DFX Intelligence
Advisor moves
Departures from B. Riley Wealth 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.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Neil Francis Harnen | B. Riley Wealth Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 12, 2023 | Jul 14, 2023 |
| Joshua D Chase | B. Riley Wealth Advisors, Inc. BD affiliated | Good Life Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 27, 2023 | Aug 17, 2023 (51 d) |
| Jaime Herrera | B. Riley Wealth Advisors, Inc. BD affiliated | Alera Investment Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 14, 2023 | Jul 28, 2023 (44 d) |
| John J Benedetto | B. Riley Wealth Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 1, 2023 | Jun 7, 2023 |
| Rachel Stephens | B. Riley Wealth Advisors, Inc. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | May 23, 2023 | Jun 12, 2023 |
| Samuel Noah Tenzer | B. Riley Wealth Advisors, Inc. BD affiliated | Aegis Capital Corp. BD affiliated | Affiliated broker-dealer or bank to another | May 1, 2023 | May 1, 2023 |
| Russell Blanks Butts | B. Riley Wealth Advisors, Inc. BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Apr 5, 2023 | Mar 31, 2023 |
| Taylor Renee Nobriga | B. Riley Wealth Advisors, Inc. BD affiliated | Kimery Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 5, 2023 | Apr 17, 2023 |
| Brandon Thomas Pacilio | B. Riley Wealth Advisors, Inc. BD affiliated | Alpine Hill Advisors LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Mar 29, 2023 | Mar 28, 2023 |
| Marc Lester Goldstein | B. Riley Wealth Advisors, Inc. BD affiliated | Atcap Partners, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 15, 2023 | Aug 11, 2022 |
| Brandon Carvalho | B. Riley Wealth Advisors, Inc. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 6, 2023 | Mar 20, 2023 |
| Alfred Francis Marsicano | B. Riley Wealth Advisors, Inc. BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Jan 25, 2023 | Jan 26, 2023 |
| John J Prece | B. Riley Wealth Advisors, Inc. BD affiliated | Sagepoint Financial, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 17, 2023 | Jan 18, 2023 |
| Michael Ganaden Basco | B. Riley Wealth Advisors, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 11, 2023 | Jan 9, 2023 |
| Melissa Mary Moser | B. Riley Wealth Advisors, Inc. BD affiliated | Centennial Securities Company Inc independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 3, 2023 | Jan 20, 2023 |
| Danny Delgado | B. Riley Wealth Advisors, Inc. BD affiliated | Silver Oak Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 21, 2022 | Dec 20, 2022 |
| Rustin Jj Feldman | B. Riley Wealth Advisors, Inc. BD affiliated | Helium Advisors LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 2, 2022 | Dec 9, 2022 |
| David Charles Levine | B. Riley Wealth Advisors, Inc. BD affiliated | Arete Wealth Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 16, 2022 | Jan 19, 2023 (64 d) |
| Mark Gerard Sonntag | B. Riley Wealth Advisors, Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Nov 14, 2022 | Nov 14, 2022 |
| Julie Annette Broady | B. Riley Wealth Advisors, Inc. BD affiliated | Kingswood Wealth Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 9, 2022 | Nov 7, 2022 |
| John E Wade | B. Riley Wealth Advisors, Inc. BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 25, 2022 | Oct 26, 2022 |
| Joshua Patrick Harness | B. Riley Wealth Advisors, Inc. BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 25, 2022 | Oct 26, 2022 |
| Aaron Haskins Fiske | B. Riley Wealth Advisors, Inc. BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 25, 2022 | Oct 26, 2022 |
| Michelle B Tauchen | B. Riley Wealth Advisors, Inc. BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 25, 2022 | Oct 31, 2022 |
| Zachary Thomas Omanson | B. Riley Wealth Advisors, Inc. BD affiliated | Avantax Advisory Services BD affiliated | Affiliated broker-dealer or bank to another | Sep 30, 2022 | Oct 4, 2022 |
| Glen Thomas Omanson | B. Riley Wealth Advisors, Inc. BD affiliated | Avantax Advisory Services BD affiliated | Affiliated broker-dealer or bank to another | Sep 30, 2022 | Oct 25, 2022 |
| Gerald Wayne Howell | B. Riley Wealth Advisors, Inc. BD affiliated | Arlington Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 26, 2022 | Sep 9, 2022 |
| Andrew Harrison | B. Riley Wealth Advisors, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 23, 2022 | Oct 11, 2022 |
| Mark Howard Goldman | B. Riley Wealth Advisors, Inc. BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Sep 7, 2022 | Aug 31, 2022 |
| Jesse L Weissberger | B. Riley Wealth Advisors, Inc. BD affiliated | Atcap Partners, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 22, 2022 | Jul 22, 2022 |
