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 |
|---|---|---|---|---|---|
| Alvin J Rudder | Regal Investment Advisors LLC BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jul 15, 2021 | Aug 18, 2021 (34 d) |
| Kyle Anthony Davis | Regal Investment Advisors LLC BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 30, 2021 | Jun 17, 2021 |
| Alfred Eugene Townsend | Regal Investment Advisors LLC BD affiliated | Advisory Services Network independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 7, 2021 | Jun 8, 2021 |
| Alfred Eugene Townsend | Regal Investment Advisors LLC BD affiliated | Advisory Services Network independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 7, 2021 | Jun 11, 2021 |
| John Dennis Kelly | Regal Investment Advisors LLC BD affiliated | Carrington Advisors, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Apr 1, 2021 | Apr 1, 2021 |
| Kenneth Andrew Davey | Regal Investment Advisors LLC BD affiliated | Carrington Advisors, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Apr 1, 2021 | Jan 1, 2026 (1736 d) |
| Don Ross Martin | Regal Investment Advisors LLC BD affiliated | Carrington Advisors, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Apr 1, 2021 | Mar 17, 2021 |
| Tyler Edward Talman | Regal Investment Advisors LLC BD affiliated | Carrington Advisors, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Apr 1, 2021 | Jan 15, 2021 |
| Cinthya Castellon Miceli | Regal Investment Advisors LLC BD affiliated | Carrington Advisors, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Apr 1, 2021 | Mar 19, 2021 |
| Joseph Jay Vinson | Regal Investment Advisors LLC BD affiliated | Ae Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 2, 2021 | Jan 29, 2021 |
| Jason Smith | Regal Investment Advisors LLC BD affiliated | Cf Financial state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jan 22, 2021 | Jan 25, 2021 |
| Kyle Joseph Watkins | Regal Investment Advisors LLC BD affiliated | Cf Financial state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jan 22, 2021 | Jan 21, 2021 |
| Logan Scott Ramer | Regal Investment Advisors LLC BD affiliated | Alphastar Capital Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 4, 2021 | Dec 14, 2020 |
| Nicholas Bryant Smith | Regal Investment Advisors LLC BD affiliated | Alphastar Capital Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 4, 2021 | Dec 14, 2020 |
| Dwayne Anthony Burnell | Regal Investment Advisors LLC BD affiliated | Brookstone Wealth Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 15, 2020 | Dec 15, 2020 |
| Chirho S Garcia | Regal Investment Advisors LLC BD affiliated | Elevated Capital Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 2, 2020 | Nov 30, 2020 |
| Chad Michael Curtis | Regal Investment Advisors LLC BD affiliated | Gradient Wealth Management BD affiliated | Affiliated broker-dealer or bank to another | Jul 23, 2020 | Sep 23, 2020 (62 d) |
| Adam David Talbert | Regal Investment Advisors LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 1, 2020 | Nov 2, 2023 (1219 d) |
| Jason Blair Chandler | Regal Investment Advisors LLC BD affiliated | Brookstone Wealth Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 30, 2020 | Jul 7, 2020 |
| Thomas P. Murray | Regal Investment Advisors LLC BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 29, 2020 | Nov 23, 2020 (147 d) |
| Peter Donald Thaldorf | Regal Investment Advisors LLC BD affiliated | Belpointe Asset Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 19, 2020 | Jun 16, 2020 |
| Thomas Michael Stoltman | Regal Investment Advisors LLC BD affiliated | Belpointe Asset Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 19, 2020 | Jun 16, 2020 |
| George Elias | Regal Investment Advisors LLC BD affiliated | Wealthshield Partners, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 10, 2020 | Jun 12, 2020 |
| William Joseph Demarco | Regal Investment Advisors LLC BD affiliated | Wealthshield Partners, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 10, 2020 | Jul 14, 2020 (34 d) |
| Angel Richelle Way | Regal Investment Advisors LLC BD affiliated | Wealthshield Partners, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 8, 2020 | Jun 12, 2020 |
| Brian Dufort Lowery | Regal Investment Advisors LLC BD affiliated | Elevated Capital Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 2, 2020 | May 19, 2020 |
| Paul Thomas Swift | Regal Investment Advisors LLC BD affiliated | G. A. Repple & Company BD affiliated | Affiliated broker-dealer or bank to another | Mar 31, 2020 | Apr 1, 2020 |
| John Dwyer | Regal Investment Advisors LLC BD affiliated | G. A. Repple & Company BD affiliated | Affiliated broker-dealer or bank to another | Mar 31, 2020 | Apr 2, 2020 |
| David Andrew Weiland | Regal Investment Advisors LLC BD affiliated | Alphastar Capital Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 10, 2020 | Feb 18, 2020 (39 d) |
| Gregory John Gall | Regal Investment Advisors LLC BD affiliated | Brookstone Wealth Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 3, 2020 | Jan 15, 2020 |
