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 Investment Advisors Corp

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
Thomas Edward SherzanInvestment Advisors Corp BD affiliatedVoya Financial Advisors, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherNov 1, 2018Feb 20, 2019 (111 d)
Kristi Lynn MignanoInvestment Advisors Corp BD affiliatedVoya Financial Advisors, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherOct 20, 2018Nov 2, 2018
Alec L NielsenInvestment Advisors Corp BD affiliatedWells Fargo Advisors wirehouseAffiliated broker-dealer or bank to wirehouseOct 20, 2018Jun 1, 2023 (1685 d)
Ronald B DoweidtInvestment Advisors Corp BD affiliatedIntegrity Alliance, LLC independent RIAAffiliated broker-dealer or bank to independent RIAOct 19, 2018Nov 12, 2018
Bryan M RiggInvestment Advisors Corp BD affiliatedCantella & Co., Inc. BD affiliatedAffiliated broker-dealer or bank to anotherOct 19, 2018Oct 19, 2018
Travis Christopher BabbInvestment Advisors Corp BD affiliatedBabb Wealth Advisors LLC independent RIAAffiliated broker-dealer or bank to independent RIAOct 19, 2018Oct 19, 2018
Kathleen Marie SchroederInvestment Advisors Corp BD affiliatedBabb Wealth Advisors LLC independent RIAAffiliated broker-dealer or bank to independent RIAOct 19, 2018Oct 19, 2018
Michael Joseph FrischmeyerInvestment Advisors Corp BD affiliatedBfc Planning, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherOct 19, 2018Feb 14, 2019 (118 d)
Brandon Scott SlaughterInvestment Advisors Corp BD affiliatedLPL Financial LLC independent RIAAffiliated broker-dealer or bank to independent RIAOct 15, 2018Oct 12, 2018
Daniel Christopher ZebrowskiInvestment Advisors Corp BD affiliatedSpc BD affiliatedAffiliated broker-dealer or bank to anotherOct 12, 2018Oct 17, 2018
Scott Dale CarmonyInvestment Advisors Corp BD affiliatedLPL Financial LLC independent RIAAffiliated broker-dealer or bank to independent RIAOct 12, 2018Oct 22, 2018
Grant William De VriesInvestment Advisors Corp BD affiliatedOsaic Institutions, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherOct 12, 2018Oct 11, 2018
David James JarvillInvestment Advisors Corp BD affiliatedOsaic Institutions, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherOct 11, 2018Oct 11, 2018
Kathryn E KraftInvestment Advisors Corp BD affiliatedKraft Financial, LLC state registeredAffiliated broker-dealer or bank to a state-registered adviserOct 8, 2018Oct 5, 2018
Scott T EtzelInvestment Advisors Corp BD affiliatedBfc Planning, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherSep 24, 2018Sep 25, 2018
Matthew Edward PowellInvestment Advisors Corp BD affiliatedLasalle St. Investment Advisors, L.L.C. BD affiliatedAffiliated broker-dealer or bank to anotherSep 17, 2018Sep 14, 2018
Barbara Yvonne KleinInvestment Advisors Corp BD affiliatedSummit Financial Group Inc BD affiliatedAffiliated broker-dealer or bank to anotherSep 10, 2018Sep 10, 2018
Cheryl L BattungInvestment Advisors Corp BD affiliatedSummit Financial Group Inc BD affiliatedAffiliated broker-dealer or bank to anotherSep 10, 2018Sep 10, 2018
Gary Wayne BilyeuInvestment Advisors Corp BD affiliatedIndependent Wealth Network, Inc. independent RIAAffiliated broker-dealer or bank to independent RIASep 4, 2018Sep 4, 2018
David Linton RiggInvestment Advisors Corp BD affiliatedIndependent Wealth Network, Inc. independent RIAAffiliated broker-dealer or bank to independent RIASep 4, 2018Aug 31, 2018
Russell John KramerInvestment Advisors Corp BD affiliatedIndependent Wealth Network, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAAug 27, 2018Aug 23, 2018
Robert Joseph BlazejewskiInvestment Advisors Corp BD affiliatedLPL Financial LLC independent RIAAffiliated broker-dealer or bank to independent RIAMay 14, 2018May 14, 2018
Steven Matthew JonesInvestment Advisors Corp BD affiliatedAmeriprise Financial Services, LLC national BDAffiliated broker-dealer or bank to anotherMay 14, 2018May 23, 2018
Brian Paul EisbachInvestment Advisors Corp BD affiliatedIntegrity Alliance, LLC independent RIAAffiliated broker-dealer or bank to independent RIAMay 14, 2018Jan 29, 2019 (260 d)
Robert Lane StephensonInvestment Advisors Corp otherLPL Financial LLC independent RIAOtherJan 22, 2018Feb 15, 2018