| Stephen Edward Jones | B. Riley Wealth Advisors, Inc. BD affiliated | A.G.P / Alliance Global Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 22, 2022 | Jul 21, 2022 |
| Joseph Varvara | B. Riley Wealth Advisors, Inc. BD affiliated | Atcap Partners, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 22, 2022 | Jul 22, 2022 |
| Kevin Robert Smith | B. Riley Wealth Advisors, Inc. BD affiliated | Atcap Partners, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 22, 2022 | Jul 22, 2022 |
| Mai Nguyen Bresnik | B. Riley Wealth Advisors, Inc. BD affiliated | A.G.P / Alliance Global Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 22, 2022 | Jul 25, 2022 |
| Nicholas James Scaturro | B. Riley Wealth Advisors, Inc. BD affiliated | Atcap Partners, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 22, 2022 | Jul 22, 2022 |
| Carter David Mansbach | B. Riley Wealth Advisors, Inc. BD affiliated | Atcap Partners, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 21, 2022 | Nov 8, 2022 (110 d) |
| Damian Humberto Defex | B. Riley Wealth Advisors, Inc. BD affiliated | Atcap Partners, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 21, 2022 | Jul 22, 2022 |
| Kenneth Drekou | B. Riley Wealth Advisors, Inc. BD affiliated | Atcap Partners, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 21, 2022 | Aug 22, 2022 (32 d) |
| James Vincenzo Lombardo | B. Riley Wealth Advisors, Inc. BD affiliated | Atcap Partners, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 21, 2022 | Jul 28, 2022 |
| Daniel John Fred | B. Riley Wealth Advisors, Inc. BD affiliated | Atcap Partners, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 21, 2022 | Jul 26, 2022 |
| Jean Gabriel Cocinescu | B. Riley Wealth Advisors, Inc. BD affiliated | Atcap Partners, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 21, 2022 | Jul 22, 2022 |
| Farrel Alain Liger | B. Riley Wealth Advisors, Inc. BD affiliated | Atcap Partners, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 21, 2022 | Jul 22, 2022 |
| Nechemia Vallach | B. Riley Wealth Advisors, Inc. BD affiliated | A.G.P / Alliance Global Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 21, 2022 | Jul 19, 2022 |
| Scott David Shames | B. Riley Wealth Advisors, Inc. BD affiliated | A.G.P / Alliance Global Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 19, 2022 | Jul 19, 2022 |
| Anthony J Vignier | B. Riley Wealth Advisors, Inc. BD affiliated | Cadaret Grant & Co Inc BD affiliated | Affiliated broker-dealer or bank to another | Jul 18, 2022 | Aug 30, 2022 (43 d) |
| Andrew Glenn Adams | B. Riley Wealth Advisors, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 11, 2022 | Jul 15, 2022 |
| Michael John Bergin | B. Riley Wealth Advisors, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 6, 2022 | Mar 21, 2024 (624 d) |
| Samuel Alfonso Mangiapane | B. Riley Wealth Advisors, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 6, 2022 | Mar 21, 2024 (624 d) |
| Steven Russel Dietz | B. Riley Wealth Advisors, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 6, 2022 | Mar 21, 2024 (624 d) |
| Christopher Robert Armstrong | B. Riley Wealth Advisors, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 1, 2022 | Mar 21, 2024 (629 d) |
| James Alan Hoffman | B. Riley Wealth Advisors, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 1, 2022 | Mar 21, 2024 (629 d) |
| Glenn Bryan Hechler | B. Riley Wealth Advisors, Inc. BD affiliated | Stage Wealth Management, Inc. no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jun 29, 2022 | Jun 29, 2022 |
| Michael Mullane | B. Riley Wealth Advisors, Inc. BD affiliated | Stage Wealth Management, Inc. no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jun 29, 2022 | Jun 29, 2022 |
| Christopher Nicholas Caputo | B. Riley Wealth Advisors, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 21, 2022 | Mar 21, 2024 (639 d) |
| Gregory Pilla | B. Riley Wealth Advisors, Inc. BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Jun 1, 2022 | Jun 3, 2022 |
| Gizo Abuladze | B. Riley Wealth Advisors, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 1, 2022 | Jan 5, 2023 (218 d) |
| Jeffrey Orlouski | B. Riley Wealth Advisors, Inc. BD affiliated | Gladstone Wealth Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | May 23, 2022 | Jun 9, 2022 |
| Jeffrey M Davis | B. Riley Wealth Advisors, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | May 18, 2022 | May 2, 2023 (349 d) |
| Nicholas Parchinski | B. Riley Wealth Advisors, Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Apr 25, 2022 | Sep 2, 2022 (130 d) |
| Roy Elmer Mcguffin | B. Riley Wealth Advisors, Inc. BD affiliated | Kapstone Financial Advisors LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Apr 1, 2022 | Mar 29, 2022 |
474 moves match.