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.

AdvisorFromToTypeLeftRegistered
Craig Thomas CoughlinRegal Investment Advisors LLC BD affiliatedCorecap Advisors BD affiliatedAffiliated broker-dealer or bank to anotherAug 8, 2018Aug 17, 2018
Bilal Ali AquilRegal Investment Advisors LLC BD affiliatedAe Wealth Management, LLC independent RIAAffiliated broker-dealer or bank to independent RIAJun 28, 2018Dec 13, 2018 (168 d)
Denver William NowiczRegal Investment Advisors LLC BD affiliatedLifepro Asset Management independent RIAAffiliated broker-dealer or bank to independent RIAMay 31, 2018May 11, 2018
Michael TurnerRegal Investment Advisors LLC BD affiliatedVirtue Capital Management, LLC independent RIAAffiliated broker-dealer or bank to independent RIAMay 17, 2018Dec 21, 2021 (1314 d)
Kevin Patrick GerbersRegal Investment Advisors LLC BD affiliatedAe Wealth Management, LLC independent RIAAffiliated broker-dealer or bank to independent RIAMay 2, 2018Feb 13, 2018
Roman InochovskyRegal Investment Advisors LLC BD affiliatedInnovation Partners LLC BD affiliatedAffiliated broker-dealer or bank to anotherApr 26, 2018May 25, 2018
James Russell ScottRegal Investment Advisors LLC BD affiliatedConcierge Financial, Inc. unclassifiedOtherApr 11, 2018Apr 18, 2018
Douglas Stephen GarbanRegal Investment Advisors LLC BD affiliatedSpc otherOtherApr 6, 2018Mar 22, 2018
Michael Thomas MaisRegal Investment Advisors LLC BD affiliatedGlobal Portfolio Services LLC state registeredAffiliated broker-dealer or bank to a state-registered adviserApr 3, 2018Jan 1, 2026 (2830 d)
Charles Mark ColemanRegal Investment Advisors LLC BD affiliatedTriton Investments, LLC state registeredAffiliated broker-dealer or bank to a state-registered adviserApr 3, 2018Jul 23, 2018 (111 d)
Erickson Richard BraundRegal Investment Advisors LLC BD affiliatedDynamic otherOtherApr 2, 2018Mar 22, 2018
David Nelson HarperRegal Investment Advisors LLC otherBrookstone Capital Management LLC independent RIAOtherMar 19, 2018Mar 19, 2018
Melissa Rene HarperRegal Investment Advisors LLC otherBrookstone Capital Management LLC otherOtherMar 19, 2018Mar 15, 2018
Edward Thomas MooreRegal Investment Advisors LLC otherMountain Financial Capital unclassifiedOtherFeb 23, 2018Apr 5, 2018 (41 d)
Justin C JenkinsRegal Investment Advisors LLC otherAe Wealth Management, LLC independent RIAOtherFeb 13, 2018Feb 13, 2018
Mohamed EldawyRegal Investment Advisors LLC otherVestech Asset Management Inc. state registeredOtherJan 26, 2018Dec 6, 2018 (314 d)
Juan Gabriel Hernandez ArianoRegal Investment Advisors LLC other212 Advisory Group, LLC unclassifiedOtherNov 29, 2017Dec 14, 2017
Jean Jacques PierreRegal Investment Advisors LLC otherSagepoint Financial, Inc. BD affiliatedOtherNov 28, 2017Nov 21, 2017
David Grant PattonRegal Investment Advisors LLC otherTlg Advisors, Inc. otherOtherNov 3, 2017Nov 3, 2017
Brandon L RiveraRegal Investment Advisors LLC otherCrown Capital Securities, L.P. otherOtherNov 3, 2017Nov 8, 2017
Stavros MoforisRegal Investment Advisors LLC otherSagepoint Financial, Inc. otherOtherOct 25, 2017Oct 17, 2017
Michael Edward LoftusRegal Investment Advisors LLC otherAmerican Portfolios Advisors, Inc otherOtherOct 3, 2017Feb 21, 2018 (141 d)
Melynda CrozierRegal Investment Advisors LLC otherWells Fargo Advisors wirehouseOtherAug 28, 2017Aug 31, 2017
Harold Dennis RotaryRegal Investment Advisors LLC otherOsaic Institutions, Inc. otherOtherAug 22, 2017Aug 21, 2017
Babatunde Miklos OgunlanaRegal Investment Advisors LLC otherSagepoint Financial, Inc. otherOtherJul 26, 2017Jul 26, 2017
Mark Wallace SmithRegal Investment Advisors LLC otherCambridge Investment Research Advisors, Inc. otherOtherJun 2, 2017Jun 1, 2017
Todd Michael CourRegal Investment Advisors LLC otherCour Financial LLC unclassifiedOtherMay 30, 2017May 31, 2017
Joseph Richard DemeoRegal Investment Advisors LLC otherCreativeone Wealth, LLC independent RIAOtherMay 10, 2017Jan 13, 2021 (1344 d)
Mark Edward KenneyRegal Investment Advisors LLC otherAllstate Financial Advisors, LLC no RAUMOtherMay 1, 2017Jun 13, 2017 (43 d)
