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
Dawn Jean KleisInvestment Advisors Corp otherRaymond James Financial Services Advisors, Inc otherOtherNov 9, 2015Nov 10, 2015
Jason A RozenboomInvestment Advisors Corp otherRaymond James Financial Services Advisors, Inc otherOtherNov 9, 2015Nov 10, 2015
Reid Christopher EvansInvestment Advisors Corp otherRaymond James Financial Services Advisors, Inc otherOtherNov 9, 2015Nov 10, 2015
Andrew Michael WrightsmanInvestment Advisors Corp otherPrincipal Securities, Inc. otherOtherFeb 4, 2015Feb 27, 2015
Mark Bromm HolmquistInvestment Advisors Corp otherCetera Investment Advisers LLC otherOtherNov 28, 2014Dec 1, 2014
David Joseph ScrantonInvestment Advisors Corp otherSound Income Strategies, LLC no RAUMOtherNov 6, 2014Nov 4, 2014
William Andrew GriffinInvestment Advisors Corp otherQuestar Asset Management, Inc. otherOtherAug 7, 2014Aug 6, 2014
Kristopher Kraig EmickInvestment Advisors Corp otherPathway Strategic Advisors otherOtherOct 28, 2013Nov 13, 2013
Shane Patrick O'MalleyInvestment Advisors Corp otherWoodbury Financial Services, Inc. otherOtherOct 11, 2013Sep 16, 2013
Kristi Lynn MignanoInvestment Advisors Corp otherWoodbury Financial Services, Inc. otherOtherOct 11, 2013Sep 16, 2013
Peter John RothamelInvestment Advisors Corp otherSuccessful Resource Management, Ltd. state registeredOtherMay 1, 2013May 22, 2013
Paul Alan SwankInvestment Advisors Corp otherIpi Wealth Management, Inc. otherOtherApr 1, 2013Jun 10, 2013 (70 d)
Michael J BallestriniInvestment Advisors Corp otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherMar 20, 2013Dec 10, 2013 (265 d)
Jennifer A MeridaInvestment Advisors Corp otherBmo Harris Financial Advisors, Inc otherOtherDec 12, 2012Nov 15, 2013 (338 d)
Jayme William BresnahanInvestment Advisors Corp otherSuccessful Resource Management, Ltd. state registeredOtherDec 5, 2012Nov 19, 2012
Richard William VilleneuveInvestment Advisors Corp otherPasco Advisors, LLC state registeredOtherSep 27, 2012Sep 21, 2012
Brian KuhnInvestment Advisors Corp otherPlanning Solutions Group, LLC otherOtherAug 17, 2012Aug 23, 2012
Anthony Allen TomashInvestment Advisors Corp otherVsr Advisory Services otherOtherJun 27, 2012Jun 27, 2012
Richard Buel BatesInvestment Advisors Corp otherIntegrity Investment & Tax Advisory, LLC unclassifiedOtherDec 31, 2011Apr 19, 2012 (110 d)
John Michael DombroskiInvestment Advisors Corp otherCreativeone Securities, LLC otherOtherDec 31, 2011Jan 26, 2012
Jennifer Lynn MainInvestment Advisors Corp otherPruco Securities, LLC otherOtherDec 31, 2011Jun 21, 2013 (538 d)
Kevin Mckinley SchaeferInvestment Advisors Corp otherCreativeone Securities, LLC otherOtherDec 31, 2011Jan 25, 2012
Loren James MerkleInvestment Advisors Corp otherGlobal Financial Private Capital, Inc. otherOtherDec 14, 2011Dec 2, 2011
James Merle WeissInvestment Advisors Corp otherGlobal Financial Private Capital, Inc. otherOtherDec 14, 2011Dec 2, 2011
Kevin Ronald ManzInvestment Advisors Corp otherCetera Advisor Networks LLC otherOtherDec 8, 2011Dec 15, 2011
Steven Charles ScalettyInvestment Advisors Corp otherCreativeone Securities, LLC otherOtherOct 3, 2011Oct 5, 2011
Eric Lee DavisInvestment Advisors Corp otherCreativeone Securities, LLC otherOtherOct 3, 2011Sep 30, 2011
John L. RuthInvestment Advisors Corp otherCreativeone Securities, LLC otherOtherOct 3, 2011Sep 30, 2011
Trenton James HolecInvestment Advisors Corp otherPrincipal Asset Management otherOtherSep 12, 2011Sep 19, 2011
Mark Ronald RobertsInvestment Advisors Corp otherCreativeone Securities, LLC otherOtherAug 3, 2011Aug 4, 2011
