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
Daniel Bert O'Mealey1st Global Advisors Inc otherLPL Financial LLC otherOtherSep 30, 2010Sep 27, 2010
Mark Allen Veenstra1st Global Advisors Inc otherLPL Financial LLC otherOtherSep 30, 2010Sep 27, 2010
George Malcolm Gardner1st Global Advisors Inc otherLPL Financial LLC otherOtherSep 30, 2010Sep 27, 2010
Catherine Marie Greenspan1st Global Advisors Inc otherMorgan Stanley wirehouseOtherSep 21, 2010Oct 25, 2010 (34 d)
Richard E Yorke1st Global Advisors Inc otherLPL Financial LLC otherOtherSep 10, 2010Sep 8, 2010
Katherine Mary Keppel1st Global Advisors Inc otherRaymond James Financial Services Advisors, Inc otherOtherSep 7, 2010Sep 21, 2010
Fritzie Eileen Fine1st Global Advisors Inc otherEdward Jones national BDOtherAug 10, 2010Aug 1, 2012 (722 d)
Xerxes Lawingco Nabong1st Global Advisors Inc otherSagepoint Financial, Inc. otherOtherAug 3, 2010Jun 15, 2011 (316 d)
Philip Michael Maliniak1st Global Advisors Inc otherMaliniak & Nabong Wealth Advisory Services, LLC unclassifiedOtherAug 3, 2010Aug 6, 2010
Brandon Keith Moore1st Global Advisors Inc otherInvest Financial Corporation otherOtherJul 1, 2010Jun 16, 2010
Toni Thore Lee-Andrews1st Global Advisors Inc otherCambridge Investment Research Advisors, Inc. otherOtherJun 14, 2010Jul 1, 2010
John W Giehrl1st Global Advisors Inc otherPle Wealth Management unclassifiedOtherJun 1, 2010May 7, 2007
Barbara J Krause1st Global Advisors Inc otherJunker Financial Advisors, LLC unclassifiedOtherApr 19, 2010Feb 8, 2008
William James Bassow1st Global Advisors Inc otherMorgan Stanley wirehouseOtherApr 7, 2010Apr 12, 2010
David James Doherty1st Global Advisors Inc otherSecurian Financial Services, Inc. otherOtherApr 6, 2010May 18, 2010 (42 d)
Gary Dennis Hochman1st Global Advisors Inc otherFirst Allied Securities, Inc. otherOtherMar 10, 2010Mar 10, 2010
Nick Anthony Torres1st Global Advisors Inc otherFirst Allied Securities, Inc. otherOtherMar 10, 2010Mar 9, 2010
Shana R Ice1st Global Advisors Inc otherResource Horizons Investment Advisory, Inc. otherOtherJan 21, 2010Jan 25, 2010
Michael David Gracy1st Global Advisors Inc otherResource Horizons Investment Advisory, Inc. otherOtherDec 31, 2009Feb 12, 2010 (43 d)
Nathan M Robnett1st Global Advisors Inc otherNext Financial Group, Inc. otherOtherDec 23, 2009Jan 6, 2010
Daryl Ann Spirka1st Global Advisors Inc otherWilliams Financial, LLC independent RIAOtherDec 11, 2009Feb 20, 2015 (1897 d)
Richard Zyczkiewicz1st Global Advisors Inc otherCetera Investment Advisers LLC otherOtherDec 8, 2009Dec 14, 2012 (1102 d)
Angel Manuel Perez1st Global Advisors Inc otherQa3 Financial LLC unclassifiedOtherNov 16, 2009Dec 1, 2009
Robert John Schmitt1st Global Advisors Inc otherSc&H Wealth otherOtherNov 16, 2009Apr 29, 2009
Robin Kay Patalon1st Global Advisors Inc otherSc&H Wealth otherOtherNov 16, 2009Nov 13, 2002
Andrew Lewis Hollingsworth Thompson1st Global Advisors Inc otherSc&H Wealth otherOtherNov 16, 2009May 21, 2008
Erich Jason Schwerd1st Global Advisors Inc otherCigx, LLC state registeredOtherNov 11, 2009Aug 24, 2009
Samuel Hurst Hoppe1st Global Advisors Inc otherWoodbury Financial Services, Inc. otherOtherNov 5, 2009Oct 27, 2009
Scott Alan Whisenant1st Global Advisors Inc otherMoney Concepts Advisory Service otherOtherOct 1, 2009Oct 7, 2009
Brian D Long1st Global Advisors Inc otherVoya Financial Advisors, Inc. otherOtherOct 1, 2009Oct 7, 2009