Nelly A GarciaRegal Investment Advisors LLC otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherApr 24, 2017Jun 23, 2017 (60 d)
Douglas A BrackinRegal Investment Advisors LLC otherAllstate Financial Advisors, LLC no RAUMOtherApr 5, 2017Apr 19, 2017
James Barry WattsRegal Investment Advisors LLC otherWealthcare Asset Management, LLC independent RIAOtherApr 3, 2017Jul 7, 2017 (95 d)
Elisabeth Marie Dawson-ScherbaumRegal Investment Advisors LLC otherCopia Wealth Management Advisors, Inc. state registeredOtherApr 3, 2017Jun 26, 2017 (84 d)
Philip Joseph BongiornoRegal Investment Advisors LLC otherIams Wealth Management, LLC no RAUMOtherMar 22, 2017Apr 6, 2017
Paige Ada FragaRegal Investment Advisors LLC otherCuna Brokerage Services, Inc. mixed wealthOtherMar 3, 2017Jun 27, 2018 (481 d)
Jesus QuezadaRegal Investment Advisors LLC otherCrown Capital Securities, L.P. otherOtherFeb 28, 2017Feb 27, 2017
Daniel Evan NortonRegal Investment Advisors LLC otherJ.J.B. Hilliard, W.L. Lyons, LLC otherOtherJan 27, 2017Feb 1, 2017
Nathaniel J FacarazzoRegal Investment Advisors LLC otherSequent Planning, LLC independent RIAOtherOct 31, 2016Feb 14, 2018 (471 d)
Melissa Ann GannonRegal Investment Advisors LLC otherCastle Wealth Management otherOtherOct 4, 2016Dec 1, 2016 (58 d)
Michael Lawrence HugRegal Investment Advisors LLC otherInfinity Financial Services Advisory independent RIAOtherSep 14, 2016Apr 27, 2020 (1321 d)
John Michael MoodyRegal Investment Advisors LLC otherOcala Capital, LLC state registeredOtherJul 14, 2016Dec 1, 2025 (3427 d)
Keith Steven BeggsRegal Investment Advisors LLC other212 Advisory Group, LLC unclassifiedOtherJun 23, 2016Aug 12, 2016 (50 d)
Jeremy Orson DoppRegal Investment Advisors LLC otherTrek Financial otherOtherJun 3, 2016Jun 2, 2016
John Eric BenedictRegal Investment Advisors LLC otherAlpha Cubed Investments, LLC independent RIAOtherMay 25, 2016Jun 15, 2018 (751 d)
John Nmn SalomonRegal Investment Advisors LLC otherAlpha Cubed Investments, LLC independent RIAOtherMay 25, 2016Jun 15, 2018 (751 d)
Richard T KinneyRegal Investment Advisors LLC otherHorter Investment Management, LLC otherOtherApr 21, 2016Apr 25, 2016
Michael Shannon TrentRegal Investment Advisors LLC otherHorter Investment Management, LLC otherOtherFeb 3, 2016Feb 9, 2016
Bruce Gary KasermanRegal Investment Advisors LLC otherHorter Investment Management, LLC otherOtherDec 14, 2015Sep 26, 2016 (287 d)
James Stephen BaudreauRegal Investment Advisors LLC otherFirst Advisors National, LLC otherOtherOct 30, 2015Jun 29, 2016 (243 d)
Timothy John MccormackRegal Investment Advisors LLC otherRidgeway Conger Advisory Services otherOtherSep 15, 2015Oct 19, 2015 (34 d)
Michael S DolceRegal Investment Advisors LLC otherNorthwestern Mutual Investment Services,LLC otherOtherJul 31, 2015Feb 16, 2016 (200 d)
Elvira Buenviaje AldanaRegal Investment Advisors LLC otherTransamerica Financial Advisors, LLC otherOtherJul 2, 2015Feb 26, 2016 (239 d)
James Raleigh BailesRegal Investment Advisors LLC otherWealth Management Investment Advisors, LLC state registeredOtherJul 2, 2015Oct 17, 2014
Steven David FruehRegal Investment Advisors LLC otherWealth Management Investment Advisors, LLC state registeredOtherJul 2, 2015Oct 16, 2014
Benjamin Jacob ChildsRegal Investment Advisors LLC otherWealth Management Investment Advisors, LLC state registeredOtherJul 2, 2015Oct 17, 2014
Brian Daniel MinierRegal Investment Advisors LLC otherProsperity Capital Advisors otherOtherMay 27, 2015Jun 2, 2015
Terry Lee TylerRegal Investment Advisors LLC otherRoyal Fund Management, LLC otherOtherMar 5, 2015Sep 4, 2013
Erik C BloomfeldtRegal Investment Advisors LLC otherIntegrity Financial Corporation otherOtherFeb 12, 2015Mar 3, 2015
Bryan Henry MarkerRegal Investment Advisors LLC otherUnited Planners' Financial Services Of America A Limited Partner otherOtherDec 31, 2014Jan 2, 2015
Jeanette Reisner HudepohlRegal Investment Advisors LLC otherAmerican Portfolios Advisors, Inc otherOtherDec 31, 2014Jan 2, 2015
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230 moves match.