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 Planmember Securities Corporation

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
Nuno T PereiraPlanmember Securities Corporation independent RIACetera Investment Advisers LLC BD affiliatedRIA to affiliated broker-dealer or bankAug 15, 2022Jun 29, 2023 (318 d)
Joshua John HattigPlanmember Securities Corporation independent RIAConsolidated Portfolio Review Corp independent RIARIA to RIAAug 4, 2022Aug 5, 2022
Trevor R RandallPlanmember Securities Corporation independent RIAConsolidated Portfolio Review Corp independent RIARIA to RIAAug 4, 2022Aug 4, 2022
Stephen MoormanPlanmember Securities Corporation independent RIAConsolidated Portfolio Review Corp independent RIARIA to RIAAug 4, 2022Jan 4, 2023 (153 d)
James Francis LohnesPlanmember Securities Corporation independent RIACetera Investment Advisers LLC BD affiliatedRIA to affiliated broker-dealer or bankAug 3, 2022Apr 7, 2023 (247 d)
Kerry D RogersPlanmember Securities Corporation independent RIAPrincipal Securities, Inc. BD affiliatedRIA to affiliated broker-dealer or bankJul 18, 2022Jul 20, 2022
Joshua Haupt-JimenezPlanmember Securities Corporation independent RIAMorgan Stanley wirehouseRIA to wirehouseJun 30, 2022Jul 14, 2022
Sam Gene AndersonPlanmember Securities Corporation independent RIAPrincipal Securities, Inc. BD affiliatedRIA to affiliated broker-dealer or bankJun 15, 2022Jul 6, 2022
Jessica E. BarryPlanmember Securities Corporation independent RIARaymond James & Associates, Inc. national BDRIA to affiliated broker-dealer or bankJun 13, 2022Feb 2, 2023 (234 d)
Matthew WellsPlanmember Securities Corporation independent RIAFidelity Personal And Workplace Advisors BD affiliatedRIA to affiliated broker-dealer or bankMay 25, 2022Oct 19, 2022 (147 d)
David William LucasPlanmember Securities Corporation independent RIAEdward Jones national BDRIA to affiliated broker-dealer or bankMay 10, 2022Jan 20, 2023 (255 d)
Howard Graham JonesPlanmember Securities Corporation independent RIACetera Investment Advisers LLC BD affiliatedRIA to affiliated broker-dealer or bankMay 3, 2022May 4, 2022
Kathleen Ann StapletonPlanmember Securities Corporation independent RIAChoice Financial & Insurance Services, Inc. state registeredRIA to a state-registered adviserMar 9, 2022Mar 10, 2022
Kelly Louise DavisPlanmember Securities Corporation independent RIAMML Investors Services, LLC BD affiliatedRIA to affiliated broker-dealer or bankFeb 28, 2022Mar 18, 2022
Ian ConoverPlanmember Securities Corporation independent RIAArete Wealth Advisors, LLC BD affiliatedRIA to affiliated broker-dealer or bankDec 6, 2021Jan 4, 2022
David W ConardPlanmember Securities Corporation independent RIAFirst Advisors National, LLC independent RIARIA to RIASep 16, 2021Jan 1, 2026 (1568 d)
Steven R. BurgessPlanmember Securities Corporation independent RIAPruco Securities, LLC BD affiliatedRIA to affiliated broker-dealer or bankAug 12, 2021Aug 11, 2021
Josef BezdekPlanmember Securities Corporation independent RIAJ.P. Morgan Securities LLC wirehouseRIA to wirehouseJul 30, 2021Aug 20, 2021
Ricardo DonalexisPlanmember Securities Corporation independent RIAInsight Family Financial state registeredRIA to a state-registered adviserJun 15, 2021May 13, 2022 (332 d)
Harry GladstonePlanmember Securities Corporation independent RIAFidelity Personal And Workplace Advisors BD affiliatedRIA to affiliated broker-dealer or bankMay 14, 2021Oct 20, 2021 (159 d)
Sean L. CampbellPlanmember Securities Corporation independent RIAFidelity Personal And Workplace Advisors BD affiliatedRIA to affiliated broker-dealer or bankApr 26, 2021Jul 16, 2021 (81 d)
Jean Baptiste AfflackPlanmember Securities Corporation independent RIAFidelity Personal And Workplace Advisors BD affiliatedRIA to affiliated broker-dealer or bankApr 19, 2021Aug 12, 2021 (115 d)
Susan DawsonPlanmember Securities Corporation independent RIATriumph Financial Advisors, LLC unclassifiedOtherMar 1, 2021May 3, 2021 (63 d)
Alexis E RodriguezPlanmember Securities Corporation independent RIAFidelity Personal And Workplace Advisors BD affiliatedRIA to affiliated broker-dealer or bankFeb 12, 2021Jun 22, 2021 (130 d)
Alexander L FullertonPlanmember Securities Corporation independent RIAAmeriprise Financial Services, LLC national BDRIA to affiliated broker-dealer or bankJan 27, 2021Jan 28, 2021
Edward James TritschlerPlanmember Securities Corporation independent RIARetirement Plan Advisors, LLC mixed wealthRIA to RIAJan 5, 2021Aug 29, 2022 (601 d)
Aaron D. JacobyPlanmember Securities Corporation independent RIAFidelity Personal And Workplace Advisors BD affiliatedRIA to affiliated broker-dealer or bankDec 7, 2020Feb 17, 2022 (437 d)
Felix RuizPlanmember Securities Corporation independent RIAFidelity Personal And Workplace Advisors BD affiliatedRIA to affiliated broker-dealer or bankDec 4, 2020Jan 14, 2022 (406 d)