Craig James SneddenInvestment Advisors Corp otherCreativeone Securities, LLC otherOtherAug 3, 2011Aug 3, 2011
Mitzi Nicole SwaffarInvestment Advisors Corp otherCreativeone Securities, LLC otherOtherAug 3, 2011Aug 3, 2011
Douglas Stephen DrelichInvestment Advisors Corp otherCreativeone Securities, LLC BD affiliatedOtherJul 1, 2011Dec 5, 2024 (4906 d)
Thomas John CamaInvestment Advisors Corp otherPlanmember Securities Corporation otherOtherJun 2, 2011Jun 10, 2011
Roger A. LongInvestment Advisors Corp otherGradient Advisors, LLC no RAUMOtherMay 27, 2011May 27, 2011
Joel MutukuInvestment Advisors Corp otherCreativeone Securities, LLC otherOtherApr 1, 2011Nov 13, 2012 (592 d)
Scott Leslie JohnsonInvestment Advisors Corp otherInvest Financial Corporation otherOtherFeb 14, 2011Feb 17, 2011
Joshua Rittenhouse FretzInvestment Advisors Corp otherHomestead Advisers Corp. otherOtherFeb 7, 2011Mar 1, 2011
Kate P JuelfsInvestment Advisors Corp otherFoster Group, Inc. otherOtherJan 18, 2011Feb 17, 2011
David Leo DugganInvestment Advisors Corp otherIntegrity Alliance, LLC otherOtherJan 3, 2011Jan 3, 2011
Kenneth C CarricoInvestment Advisors Corp otherSagepoint Financial, Inc. otherOtherDec 31, 2010Feb 18, 2011 (49 d)
John Edward MccartinInvestment Advisors Corp otherMccartin Financial unclassifiedOtherDec 31, 2010Jan 26, 2011
Steven Harverd GreigInvestment Advisors Corp otherCetera Advisor Networks LLC otherOtherDec 31, 2010Dec 21, 2012 (721 d)
Lance Robin MonkInvestment Advisors Corp otherCreativeone Securities, LLC otherOtherDec 31, 2010Apr 27, 2011 (117 d)
Millard Scott NorrisInvestment Advisors Corp otherChief Advisors Corp state registeredOtherDec 31, 2010Feb 10, 2011 (41 d)
Linda Lee PattersonInvestment Advisors Corp otherCreativeone Securities, LLC otherOtherDec 31, 2010Feb 22, 2011 (53 d)
Allison Danelle RyanInvestment Advisors Corp otherCreativeone Securities, LLC otherOtherDec 20, 2010Feb 22, 2011 (64 d)
Marcel Richard MorinInvestment Advisors Corp otherMariner otherOtherNov 22, 2010Dec 2, 2010
Bryan James LauriatInvestment Advisors Corp otherAmeriprise Financial Services, LLC national BDOtherJul 22, 2010Jan 6, 2011 (168 d)
Andrew James BeshukInvestment Advisors Corp otherGlobal Financial Private Capital, Inc. otherOtherJun 15, 2010Jun 21, 2010
Gregory Patrick KlinglerInvestment Advisors Corp otherCape Investment Advisory, Inc. otherOtherApr 6, 2010May 4, 2010
Jason Allen RockmanInvestment Advisors Corp otherCreativeone Securities, LLC otherOtherMar 29, 2010Jul 25, 2011 (483 d)
Richard Alan YoungInvestment Advisors Corp otherLPL Financial LLC otherOtherJan 14, 2010Dec 11, 2009
Matthew CarlinInvestment Advisors Corp otherCreativeone Securities, LLC otherOtherDec 31, 2009Jun 14, 2011 (530 d)
Jared Matthew CarlinInvestment Advisors Corp otherAe Wealth Management, LLC independent RIAOtherDec 31, 2009Nov 15, 2018 (3241 d)
Julie Ann FullerInvestment Advisors Corp otherSecurities America Advisors, Inc. otherOtherDec 9, 2009Apr 6, 2010 (118 d)
Francisco Chuck MartinezInvestment Advisors Corp otherFounders Financial Securities, LLC otherOtherNov 17, 2009Mar 4, 2010 (107 d)
Christina L MccallaInvestment Advisors Corp otherUvest Financial Services Group, Inc. unclassifiedOtherMay 20, 2009Jun 18, 2009
Todd Benjamin WiswellInvestment Advisors Corp otherUvest Financial Services Group, Inc. unclassifiedOtherMay 15, 2009Jun 16, 2009 (32 d)
Glenn Ray PriceInvestment Advisors Corp otherPlanmember Securities Corporation otherOtherAug 11, 2008Aug 19, 2008
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127 moves match.