Keith A Lewis1st Global Advisors Inc otherVoya Financial Advisors, Inc. otherOtherOct 1, 2009Nov 17, 2009 (47 d)
Brian Scott Elsey1st Global Advisors Inc otherResource Horizons Investment Advisory, Inc. otherOtherSep 18, 2009Oct 20, 2009 (32 d)
Lindsey C. Redding1st Global Advisors Inc otherEdward Jones national BDOtherAug 21, 2009Aug 24, 2009
Jorge Andres Galeano1st Global Advisors Inc otherLwi Financial Inc. otherOtherJul 22, 2009Aug 24, 2009 (33 d)
Darsi June Casey1st Global Advisors Inc otherStrategic Wealthcare Advisors, LLC state registeredOtherJul 8, 2009Jun 30, 2009
Nicola Neilon1st Global Advisors Inc otherStrategic Wealthcare Advisors, LLC state registeredOtherJul 8, 2009Feb 17, 2025 (5703 d)
Michael Douglas Gleason1st Global Advisors Inc otherWeaver Wealth Management otherOtherMay 1, 2009Apr 16, 2009
Kenneth Lee Knopf1st Global Advisors Inc otherBentley Wealth Advisors, LLC otherOtherMay 1, 2009Feb 20, 2008
Matthew Blair Burk1st Global Advisors Inc otherWaddell & Reed otherOtherApr 2, 2009Apr 29, 2009
Philip Marcus Crow1st Global Advisors Inc otherNorthwestern Mutual Investment Services,LLC otherOtherMar 19, 2009Oct 9, 2009 (204 d)
Howard Marvin Clark1st Global Advisors Inc otherChf Wealth Management, LLC state registeredOtherJan 20, 2009Aug 15, 2011 (937 d)
James Arthur Schmidt1st Global Advisors Inc otherTribeca Financial, LLC independent RIAOtherDec 31, 2008Mar 15, 2022 (4822 d)
Nicholas Anthony Giambri1st Global Advisors Inc otherTd Ameritrade, Inc. no RAUMOtherDec 31, 2008Dec 17, 2008
Deborah Wallace Anzelc1st Global Advisors Inc otherHornor, Townsend & Kent, LLC otherOtherNov 5, 2008Oct 21, 2008
Shawn Baxter1st Global Advisors Inc otherHilltop Securities Inc. otherOtherOct 16, 2008Oct 21, 2008
Christopher D Mattern1st Global Advisors Inc otherAlliance Advisory & Securities, LLC otherOtherOct 13, 2008Oct 28, 2008
Bradley Shayne Lester1st Global Advisors Inc otherEide Bailly Advisors, LLC otherOtherOct 1, 2008Oct 7, 2008
Jeffrey Lee Ou Baty1st Global Advisors Inc otherEide Bailly Advisors, LLC otherOtherOct 1, 2008Oct 8, 2008
Jeffrey Todd Lester1st Global Advisors Inc otherEide Bailly Advisors, LLC otherOtherOct 1, 2008Oct 9, 2008
Scott Summerford1st Global Advisors Inc otherWells Fargo Advisors wirehouseOtherAug 15, 2008May 19, 2026 (6486 d)
Larry Dale Worden1st Global Advisors Inc otherAvantax Advisory Services otherOtherJul 7, 2008Jul 16, 2008
Robert Philip Renshaw1st Global Advisors Inc otherAepg Wealth Strategies otherOtherJul 2, 2008Aug 6, 2008 (35 d)
Jack Edward Armstrong1st Global Advisors Inc otherStambaugh Ness Financial Strategies unclassifiedOtherJul 1, 2008Aug 17, 2005
Paul Daniel Brick1st Global Advisors Inc otherStambaugh Ness Financial Strategies unclassifiedOtherJul 1, 2008Jan 20, 2006
Brian Charles Connally1st Global Advisors Inc otherAvantax Advisory Services otherOtherJun 30, 2008Jan 12, 2010 (561 d)
Kari Jean Gervais1st Global Advisors Inc otherVoya Financial Advisors, Inc. otherOtherJun 30, 2008Aug 26, 2009 (422 d)
Audrey Bieber Drossner1st Global Advisors Inc otherSc&H Wealth otherOtherJun 25, 2008Oct 10, 2006
Nancy P Garrison1st Global Advisors Inc otherNorthwestern Mutual Investment Services,LLC otherOtherJun 17, 2008Jul 30, 2008 (43 d)
Daniel Dean Ross1st Global Advisors Inc otherLiberty Wealth Management, LLC otherOtherJun 13, 2008Jun 18, 2008
Ward Wesley Molen1st Global Advisors Inc otherInvestors Capital Advisory otherOtherJun 5, 2008Jun 10, 2008
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456 moves match.