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 Regal Advisory Services, 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.

AdvisorFromToTypeLeftRegistered
Andrew R ZimmerRegal Advisory Services, Inc. independent RIASimplicity Wealth otherOtherOct 2, 2024Sep 26, 2024
Barbara Gayle DeboerRegal Advisory Services, Inc. independent RIAGreenup Street Wealth Management LLC independent RIARIA to RIAAug 2, 2023Nov 27, 2023 (117 d)
Anthony Michael SchmittRegal Advisory Services, Inc. independent RIAGreenup Street Wealth Management LLC independent RIARIA to RIAApr 9, 2021May 5, 2021
Andrew Christopher YostRegal Advisory Services, Inc. independent RIALPL Financial LLC BD affiliatedRIA to affiliated broker-dealer or bankMar 3, 2021Jan 27, 2021
Dorothea Danielle ZandoRegal Advisory Services, Inc. independent RIALPL Financial LLC BD affiliatedRIA to affiliated broker-dealer or bankMar 2, 2021Jan 28, 2021
Brian Charles LauxRegal Advisory Services, Inc. independent RIALPL Financial LLC BD affiliatedRIA to affiliated broker-dealer or bankMar 2, 2021Jan 28, 2021
Michael Terrence SullivanRegal Advisory Services, Inc. independent RIALPL Financial LLC BD affiliatedRIA to affiliated broker-dealer or bankMar 2, 2021Feb 1, 2021
Anthony Charles RossoRegal Advisory Services, Inc. independent RIALPL Financial LLC BD affiliatedRIA to affiliated broker-dealer or bankMar 2, 2021Jan 28, 2021
Sean Thomas KeatingRegal Advisory Services, Inc. independent RIALPL Financial LLC BD affiliatedRIA to affiliated broker-dealer or bankMar 2, 2021Jan 28, 2021
Leslie K CurranRegal Advisory Services, Inc. independent RIALPL Financial LLC BD affiliatedRIA to affiliated broker-dealer or bankMar 2, 2021Jan 28, 2021
Jason Raymond SteenoRegal Advisory Services, Inc. independent RIACorecap Advisors BD affiliatedRIA to affiliated broker-dealer or bankApr 3, 2020Mar 11, 2020
Steven Craig IngramRegal Advisory Services, Inc. independent RIAFinancial Management Strategies, Inc. independent RIARIA to RIADec 12, 2019Nov 21, 2019
Veronica Lynn JolliffRegal Advisory Services, Inc. independent RIAFidelity Personal And Workplace Advisors BD affiliatedRIA to affiliated broker-dealer or bankJun 17, 2019Jun 27, 2019
Douglas Eric DialRegal Advisory Services, Inc. independent RIACapital Partners Investment Group state registeredRIA to a state-registered adviserApr 11, 2018May 18, 2020 (768 d)
John Christopher ShiblesRegal Advisory Services, Inc. otherCommonwealth Financial Network national BDOtherMar 10, 2017Mar 1, 2017
Michael Folan OberdorfRegal Advisory Services, Inc. otherCommonwealth Financial Network national BDOtherMar 10, 2017Mar 1, 2017
Brent Alan ReedRegal Advisory Services, Inc. otherDfpg Investments, LLC otherOtherDec 31, 2016Jan 3, 2017
Christopher Arthur FisherRegal Advisory Services, Inc. otherIsto Advisors, LLC no RAUMOtherOct 28, 2016Sep 30, 2016
Jill KazRegal Advisory Services, Inc. otherIsto Advisors, LLC no RAUMOtherOct 3, 2016Sep 30, 2016
Molly AmbrosinoRegal Advisory Services, Inc. otherLasalle St. Investment Advisors, L.L.C. otherOtherSep 9, 2015Oct 7, 2015
Shawn Michael LoddyRegal Advisory Services, Inc. otherSml Advisory state registeredOtherJul 31, 2015Mar 27, 2023 (2796 d)
Robert Virgil VillaflorRegal Advisory Services, Inc. otherSprott Asset Management USA Inc. mixed wealthOtherJun 1, 2015Jan 1, 2025 (3502 d)
Michael Rennie MoreraRegal Advisory Services, Inc. otherVirtue Capital Management, LLC otherOtherApr 16, 2015Aug 6, 2015 (112 d)
Jason Andrew CarpenterRegal Advisory Services, Inc. otherScottrade Investment Management otherOtherAug 27, 2014Sep 8, 2016 (743 d)
Joseph Ali AyersRegal Advisory Services, Inc. otherAdvice And Planning Services otherOtherAug 5, 2014Aug 27, 2014
Sharon A. ShapiroRegal Advisory Services, Inc. otherPnc Wealth Management otherOtherMay 8, 2014Jun 2, 2014
Kevin Brooks KugleyRegal Advisory Services, Inc. otherBrookstone Capital Management LLC otherOtherSep 24, 2013May 29, 2014 (247 d)
Ryan Frederick SmithRegal Advisory Services, Inc. otherAffinity Financial Advisors independent RIAOtherNov 5, 2012Jul 16, 2019 (2444 d)
Donald Todd CohenRegal Advisory Services, Inc. otherWorld Equity Group, Inc. otherOtherNov 4, 2011Nov 4, 2011
Michael Francis CloutierRegal Advisory Services, Inc. otherCloutier, Michael F. unclassifiedOtherAug 10, 2011Sep 24, 2009
David Jerome DentlerRegal Advisory Services, Inc. otherWintrust Investments otherOtherJan 6, 2011Feb 27, 2012 (417 d)
Eric Arthur BickneseRegal Advisory Services, Inc. otherNpa Asset Management, LLC otherOtherJun 9, 2010May 17, 2010
Peter Francis ForbesRegal Advisory Services, Inc. otherWorld Equity Group, Inc. BD affiliatedOtherApr 9, 2010Jan 1, 2026 (5746 d)
Matthew Patrick NardolilloRegal Advisory Services, Inc. otherWorld Equity Group, Inc. otherOtherOct 9, 2009Sep 10, 2009
Gregory Carl BarsonRegal Advisory Services, Inc. otherNfsg Corporation otherOtherJul 29, 2008Jul 29, 2008
Thomas ParkinRegal Advisory Services, Inc. otherAllegis Investment Advisors, LLC otherOtherDec 18, 2007Nov 30, 2016 (3270 d)
Eric J HatchRegal Advisory Services, Inc. otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherDec 18, 2007Oct 4, 2011 (1386 d)
Robert Alan WalterRegal Advisory Services, Inc. otherWorld Equity Group, Inc. otherOtherOct 19, 2007Apr 1, 2009 (530 d)
Craig Warren MccombRegal Advisory Services, Inc. otherFirst Allied Securities, Inc. otherOtherSep 18, 2007Aug 28, 2007
Keith Ronan NielsenRegal Advisory Services, Inc. otherNext Financial Group, Inc. otherOtherSep 6, 2007Aug 13, 2007
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40 moves match.