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
Gregory KomskyPlanmember Securities Corporation otherEncompass More LLC no RAUMOtherMay 8, 2017Jul 13, 2017 (66 d)
Edward Nelson PortellesPlanmember Securities Corporation otherAlexander Capital Wealth Management LLC independent RIAOtherMay 5, 2017Sep 17, 2018 (500 d)
Wendy P. SimmonsPlanmember Securities Corporation otherEle Advisory Services, Inc independent RIAOtherApr 18, 2017Feb 12, 2018 (300 d)
Jonathan Bradley RaetherPlanmember Securities Corporation otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherMar 28, 2017Apr 25, 2017
Nathan Andrew EdwardsPlanmember Securities Corporation otherImg Wealth Management, Inc. independent RIAOtherMar 1, 2017Mar 14, 2017
Nick Martin RiscignoPlanmember Securities Corporation otherImg Wealth Management, Inc. independent RIAOtherMar 1, 2017Mar 14, 2017
Nick Allen EdwardsPlanmember Securities Corporation otherImg Wealth Management, Inc. independent RIAOtherFeb 28, 2017Mar 10, 2017
Gary OvsakPlanmember Securities Corporation otherCetera Advisor Networks LLC otherOtherFeb 2, 2017Feb 21, 2017
Susan K RothPlanmember Securities Corporation otherCfo Capital Management, LLC independent RIAOtherJan 5, 2017Jan 30, 2019 (755 d)
Charles Delbert RushmorePlanmember Securities Corporation otherUSA Financial Securities LLC otherOtherDec 2, 2016Nov 4, 2016
Keagan W RushmorePlanmember Securities Corporation otherUSA Financial Securities LLC otherOtherDec 2, 2016Nov 4, 2016
Sean Philip BostwickPlanmember Securities Corporation otherAmeriprise Financial Services, LLC national BDOtherOct 31, 2016Oct 28, 2016
Geraldine Ann SchuhmannPlanmember Securities Corporation otherInvest Financial Corporation otherOtherSep 1, 2016Sep 1, 2016
Jaime Antonio PlanellsPlanmember Securities Corporation otherRaymond James Financial Services Advisors, Inc otherOtherJul 28, 2016Aug 12, 2016
Donald L AndersPlanmember Securities Corporation otherMadison Avenue Securities, LLC otherOtherJul 28, 2016Aug 1, 2016
Todd Jonathan LabellmanPlanmember Securities Corporation otherMadison Avenue Securities, LLC otherOtherJul 28, 2016Aug 2, 2016
Theodore Leonard BrooksPlanmember Securities Corporation otherLegend Advisory, LLC otherOtherJul 18, 2016Aug 2, 2016
Richard WilsonPlanmember Securities Corporation otherCuso Financial Services, L.P. otherOtherMay 3, 2016Apr 29, 2016
Patrick Anthony LeblancPlanmember Securities Corporation otherAncorato independent RIAOtherApr 27, 2016Feb 13, 2025 (3214 d)
Leigh Stevenson JosephPlanmember Securities Corporation otherSecurities America Advisors, Inc. otherOtherApr 4, 2016Sep 27, 2016 (176 d)
William George BrennanPlanmember Securities Corporation otherSecurities America Advisors, Inc. otherOtherApr 1, 2016Mar 25, 2016
Aaron Grant HolderPlanmember Securities Corporation otherGwn Securities Inc. otherOtherMar 10, 2016Mar 16, 2016
Charles L. BennettPlanmember Securities Corporation otherHarry Licursi Tax & Retirement Planning state registeredOtherMar 4, 2016Oct 5, 2023 (2771 d)
Alexis Nicole VasquezPlanmember Securities Corporation otherHorter Investment Management, LLC otherOtherMar 4, 2016May 5, 2017 (427 d)
Jonathan LukePlanmember Securities Corporation otherAmeriprise Financial Services, LLC national BDOtherJan 13, 2016Feb 24, 2016 (42 d)
Jasper Elwood MallardPlanmember Securities Corporation otherHub International Investment Services Inc. unclassifiedOtherJan 5, 2016Jan 4, 2016
Widmark De Jesus CanoPlanmember Securities Corporation otherFinancial Engines Advisor Center, LLC otherOtherSep 3, 2015Sep 2, 2015
Jose Ignacio MarquesPlanmember Securities Corporation otherStrategic Advisers LLC national BDOtherSep 2, 2015Oct 8, 2015 (36 d)
Anton TkachenkoPlanmember Securities Corporation otherWedbush Securities Inc. otherOtherJun 3, 2015Jun 2, 2015
Eddie Benjamin RiveraPlanmember Securities Corporation otherMutual Advisors, LLC otherOtherMar 2, 2015Mar 2, 2015