Annette Jeanblanc UtterbackInvestment Advisors Corp otherLsb Wealth Management independent RIAOtherJan 3, 2018Dec 6, 2021 (1433 d)
Steven Brant CollierInvestment Advisors Corp otherIndependent Wealth Network, Inc. independent RIAOtherJan 3, 2018Oct 16, 2019 (651 d)
Erik R HoltInvestment Advisors Corp otherIndependent Wealth Network, Inc. otherOtherDec 31, 2017Jan 2, 2018
Taylor Harrison EmburyInvestment Advisors Corp otherIndependent Wealth Network, Inc. otherOtherDec 31, 2017Feb 2, 2018 (33 d)
Craig Steven SullivanInvestment Advisors Corp otherCoppell Advisory Solutions LLC otherOtherNov 8, 2017May 24, 2017
Marc Willett BanksInvestment Advisors Corp otherSignator Investors, Inc. otherOtherOct 3, 2017Oct 2, 2017
James Michael PoindexterInvestment Advisors Corp otherIndependent Wealth Network, Inc. otherOtherSep 29, 2017Oct 4, 2017
Donald F RosalezInvestment Advisors Corp otherIndependent Wealth Network, Inc. otherOtherSep 29, 2017Oct 16, 2017
Jeffrey Lawrence ZupancicInvestment Advisors Corp otherIndependent Wealth Network, Inc. otherOtherSep 29, 2017Sep 15, 2017
Ross Charles BonifieldInvestment Advisors Corp otherIndependent Wealth Network, Inc. otherOtherSep 29, 2017Sep 15, 2017
Enrique HernandezInvestment Advisors Corp otherIndependent Wealth Network, Inc. otherOtherSep 29, 2017Oct 18, 2017
Troy FrazierInvestment Advisors Corp otherCoppell Advisory Solutions LLC otherOtherSep 29, 2017Mar 21, 2017
Greg Joseph KylesInvestment Advisors Corp otherTd Ameritrade, Inc. no RAUMOtherSep 15, 2017Oct 11, 2017
Nancy Selena Bullock-SwansonInvestment Advisors Corp otherIndependent Wealth Network, Inc. otherOtherAug 28, 2017Sep 11, 2017
Arthur Lawrence DinkinInvestment Advisors Corp otherIndependent Wealth Network, Inc. otherOtherAug 24, 2017Aug 29, 2017
Adam Bain ObrechtInvestment Advisors Corp otherAo Wealth Advisory independent RIAOtherAug 10, 2017Jun 16, 2017
Michael Paul JohnsonInvestment Advisors Corp otherAo Wealth Advisory independent RIAOtherAug 10, 2017Aug 8, 2017
Eric Randall WilliamsInvestment Advisors Corp otherAo Wealth Advisory independent RIAOtherAug 10, 2017Aug 8, 2017
Andrew Gregory EndelmanInvestment Advisors Corp otherIndependent Wealth Network, Inc. otherOtherJul 26, 2017Sep 11, 2017 (47 d)
Brian Wesley LowInvestment Advisors Corp otherMadison Avenue Securities, LLC otherOtherJun 9, 2017Jun 12, 2017
Raymond Lee HobsonInvestment Advisors Corp otherInstitute For Wealth Advisors, Inc. otherOtherApr 3, 2017Jan 27, 2017
Prashant Ramesh SabapathiInvestment Advisors Corp otherElite Income Advisors, Inc. independent RIAOtherMar 17, 2017Mar 20, 2017
David Leo DugganInvestment Advisors Corp otherBrookstone Capital Management LLC otherOtherJan 18, 2017Jan 9, 2017
Christopher John VealInvestment Advisors Corp otherSecure Investment Management, LLC otherOtherDec 31, 2016Mar 6, 2017 (65 d)
Nathaniel Larue ReederInvestment Advisors Corp otherIntegrity Alliance, LLC otherOtherDec 31, 2016Jan 3, 2017
Suman SachdevaInvestment Advisors Corp otherBfc Planning, Inc. otherOtherDec 31, 2016Jan 3, 2017
Shawn Scott LorionInvestment Advisors Corp otherExodus Wealth, LLC otherOtherDec 14, 2016Dec 14, 2016
Charles William SawyerInvestment Advisors Corp otherCreativeone Securities, LLC otherOtherOct 13, 2016Oct 13, 2016
Brian William PacenInvestment Advisors Corp otherCreativeone Securities, LLC otherOtherOct 13, 2016Oct 12, 2016
Michelle Lorraine NabiliwaInvestment Advisors Corp otherCetera Investment Advisers LLC BD affiliatedOtherJun 10, 2016Jun 29, 2023 (2575 d)
Ryan William FosterInvestment Advisors Corp otherFund Direct Advisors Inc. otherOtherJun 6, 2016Jun 6, 2016
Deborah Sue JacksonInvestment Advisors Corp otherOsaic Wealth, Inc. otherOtherApr 28, 2016Dec 5, 2016 (221 d)
Kathryn Leeper HooperInvestment Advisors Corp otherInvest Financial Corporation otherOtherApr 25, 2016May 25, 2017 (395 d)
Phillip D HanksInvestment Advisors Corp otherBlack Oak Wealth Management, Inc. unclassifiedOtherApr 20, 2016May 6, 2016
Samuel VandeweerdInvestment Advisors Corp otherRaymond James Financial Services Advisors, Inc otherOtherNov 9, 2015Nov 10, 2015
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127 moves match.