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 1st Global Advisors Inc

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
Marcus Matthew Bauman1st Global Advisors Inc otherInteractive Financial Advisors otherOtherOct 19, 2012Jul 30, 2013 (284 d)
Michael A Rodriguez1st Global Advisors Inc otherWfg Advisors, LP otherOtherOct 1, 2012Jan 28, 2013 (119 d)
Kevin Neil Roberts1st Global Advisors Inc otherLifetime Wealth Design LLC state registeredOtherSep 20, 2012Sep 20, 2012
Zahir N Noormohamed1st Global Advisors Inc otherAvantax Advisory Services otherOtherSep 10, 2012Sep 6, 2012
Jacob Chant Roberie1st Global Advisors Inc otherAvantax Advisory Services BD affiliatedOtherSep 10, 2012Nov 18, 2019 (2625 d)
Michael Thomas Meehan1st Global Advisors Inc otherNew England Securities Corporation otherOtherSep 4, 2012Sep 4, 2012
Dawn Eisele Parks1st Global Advisors Inc otherLPL Financial LLC otherOtherAug 6, 2012Oct 1, 2012 (56 d)
Scott Howell Parker1st Global Advisors Inc otherCharles Schwab & Co., Inc. national BDOtherAug 2, 2012Aug 14, 2012
Charles Mcclard Porter1st Global Advisors Inc otherSsn Advisory, Inc. otherOtherJul 13, 2012Jul 13, 2012
Emily Elizabeth Ferguson1st Global Advisors Inc otherKey Investment Services LLC otherOtherMay 29, 2012May 12, 2014 (713 d)
Denise Yvonne Scharfenberger1st Global Advisors Inc otherLPL Financial LLC otherOtherMay 17, 2012Jun 14, 2013 (393 d)
Gregory Scott Barker1st Global Advisors Inc otherPk Financial Strategies, LLC unclassifiedOtherMay 3, 2012May 26, 2011
Adriel Bonet1st Global Advisors Inc otherWfg Advisors, LP otherOtherApr 17, 2012Apr 16, 2012
Alan Preston Canine1st Global Advisors Inc otherMomentum Independent Network Inc. otherOtherFeb 7, 2012Feb 3, 2012
Raymond Taylor Hines1st Global Advisors Inc otherTriad Advisors, LLC otherOtherFeb 2, 2012Feb 2, 2012
Janice Nadine Borsch1st Global Advisors Inc otherAvantax Advisory Services otherOtherDec 31, 2011Mar 8, 2012 (68 d)
Jerry Lee Brouwer1st Global Advisors Inc otherCetera Investment Advisers LLC otherOtherDec 31, 2011Apr 10, 2012 (101 d)
Mark Stevan Guillod1st Global Advisors Inc otherCapital Synergy Partners independent RIAOtherDec 31, 2011Feb 4, 2012 (35 d)
Melinda B Gaertner1st Global Advisors Inc otherLPL Financial LLC otherOtherDec 23, 2011Jan 31, 2012 (39 d)
Jeffrey Easterday1st Global Advisors Inc otherEpiphany Financial Coaching state registeredOtherDec 21, 2011Jun 8, 2021 (3457 d)
Larry Vance Parman1st Global Advisors Inc otherMsi Financial Services, Inc. otherOtherDec 21, 2011Apr 16, 2012 (117 d)
Donna Carol Gestl1st Global Advisors Inc otherProsperity - An Eisneramper Company otherOtherDec 19, 2011Mar 2, 2005
William Clement Martin1st Global Advisors Inc otherProsperity - An Eisneramper Company otherOtherDec 19, 2011Jun 26, 2008
Donald Nathan Hoffman1st Global Advisors Inc otherProsperity - An Eisneramper Company independent RIAOtherDec 19, 2011Mar 25, 2021 (3384 d)
Andrew William St.John1st Global Advisors Inc otherEquitable Advisors, LLC national BDOtherDec 16, 2011Dec 19, 2012 (369 d)
Alex Gelb1st Global Advisors Inc otherNorthwestern Mutual Investment Services,LLC otherOtherDec 9, 2011Jan 18, 2012 (40 d)
Craig Joseph Attanasio1st Global Advisors Inc otherCetera Investment Advisers LLC otherOtherDec 5, 2011Dec 2, 2011
Richard Neil Chamberlain1st Global Advisors Inc otherSunbelt Securities independent RIAOtherNov 28, 2011Dec 17, 2018 (2576 d)
Keith Fredrick Novak1st Global Advisors Inc otherPersonal Financial Group otherOtherNov 3, 2011Oct 19, 2012 (351 d)
Elizabeth Lanier Mccormack1st Global Advisors Inc otherMorgan Stanley wirehouseOtherNov 3, 2011Feb 8, 2012 (97 d)