Skyler Craig FredricksonPlanmember Securities Corporation otherBrookstone Capital Management LLC otherOtherFeb 26, 2015Mar 2, 2015
Joy Soon OhPlanmember Securities Corporation otherCetera Advisor Networks LLC otherOtherFeb 11, 2015Mar 10, 2015
John Joseph SheaPlanmember Securities Corporation otherFirst Advisors National, LLC otherOtherDec 31, 2014Jan 7, 2015
Hector Noe HinojosaPlanmember Securities Corporation otherSwan Dfw Financial Solutions, LLC state registeredOtherDec 17, 2014Jan 1, 2015
Jonathan Robert MoffatPlanmember Securities Corporation otherAligned Advisors state registeredOtherNov 3, 2014May 22, 2015 (200 d)
Paul HarneyPlanmember Securities Corporation otherInvestment Professionals, Inc. otherOtherOct 20, 2014Oct 27, 2014
James Ellis KirkPlanmember Securities Corporation otherLife Strategies, Inc. independent RIAOtherSep 15, 2014Oct 8, 2014
Deana Kay HowardPlanmember Securities Corporation otherIntegrity Alliance, LLC otherOtherAug 28, 2014Aug 25, 2014
Mary Dee FoftPlanmember Securities Corporation otherCambridge Investment Research Advisors, Inc. otherOtherAug 20, 2014Aug 13, 2014
Idolina Maria ShumwayPlanmember Securities Corporation otherCambridge Investment Research Advisors, Inc. otherOtherJul 18, 2014Aug 1, 2014
Bruce RomagnoliPlanmember Securities Corporation otherBcd Advisors state registeredOtherJul 3, 2014Jul 3, 2014
Greg Robert HildebrandPlanmember Securities Corporation otherLPL Financial LLC otherOtherMay 29, 2014May 27, 2014
William Earl SmithPlanmember Securities Corporation otherTriumph Wealth Advisors, Inc. otherOtherMay 19, 2014May 15, 2014
Kate Marie TurnerPlanmember Securities Corporation otherCapital Client Group, Inc. no RAUMOtherMay 14, 2014Apr 28, 2017 (1080 d)
Benjamin Aaron TysonPlanmember Securities Corporation otherAdvice And Planning Services otherOtherApr 14, 2014May 28, 2014 (44 d)
Mark Andrew SchindlerPlanmember Securities Corporation otherGwn Securities Inc. otherOtherFeb 19, 2014Feb 14, 2014
Joseph LauroPlanmember Securities Corporation otherValic Financial Advisors, Inc. otherOtherFeb 13, 2014Mar 28, 2014 (43 d)
Joseph ThompsonPlanmember Securities Corporation otherCambridge Investment Research Advisors, Inc. otherOtherFeb 3, 2014Jan 31, 2014
Geoff Colby ReedPlanmember Securities Corporation otherWaddell & Reed otherOtherDec 31, 2013Jan 14, 2014
Michael BurkePlanmember Securities Corporation otherJ.P. Morgan Securities LLC wirehouseOtherNov 4, 2013Nov 15, 2013
Paul Andrew HynesPlanmember Securities Corporation otherCambridge Investment Research Advisors, Inc. otherOtherMay 17, 2013May 17, 2013
Cody H. MomoharaPlanmember Securities Corporation otherAmeriprise Financial Services, LLC national BDOtherMay 17, 2013May 14, 2013
Steven Craig NeustaedterPlanmember Securities Corporation otherCreative Financial Designs, Inc. otherOtherMar 15, 2013Jan 20, 2017 (1407 d)
Mary Kathleen TroxellPlanmember Securities Corporation otherCambridge Investment Research Advisors, Inc. otherOtherFeb 1, 2013Jan 17, 2013
Jennifer Lightcap JohnsonPlanmember Securities Corporation otherCambridge Investment Research Advisors, Inc. otherOtherFeb 1, 2013Jan 17, 2013
Thomas Joseph PignonePlanmember Securities Corporation otherCambridge Investment Research Advisors, Inc. otherOtherFeb 1, 2013Jan 17, 2013
Steven Samuel WittenbergPlanmember Securities Corporation otherMutual Securities, Inc. otherOtherDec 31, 2012Jan 3, 2013
Craig Mckay KennedyPlanmember Securities Corporation otherMartin Wealth Management, LLC state registeredOtherNov 20, 2012Feb 12, 2013 (84 d)
Denise Ann-Marie LongshawPlanmember Securities Corporation otherGlobal Financial Private Capital, Inc. otherOtherAug 3, 2012Jan 2, 2014 (517 d)
James Nicholas VolpePlanmember Securities Corporation otherAvantax Advisory Services otherOtherJun 5, 2012Jun 6, 2012
Page 3 of 5PreviousNext
249 moves match.