Kerry Andrew LangPlanmember Securities Corporation independent RIAMainstreet Ria LLC otherOtherNov 25, 2020Feb 11, 2021 (78 d)
Justin Duane BlevinsPlanmember Securities Corporation independent RIAWaddell & Reed BD affiliatedRIA to affiliated broker-dealer or bankNov 20, 2020Jan 19, 2021 (60 d)
Forrest Britt BarrPlanmember Securities Corporation independent RIAAmeriprise Financial Services, LLC national BDRIA to affiliated broker-dealer or bankOct 22, 2020Oct 22, 2020
Marianne Martini NoltePlanmember Securities Corporation independent RIAImagine Financial Services state registeredRIA to a state-registered adviserOct 1, 2020Oct 21, 2020
James Richard DeichPlanmember Securities Corporation independent RIACharles Schwab & Co., Inc. national BDRIA to affiliated broker-dealer or bankJan 29, 2020Jan 28, 2020
Lisa Jean GamblePlanmember Securities Corporation independent RIACommonwealth Financial Network national BDRIA to affiliated broker-dealer or bankDec 3, 2019Dec 2, 2019
Steven Michael StrattonPlanmember Securities Corporation independent RIACornerstone Securities LLC independent RIARIA to RIANov 18, 2019Nov 19, 2019
Kyle Austin KnoppPlanmember Securities Corporation independent RIAB. Riley Wealth Advisors, Inc. BD affiliatedRIA to affiliated broker-dealer or bankSep 12, 2019Sep 17, 2019
Scott Michael FraylerPlanmember Securities Corporation independent RIALPL Financial LLC independent RIARIA to RIAAug 2, 2019Aug 1, 2019
Bryant SmithPlanmember Securities Corporation independent RIAState Farm Investment Management Corp. asset managerOtherJul 19, 2019Feb 8, 2022 (935 d)
Raymond Adam MennaPlanmember Securities Corporation independent RIAVerity Asset Management independent RIARIA to RIAMay 30, 2019Oct 27, 2021 (881 d)
David R TorresPlanmember Securities Corporation independent RIAIwg Investment Advisors LLC state registeredRIA to a state-registered adviserMay 9, 2019May 21, 2019
Marc Alan LippincottPlanmember Securities Corporation independent RIAMinistry Partners Securities, LLC state registeredRIA to a state-registered adviserApr 18, 2019Apr 23, 2019
Michelle Valdean LippincottPlanmember Securities Corporation independent RIAMinistry Partners Securities, LLC state registeredRIA to a state-registered adviserApr 18, 2019Apr 24, 2019
Brian James ColemanPlanmember Securities Corporation independent RIAOsaic Institutions, Inc. BD affiliatedRIA to affiliated broker-dealer or bankJan 2, 2019Jan 11, 2019
Charles Gregory MajorsPlanmember Securities Corporation independent RIACenter Street Advisors, Inc. BD affiliatedRIA to affiliated broker-dealer or bankDec 31, 2018Jan 15, 2019
James Daniel GayPlanmember Securities Corporation independent RIAOak Square Advisors unclassifiedOtherDec 31, 2018Jan 23, 2019
Joshua J. RosePlanmember Securities Corporation independent RIAOak Square Advisors unclassifiedOtherDec 31, 2018Jan 23, 2019
Anthony Dean BagneschiPlanmember Securities Corporation independent RIASpc BD affiliatedRIA to affiliated broker-dealer or bankNov 7, 2018Dec 3, 2018
Paul Richard McwilliamsPlanmember Securities Corporation independent RIAFsc Securities Corporation BD affiliatedRIA to affiliated broker-dealer or bankOct 31, 2018Nov 1, 2018
Quincy Deearl CaldwellPlanmember Securities Corporation independent RIASupreme Alliance LLC independent RIARIA to RIAOct 19, 2018Oct 2, 2020 (714 d)
Andrew Lee GoganPlanmember Securities Corporation independent RIAMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseRIA to wirehouseOct 19, 2018Oct 23, 2018
Thomas John CamaPlanmember Securities Corporation independent RIASiebert Advisornxt, LLC. otherOtherSep 21, 2018Sep 24, 2018
Jonathan MorrisPlanmember Securities Corporation independent RIAFidelity Personal And Workplace Advisors BD affiliatedRIA to affiliated broker-dealer or bankJul 23, 2018Jun 8, 2020 (686 d)
Melissa Carriles BigghamPlanmember Securities Corporation independent RIAH. Beck, Inc. BD affiliatedRIA to affiliated broker-dealer or bankJun 8, 2018Jun 7, 2018
Nathan CollinsPlanmember Securities Corporation otherStonex Advisors Inc. BD affiliatedOtherMar 6, 2018Mar 14, 2018
Danny Eugene WardPlanmember Securities Corporation otherBedrock Investment Advisors independent RIAOtherOct 19, 2017Nov 6, 2017
Philip DetlefsPlanmember Securities Corporation otherImg Wealth Management, Inc. independent RIAOtherSep 27, 2017Oct 6, 2017
Christopher Robert MorrisonPlanmember Securities Corporation otherImg Wealth Management, Inc. independent RIAOtherSep 20, 2017Oct 12, 2017
Richard Alex BeckerPlanmember Securities Corporation otherGwn Securities Inc. otherOtherJun 16, 2017Sep 15, 2017 (91 d)
Timothy Frank McfallPlanmember Securities Corporation otherIndependent Financial Group, LLC otherOtherMay 31, 2017May 30, 2017
Kristopher Brandel ZiskinPlanmember Securities Corporation otherGwn Securities Inc. otherOtherMay 30, 2017May 26, 2017
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249 moves match.