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 Investment Advisors LLC
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.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Richard Nathaniel Law | Regal Investment Advisors LLC BD affiliated | Integrity Alliance, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 14, 2026 | Sep 14, 2026 |
| Spencer Lademan | Regal Investment Advisors LLC BD affiliated | Kroon & Mitchell Asset Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 17, 2026 | Jul 21, 2026 |
| Anthony D Abrams | Regal Investment Advisors LLC BD affiliated | Cape Investment Advisory, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 16, 2026 | Jul 29, 2026 |
| Steven Michael Martinez | Regal Investment Advisors LLC BD affiliated | Kinetic Investment Management, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | May 19, 2026 | May 20, 2026 |
| Daniel Edward Ruble | Regal Investment Advisors LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 9, 2026 | Mar 16, 2026 (35 d) |
| Matthew Eugene Mccarter | Regal Investment Advisors LLC BD affiliated | Onyx Bridge Wealth Group LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 12, 2026 | Jan 11, 2026 |
| Thomas Orcutt | Regal Investment Advisors LLC BD affiliated | Td Private Client Wealth LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 7, 2026 | Feb 19, 2026 (43 d) |
| Lucas Arthur Beggin | Regal Investment Advisors LLC BD affiliated | Lucas Group Financial Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 7, 2025 | Aug 22, 2025 |
| Katherine Alicia Downing | Regal Investment Advisors LLC BD affiliated | Lucas Group Financial Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 7, 2025 | Aug 22, 2025 |
| Todd Thomas Reno | Regal Investment Advisors LLC BD affiliated | Lucas Group Financial Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 7, 2025 | Aug 25, 2025 |
| Andrew Lee Stewart | Regal Investment Advisors LLC BD affiliated | Lucas Group Financial Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 7, 2025 | Aug 25, 2025 |
| Robert Wrona | Regal Investment Advisors LLC BD affiliated | LPL Enterprise, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 26, 2025 | Apr 6, 2026 (284 d) |
| Victor Clement | Regal Investment Advisors LLC BD affiliated | Financial Essentials 4 Life, Inc. state registered | Affiliated broker-dealer or bank to a state-registered adviser | Mar 31, 2025 | May 13, 2025 (43 d) |
| Kevin Peter Zebrowski | Regal Investment Advisors LLC BD affiliated | Tlg Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 27, 2025 | Mar 27, 2025 |
| Robert Esposito | Regal Investment Advisors LLC BD affiliated | Tlg Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 27, 2025 | Mar 26, 2025 |
| Mark Benjamin Grooters | Regal Investment Advisors LLC BD affiliated | LPL Enterprise, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Mar 5, 2025 | Mar 6, 2025 |
| Alfredo Torres | Regal Investment Advisors LLC BD affiliated | Td Private Client Wealth LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 6, 2025 | Dec 23, 2025 (351 d) |
| Joseph Lawrence Taunt | Regal Investment Advisors LLC BD affiliated | Sagepoint Financial, Inc. other | Other | Dec 23, 2024 | Feb 2, 2010 |
| Huey Kent Heise | Regal Investment Advisors LLC BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 23, 2024 | Dec 16, 2024 |
| Adam Lee Heinlein | Regal Investment Advisors LLC BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 23, 2024 | Dec 16, 2024 |
| Joel David Heinlein | Regal Investment Advisors LLC BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 23, 2024 | Dec 16, 2024 |
| Steven Reynold Ryan | Regal Investment Advisors LLC BD affiliated | Oneseven independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 23, 2024 | Dec 18, 2024 |
| Ellis Charles Regini | Regal Investment Advisors LLC BD affiliated | Blackridge Asset Management, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 22, 2024 | Apr 21, 2026 (546 d) |
| Giuseppe Roveccio | Regal Investment Advisors LLC BD affiliated | G & R Financial Solutions LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Oct 22, 2024 | Oct 23, 2024 |
| Ranjan Jagetia | Regal Investment Advisors LLC BD affiliated | Prasad Wealth Partners no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Sep 30, 2024 | Sep 5, 2024 |
| Brian Allen Kerber | Regal Investment Advisors LLC BD affiliated | Prasad Wealth Partners no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Sep 30, 2024 | Sep 5, 2024 |
| Roger Edward Godin | Regal Investment Advisors LLC BD affiliated | Prasad Wealth Partners no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Sep 30, 2024 | Sep 5, 2024 |
| Matthew Scott Schiller | Regal Investment Advisors LLC BD affiliated | Prasad Wealth Partners no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Sep 30, 2024 | Sep 5, 2024 |
| Anthony Grey Kulka | Regal Investment Advisors LLC BD affiliated | Prasad Wealth Partners no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Sep 30, 2024 | Sep 5, 2024 |
| Tiffany L Boval | Regal Investment Advisors LLC BD affiliated | Prasad Wealth Partners no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Sep 30, 2024 | Sep 5, 2024 |
