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 Cg Advisory Services

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
Eugene NacciCg Advisory Services independent RIAOppenheimer & Co. Inc. BD affiliatedRIA to affiliated broker-dealer or bankDec 21, 2018Dec 17, 2018
Brittney Michelle MillerCg Advisory Services independent RIAButcherjoseph Asset Management, LLC unclassifiedOtherNov 14, 2018Nov 27, 2018
Steven HarrisonCg Advisory Services independent RIABmo Harris Financial Advisors, Inc BD affiliatedRIA to affiliated broker-dealer or bankSep 5, 2018Sep 24, 2018
Jamie AlwordenCg Advisory Services independent RIAM Holdings Securities, Inc. BD affiliatedRIA to affiliated broker-dealer or bankJun 27, 2018May 7, 2024 (2141 d)
Pedro L TorresCg Advisory Services independent RIAPrincipal Securities, Inc. BD affiliatedRIA to affiliated broker-dealer or bankMay 3, 2018Jul 3, 2018 (61 d)
Jacob Kelly SandersCg Advisory Services independent RIAWealth Enhancement & Preservation independent RIARIA to RIAApr 2, 2018Mar 30, 2018
James Brendahl WestwoodCg Advisory Services otherRoyal Oak Financial Advisors, LLC independent RIAOtherMar 8, 2018Mar 28, 2018
Paul Edgar EricksonCg Advisory Services otherRoyal Oak Financial Advisors, LLC independent RIAOtherMar 8, 2018Dec 5, 2017
Clinton Deshawn WardCg Advisory Services otherAllstate Financial Advisors, LLC BD affiliatedOtherFeb 15, 2018Aug 17, 2018 (183 d)
Brian Richard BranchCg Advisory Services otherRoyal Oak Financial Advisors, LLC independent RIAOtherFeb 2, 2018Jan 1, 2025 (2525 d)
Robert Charles MulcahyCg Advisory Services otherInvest Financial Corporation otherOtherNov 20, 2017Sep 15, 2011
Shannon Scott CarsonCg Advisory Services otherMonticello Investment Services, Inc. otherOtherMay 12, 2017Apr 24, 2013
Victor Gabriel BoltniewCg Advisory Services otherCapital Retirement Planning, LLC state registeredOtherMay 12, 2017May 4, 2017
Scott Andrew BrownCg Advisory Services otherUnderdog Wealth Management, LLC independent RIAOtherMay 1, 2017Dec 5, 2014
Thomas Charles SchauderCg Advisory Services otherTruist Advisory Services, Inc. BD affiliatedOtherMay 1, 2017Jan 5, 2023 (2075 d)
Richard Allen BeanCg Advisory Services otherMotiv8 Investments LLC no RAUMOtherMar 28, 2017Feb 13, 2017
David Parker HughesCg Advisory Services otherThe Fiduciary Alliance no RAUMOtherMar 28, 2017Sep 23, 2016
Stuart Sommerville CanzeriCg Advisory Services otherThe Fiduciary Alliance no RAUMOtherMar 28, 2017Sep 23, 2016
Ryan Patrick TracyCg Advisory Services otherFiducient Advisors LLC independent RIAOtherMar 28, 2017May 14, 2018 (412 d)
David Dennis PetersCg Advisory Services otherArrow Financial Group state registeredOtherMar 8, 2017Mar 13, 2017
Lauren Ashleigh RosbergCg Advisory Services otherSound Income Strategies, LLC otherOtherFeb 20, 2017Jan 19, 2017
Gary Robert KomarekCg Advisory Services otherSound Income Strategies, LLC otherOtherFeb 20, 2017Jul 7, 2016
Clinton Deshawn WardCg Advisory Services otherAllstate Financial Advisors, LLC no RAUMOtherOct 18, 2016Jan 10, 2017 (84 d)
Joseph PanfilCg Advisory Services otherInvest Financial Corporation otherOtherJan 26, 2016Mar 24, 2011
Robert Wayne StitesCg Advisory Services otherBlue Water Asset Management no RAUMOtherSep 2, 2015Jul 2, 2015
Richard Lee StitesCg Advisory Services otherBlue Water Asset Management no RAUMOtherSep 2, 2015Jul 2, 2015
Theodore Michael TerzianCg Advisory Services otherInvest Financial Corporation otherOtherAug 31, 2015Feb 17, 2012
Jay William GreerCg Advisory Services otherBlue Water Asset Management no RAUMOtherJul 9, 2015May 19, 2015
Mark Sid RedfieldCg Advisory Services otherBlue Water Asset Management no RAUMOtherJul 8, 2015Mar 19, 2015
David Michael TerollerCg Advisory Services otherBlue Water Asset Management no RAUMOtherJul 8, 2015Mar 19, 2015
Cody James LewisCg Advisory Services otherBrookstone Wealth Advisors, LLC otherOtherApr 30, 2015Sep 12, 2014
Ryan Joseph MccartyCg Advisory Services otherTrac Asset Management LLC state registeredOtherApr 30, 2015Apr 7, 2016 (343 d)
David Andrew BrooksCg Advisory Services otherBroadpoint Financial, LLC unclassifiedOtherNov 12, 2014Jul 24, 2014
Randolph Thomas RedmondCg Advisory Services otherCambridge Investment Research Advisors, Inc. otherOtherMay 6, 2014May 2, 2014
Krista Dawn McbeathCg Advisory Services otherMcbeath Financial Group independent RIAOtherJun 14, 2013Jun 17, 2013
Keith MotuseskyCg Advisory Services otherAllstate Financial Advisors, LLC no RAUMOtherApr 16, 2012Apr 11, 2012
Ryan RileyCg Advisory Services otherChase Investment Services Corp. otherOtherDec 14, 2010Feb 16, 2011 (64 d)
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97 moves match.