Misty Busam1st Global Advisors Inc otherSimply Money Advisors otherOtherOct 31, 2011Jan 19, 2012 (80 d)
Kevin J Barnett1st Global Advisors Inc otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherSep 23, 2011Oct 13, 2011
Paul Michael Purcell1st Global Advisors Inc otherCetera Investment Advisers LLC BD affiliatedOtherSep 19, 2011Jun 29, 2023 (4301 d)
Michael Anthony Livingston1st Global Advisors Inc otherSecurities America Advisors, Inc. otherOtherSep 19, 2011Jan 5, 2012 (108 d)
Homer Scoville Smith1st Global Advisors Inc otherAmeriprise Financial Services, LLC national BDOtherAug 31, 2011Aug 19, 2011
Michael Anthony Lizon1st Global Advisors Inc otherAmeriprise Financial Services, LLC national BDOtherAug 31, 2011Oct 26, 2011 (56 d)
Kyle L Walker1st Global Advisors Inc otherWells Fargo Advisors wirehouseOtherAug 12, 2011Aug 18, 2011
Bryan E Spencer1st Global Advisors Inc otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherJul 23, 2011Oct 20, 2011 (89 d)
Alan Abraham Zwicker1st Global Advisors Inc otherNorthwestern Mutual Investment Services,LLC otherOtherJun 6, 2011Dec 1, 2011 (178 d)
Deborah Alexander Rolland1st Global Advisors Inc otherInvestment Professionals, Inc. otherOtherMay 24, 2011May 16, 2011
David Paul Folino1st Global Advisors Inc otherSummit Financial Group Inc otherOtherApr 4, 2011Apr 1, 2011
David Bradley Hooks1st Global Advisors Inc otherSummit Financial Group Inc otherOtherApr 4, 2011Apr 1, 2011
Christopher Lee Giles Tave1st Global Advisors Inc otherUsaa Financial Planning Services no RAUMOtherMar 30, 2011Jun 1, 2011 (63 d)
Robert Thomas Taylor1st Global Advisors Inc otherTaylor & Morgan Asset Management, LLC D/B/A Tm Advisors, L independent RIAOtherMar 22, 2011Mar 18, 2011
Sarah Marie Slattery1st Global Advisors Inc otherWealthvalues, LLC otherOtherFeb 26, 2011Aug 10, 2012 (531 d)
Kenneth Gordon Duncan1st Global Advisors Inc otherUsaa Financial Planning Services no RAUMOtherFeb 25, 2011May 4, 2011 (68 d)
Gary Richard Loduca1st Global Advisors Inc otherAvantax Advisory Services otherOtherFeb 25, 2011Mar 31, 2011 (34 d)
Jaime Tadashi Fukumae1st Global Advisors Inc otherFoothill Securities, Inc. otherOtherJan 19, 2011Jan 19, 2011
Sally Marie Jermain1st Global Advisors Inc otherFoothill Securities, Inc. otherOtherJan 19, 2011Jan 19, 2011
Rachel B Keisling1st Global Advisors Inc otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherJan 14, 2011Oct 3, 2011 (262 d)
Nancy Ann Pyzel1st Global Advisors Inc otherOsaic Wealth, Inc. otherOtherJan 13, 2011Jan 11, 2011
Dale Alan Bender1st Global Advisors Inc otherEagle Strategies LLC otherOtherDec 31, 2010Feb 29, 2012 (425 d)
Bassim Nabil Michael1st Global Advisors Inc otherScf Investment Advisors, Inc. otherOtherDec 31, 2010Jan 3, 2011
David Mitchell Rivlin1st Global Advisors Inc otherLPL Financial LLC otherOtherDec 21, 2010Dec 15, 2010
James Corter Glennon1st Global Advisors Inc otherG&S Wealth Management LLC state registeredOtherDec 21, 2010Jan 21, 2011 (31 d)
Joshua Michael Rivlin1st Global Advisors Inc otherLPL Financial LLC otherOtherDec 21, 2010Dec 15, 2010
Aaron Michael Puckett1st Global Advisors Inc otherLPL Financial LLC otherOtherDec 10, 2010Dec 15, 2010
Mark Edward Deily1st Global Advisors Inc otherDeimark Corp state registeredOtherNov 5, 2010Sep 28, 2017 (2519 d)
John Matthew Parsons1st Global Advisors Inc otherParsons Financial Advisors, Inc. unclassifiedOtherOct 5, 2010Nov 9, 2004
John William Parsons1st Global Advisors Inc otherFoothill Securities, Inc. otherOtherOct 5, 2010Oct 4, 2010
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456 moves match.