| Isaiah Smith | Regal Investment Advisors LLC BD affiliated | Alphastar Capital Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 3, 2020 | Jan 16, 2020 |
| Lisa Ann Anthony | Regal Investment Advisors LLC BD affiliated | Brookstone Wealth Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 3, 2020 | Jan 6, 2020 |
| Amanda Mchugh Stilwell | Regal Investment Advisors LLC BD affiliated | Alphastar Capital Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 26, 2019 | Dec 3, 2019 |
| Eric Lawrence Krattiger | Regal Investment Advisors LLC BD affiliated | Premier Wealth Advisors, Inc. state registered | Affiliated broker-dealer or bank to a state-registered adviser | Nov 6, 2019 | Apr 9, 2026 (2346 d) |
| Kurt Allen Berry | Regal Investment Advisors LLC BD affiliated | Vanderbilt Advisory Services BD affiliated | Affiliated broker-dealer or bank to another | Nov 6, 2019 | Nov 5, 2019 |
| Phillip Chad Castle | Regal Investment Advisors LLC BD affiliated | Brookstone Wealth Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 11, 2019 | Sep 13, 2019 |
| Jessica Lynn Burch | Regal Investment Advisors LLC BD affiliated | Brookstone Wealth Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 11, 2019 | Sep 6, 2019 |
| Cheryl Lavonne Daugherty | Regal Investment Advisors LLC BD affiliated | Brookstone Wealth Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 11, 2019 | Sep 13, 2019 |
| Alan Stuart Fried | Regal Investment Advisors LLC BD affiliated | Brookstone Wealth Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 15, 2019 | Jul 23, 2019 |
| Gary Burgess Dunne | Regal Investment Advisors LLC BD affiliated | Brookstone Wealth Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 15, 2019 | Jul 18, 2019 |
| Christopher John Lester | Regal Investment Advisors LLC BD affiliated | Brookstone Wealth Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 15, 2019 | Jul 22, 2019 |
| Cory Crawford Stilp | Regal Investment Advisors LLC BD affiliated | Brookstone Capital Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 15, 2019 | Jul 15, 2019 |
| Keith Brandon Lester | Regal Investment Advisors LLC BD affiliated | Brookstone Wealth Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 15, 2019 | Jul 22, 2019 |
| Frank Carl Dimicelli | Regal Investment Advisors LLC BD affiliated | Brookstone Wealth Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 15, 2019 | Jul 16, 2019 |
| Sunandan Kishorbhai Clerk | Regal Investment Advisors LLC BD affiliated | Dhamma Capital state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jun 19, 2019 | Jun 17, 2019 |
| David Ronald Hedges | Regal Investment Advisors LLC BD affiliated | Bookman Bright, Inc. state registered | Affiliated broker-dealer or bank to a state-registered adviser | May 22, 2019 | May 22, 2019 |
| Robert Christopher Beaulieu | Regal Investment Advisors LLC BD affiliated | Capital Analysts BD affiliated | Affiliated broker-dealer or bank to another | Feb 25, 2019 | Mar 14, 2019 |
| Matthew Edward Herman | Regal Investment Advisors LLC BD affiliated | Lincoln Investment BD affiliated | Affiliated broker-dealer or bank to another | Feb 15, 2019 | Feb 14, 2019 |
| Richard William Wasson | Regal Investment Advisors LLC BD affiliated | Capital Analysts BD affiliated | Affiliated broker-dealer or bank to another | Feb 15, 2019 | Feb 15, 2019 |
| Matthew Nicholas Hudak | Regal Investment Advisors LLC BD affiliated | Cocreate Financial state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jan 23, 2019 | Jan 2, 2019 |
| Belen Krabbe | Regal Investment Advisors LLC BD affiliated | Prosperity Capital Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 3, 2019 | Jan 4, 2019 |
| Robert Wayne Knotts | Regal Investment Advisors LLC BD affiliated | Alphastar Capital Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 18, 2018 | Jan 15, 2019 |
| Lloyd Vernon Childress | Regal Investment Advisors LLC BD affiliated | Brookstone Capital Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 12, 2018 | Dec 19, 2018 |
| Benjamin Carl Tompkins | Regal Investment Advisors LLC BD affiliated | Woodbury Financial Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 20, 2018 | Nov 16, 2018 |
| David Dennis Peters | Regal Investment Advisors LLC BD affiliated | Alliance Advisors Wealth Management LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Nov 1, 2018 | Nov 26, 2019 (390 d) |
| John Tolan Mints | Regal Investment Advisors LLC BD affiliated | Triumph Wealth Advisors, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 31, 2018 | Nov 6, 2018 |
| Jeremiah Samuel Castaneda | Regal Investment Advisors LLC BD affiliated | St. Bernard Financial Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 23, 2018 | Dec 4, 2018 (42 d) |
| Jeremy David Bryant | Regal Investment Advisors LLC BD affiliated | Prosperity Capital Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 31, 2018 | Aug 29, 2018 |
| Charisse Valerie Mackenzie | Regal Investment Advisors LLC BD affiliated | Ae Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 31, 2018 | Aug 30, 2018 |
| Patricia Dailey | Regal Investment Advisors LLC BD affiliated | Horace Mann Investors, Inc. no RAUM | Other | Aug 10, 2018 | Aug 20, 2018 |
230 moves match.