	Other	Feb 17, 2015	Mar 21, 2024 (3320 d)
Lee Travis Claymore	Spc other	Cetera Investment Advisers LLC BD affiliated	Other	Feb 17, 2015	Mar 21, 2024 (3320 d)
Mark Wallace Johnson	Spc other	Optimum Investment Advisors, LLC other	Other	Feb 16, 2015	Feb 20, 2015
James Sheldon Lineweaver	Spc other	Lineweaver Wealth Advisors no RAUM	Other	Feb 5, 2015	Feb 2, 2015
Brian David Koch	Spc other	Lineweaver Wealth Advisors no RAUM	Other	Feb 5, 2015	Feb 4, 2015
Mark Robert Niederhelman	Spc other	Lineweaver Wealth Advisors no RAUM	Other	Feb 5, 2015	Feb 4, 2015
Norman Trent Bradshaw	Spc other	Cambridge Investment Research Advisors, Inc. other	Other	Feb 4, 2015	Feb 3, 2015
David Stephen Toeppe	Spc other	Cambridge Investment Research Advisors, Inc. other	Other	Feb 4, 2015	Feb 3, 2015
Danielle Leigh Delongchamp	Spc other	J. W. Cole Advisors, Inc. other	Other	Jan 26, 2015	Feb 10, 2015
David Gerald Judge	Spc other	Advisory Services Network other	Other	Jan 2, 2015	Jan 6, 2015
Gabriel Sandler	Spc other	Avantax Advisory Services other	Other	Dec 1, 2014	Sep 1, 2016 (640 d)
Jerome Sanford Anderson	Spc other	Cuna Brokerage Services, Inc. other	Other	Nov 17, 2014	Nov 25, 2014
Randy Eugene Smith	Spc other	Brookstone Wealth Advisors, LLC other	Other	Nov 17, 2014	Feb 13, 2015 (88 d)
William Donselle Warner	Spc other	Gradient Advisors, LLC independent RIA	Other	Nov 7, 2014	Jan 1, 2025 (3708 d)
Kylee Mohammed	Spc other	Ameriprise Financial Services, LLC national BD	Other	Oct 27, 2014	Nov 5, 2014
Paul Gordon Ewell	Spc other	Vantage Point Investments, Inc. state registered	Other	Oct 24, 2014	Oct 23, 2014
John F. Furjanic	Spc other	Valic Financial Advisors, Inc. other	Other	Oct 3, 2014	Oct 10, 2014
Brian Keith Schultz	Spc other	Cambridge Investment Research Advisors, Inc. other	Other	Oct 1, 2014	Oct 1, 2014
Matthew C Hess	Spc other	Vantage Point Investments, Inc. state registered	Other	Sep 26, 2014	Sep 29, 2014
Scott Allen Langguth	Spc other	Strategic Finance & Management, LLC state registered	Other	Aug 27, 2014	Sep 8, 2014
Keith Wallace Duncan	Spc other	Investacorp Advisory Services Inc other	Other	Aug 19, 2014	Aug 19, 2014
Richard Paul Sabo	Spc other	J. W. Cole Advisors, Inc. other	Other	Aug 14, 2014	Aug 18, 2014
Lloyd Patrick Hebert	Spc other	Questar Asset Management, Inc. other	Other	Aug 7, 2014	Aug 7, 2014
Micah Lee Hanson	Spc other	Investment Professionals, Inc. other	Other	Aug 1, 2014	Aug 13, 2014
Carl Monroe Mook	Spc other	Brookstone Capital Management LLC other	Other	Jul 14, 2014	Jul 18, 2014
Ivan Havrylyan	Spc other	Securities America Advisors, Inc. other	Other	Jul 1, 2014	Jun 30, 2014
Gary James Sipos	Spc other	Horter Investment Management, LLC other	Other	Jun 27, 2014	Aug 27, 2014 (61 d)
Paul Joseph Puro	Spc other	Cambridge Investment Research Advisors, Inc. other	Other	Jun 24, 2014	Jun 24, 2014
Jeremy Grant Frazie	Spc other	Cambridge Investment Research Advisors, Inc. other	Other	Jun 4, 2014	Jun 4, 2014
Ryan L Depaola	Spc other	J.P. Morgan Securities LLC wirehouse	Other	Jun 3, 2014	Jun 11, 2014
Michael Frederick Myers	Spc other	LPL Financial LLC other	Other	Jun 2, 2014	Jun 16, 2014
Ryan Christopher Hoff	Spc other	Ameriprise Financial Services, LLC national BD	Other	Jun 2, 2014	Jun 2, 2014
Carl E Mcclurg	Spc other	Cambridge Investment Research Advisors, Inc. other	Other	May 29, 2014	May 29, 2014
John Thomas Halterman	Spc other	Cambridge Investment Research Advisors, Inc. other	Other	May 23, 2014	May 28, 2014
Keith David Dumas	Spc other	Cambridge Investment Research Advisors, Inc. other	Other	May 23, 2014	Jun 2, 2014
Robert Louis Wink	Spc other	Summit Financial Working With People You Trust independent RIA	Other	Apr 30, 2014	May 26, 2011
Kenneth Robert Wink	Spc other	Summit Financial Working With People You Trust independent RIA	Other	Apr 30, 2014	Dec 1, 2010
James David Wink	Spc other	Summit Financial Working With People You Trust independent RIA	Other	Apr 30, 2014	Dec 1, 2010
James Anthony Serratelli	Spc other	Questar Asset Management, Inc. other	Other	Apr 17, 2014	Apr 11, 2014
Peggy-Sue Marie Mcnier	Spc other	Advice And Planning Services other	Other	Mar 31, 2014	Apr 30, 2014
Robert David Rumsey	Spc other	Raymond James Financial Services Advisors, Inc other	Other	Mar 14, 2014	Mar 19, 2014

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620 moves match.