| Kathleen Maura Mueller | Regal Investment Advisors LLC BD affiliated | Prasad Wealth Partners no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Sep 30, 2024 | Sep 6, 2024 |
| Michael Brian Doherty | Regal Investment Advisors LLC BD affiliated | Prasad Wealth Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 30, 2024 | Jul 2, 2025 (275 d) |
| Trent Vernon Speckman | Regal Investment Advisors LLC BD affiliated | Portfolio Medics, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 12, 2024 | Oct 3, 2024 |
| Dustan R Christensen | Regal Investment Advisors LLC BD affiliated | Api Financial Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 19, 2024 | May 6, 2025 (260 d) |
| Blake Thomas Moore | Regal Investment Advisors LLC BD affiliated | Ae Wealth Management, LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 5, 2024 | Jan 31, 2024 |
| Brian Stuart Jolles | Regal Investment Advisors LLC BD affiliated | Turning Point Financial independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 22, 2024 | Jan 19, 2024 |
| Brent Harold Rhoads | Regal Investment Advisors LLC BD affiliated | West Michigan Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 4, 2024 | May 19, 2025 (501 d) |
| William Brandon Gonzales | Regal Investment Advisors LLC BD affiliated | Gradient Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 24, 2023 | Nov 30, 2023 |
| Robert Allan Palma | Regal Investment Advisors LLC BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 7, 2023 | Jul 5, 2023 |
| Benjamin Eric Westin | Regal Investment Advisors LLC BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 21, 2023 | May 1, 2023 |
| Suzanne Renae Rohlik Holt | Regal Investment Advisors LLC BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 23, 2023 | Jun 29, 2023 (98 d) |
| Andre Lee Irlbeck | Regal Investment Advisors LLC BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 23, 2023 | Jun 29, 2023 (98 d) |
| Anders Natter | Regal Investment Advisors LLC BD affiliated | Pittenger & Anderson Inc mixed wealth | Affiliated broker-dealer or bank to independent RIA | Mar 17, 2023 | Mar 22, 2023 |
| Chad Andrew Brown | Regal Investment Advisors LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 16, 2023 | Mar 16, 2023 |
| Sonya Sue Lincolnhol | Regal Investment Advisors LLC BD affiliated | Retireful LLC asset manager | Other | Feb 24, 2023 | Feb 23, 2023 |
| Kurt Ryan Davis | Regal Investment Advisors LLC BD affiliated | Ameritas Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 29, 2022 | Sep 28, 2022 |
| Scott Winfield Burch | Regal Investment Advisors LLC BD affiliated | Sage Investment Group state registered | Affiliated broker-dealer or bank to a state-registered adviser | Sep 1, 2022 | Sep 26, 2022 |
| Kristin A Anderson | Regal Investment Advisors LLC BD affiliated | Thrivent Investment Management Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 1, 2022 | Dec 8, 2023 (463 d) |
| Gregory H. Oray | Regal Investment Advisors LLC BD affiliated | Cirrus Capital LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 23, 2022 | Aug 26, 2022 |
| James Gerard Huhn | Regal Investment Advisors LLC BD affiliated | Brookstone Wealth Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 14, 2022 | Aug 25, 2022 (42 d) |
| Jeremy William Watson | Regal Investment Advisors LLC BD affiliated | Mid Michigan Insurance And Financial Services LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jun 3, 2022 | Jun 20, 2022 |
| Adam Burton | Regal Investment Advisors LLC BD affiliated | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 23, 2022 | Jun 8, 2022 |
| Massimo Paone | Regal Investment Advisors LLC BD affiliated | Populist Capital LLC unclassified | Other | Feb 25, 2022 | Feb 28, 2022 |
| Carole Leigh Donohoo | Regal Investment Advisors LLC BD affiliated | Kovack Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 9, 2021 | Dec 15, 2021 |
| Richard Orlando Ahumada | Regal Investment Advisors LLC BD affiliated | Lincoln Investment BD affiliated | Affiliated broker-dealer or bank to another | Nov 30, 2021 | Dec 2, 2021 |
| Matthew Daniel Gusky | Regal Investment Advisors LLC BD affiliated | Lifeworks Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 8, 2021 | Dec 6, 2021 |
| Vint Wayne Stevenson | Regal Investment Advisors LLC BD affiliated | Stevenson Advisory Services & Investments state registered | Affiliated broker-dealer or bank to a state-registered adviser | Oct 6, 2021 | Jan 3, 2022 (89 d) |
| Ross E Welte | Regal Investment Advisors LLC BD affiliated | 5 Stone Financial Group, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Oct 1, 2021 | Sep 4, 2025 (1434 d) |
| James Dejaeger | Regal Investment Advisors LLC BD affiliated | Innovia Wealth, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 15, 2021 | Dec 15, 2021 (91 d) |
| Adam Wayne Fliehman | Regal Investment Advisors LLC BD affiliated | Spc BD affiliated | Affiliated broker-dealer or bank to another | Sep 14, 2021 | Oct 26, 2021 (42 d) |
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230 moves match.