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
Gloria Arsonia Potts	Regal Investment Advisors LLC other	Cambridge Investment Research Advisors, Inc. other	Other	Dec 31, 2014	Jan 2, 2015
Thomas E Hudepohl	Regal Investment Advisors LLC other	American Portfolios Advisors, Inc other	Other	Dec 31, 2014	Jan 2, 2015
Shane Tyler Wissmann	Regal Investment Advisors LLC other	Novem Group other	Other	Dec 31, 2014	Jan 2, 2015
Dewey Alan Engelsma	Regal Investment Advisors LLC other	Cambridge Investment Research Advisors, Inc. other	Other	Dec 17, 2014	Dec 17, 2014
Gregory David Vasher	Regal Investment Advisors LLC other	Msi Financial Services, Inc. other	Other	Dec 1, 2014	Dec 16, 2014
Carlos Alves Dias	Regal Investment Advisors LLC other	Brookstone Wealth Advisors, LLC other	Other	Nov 12, 2014	Dec 1, 2014
Karen R Noonan	Regal Investment Advisors LLC other	Secure Asset Management, L.L.C. independent RIA	Other	Oct 14, 2014	May 18, 2026 (4234 d)
Lies Angela Rusticus	Regal Investment Advisors LLC other	Brookstone Asset Management, LLC other	Other	Oct 13, 2014	Dec 11, 2014 (59 d)
Adam Jon Moeller	Regal Investment Advisors LLC other	Wealth Watch Advisors, Inc other	Other	Aug 14, 2014	Jul 25, 2016 (711 d)
David John Gagnon	Regal Investment Advisors LLC other	Brookstone Wealth Advisors, LLC other	Other	Jun 4, 2014	Jul 7, 2014 (33 d)
Chris Alan Bettencourt	Regal Investment Advisors LLC other	Bethesda Financial Advisors, LLC state registered	Other	May 14, 2014	May 14, 2014
Carmel John Spiteri	Regal Investment Advisors LLC other	Cambridge Investment Research Advisors, Inc. other	Other	May 2, 2014	May 5, 2014
Michael John Sloan	Regal Investment Advisors LLC other	Keystone Capital Corporation other	Other	Mar 19, 2014	Mar 26, 2014
David Robert Newbill	Regal Investment Advisors LLC other	First Allied Advisory Services, Inc. other	Other	Mar 14, 2014	Apr 7, 2014
Barton Jay Steindler	Regal Investment Advisors LLC other	First Allied Advisory Services, Inc. other	Other	Mar 14, 2014	Mar 19, 2014
Shannon Paul Simon	Regal Investment Advisors LLC other	First Allied Advisory Services, Inc. other	Other	Mar 14, 2014	Mar 16, 2014
Stephen Claude Carter	Regal Investment Advisors LLC other	Royal Advisors, LLC other	Other	Mar 14, 2014	May 5, 2014 (52 d)
Brian Scott Menzel	Regal Investment Advisors LLC other	Principal Securities, Inc. other	Other	Feb 13, 2014	Feb 17, 2014
Robert Alan Minasian	Regal Investment Advisors LLC other	Lowell Wealth Management other	Other	Feb 3, 2014	Sep 18, 2014 (227 d)
Bryan Sonderby	Regal Investment Advisors LLC other	Independent Capital Management unclassified	Other	Dec 5, 2013	Dec 4, 2013
Junior Rondeau	Regal Investment Advisors LLC other	Primerica Advisors national BD	Other	Oct 31, 2013	Dec 5, 2014 (400 d)
Matthew Philip Erickson	Regal Investment Advisors LLC other	Legacy Planning & Associates, Inc. independent RIA	Other	Oct 14, 2013	Oct 17, 2013
Kimball Thomas Kistler	Regal Investment Advisors LLC other	Royal Fund Management, LLC other	Other	Aug 23, 2013	Aug 27, 2013
Joseph Christopher Arsenault	Regal Investment Advisors LLC other	Arbor Wealth Management, LLC independent RIA	Other	Aug 1, 2013	Aug 28, 2013
Jake Clifford Ulrich	Regal Investment Advisors LLC other	Arbor Wealth Management, LLC independent RIA	Other	Aug 1, 2013	Aug 28, 2013
Michael Walburn Lassiter	Regal Investment Advisors LLC other	Michael W. Lassiter Clu Chfc Inc. state registered	Other	Apr 30, 2013	May 30, 2013
Isaac Robert Cockfield	Regal Investment Advisors LLC other	Private Advisor Group, LLC other	Other	Apr 2, 2013	Jul 10, 2015 (829 d)
Hans Eckart Scheil	Regal Investment Advisors LLC other	Cardinal Retirement Planning, Inc. independent RIA	Other	Feb 19, 2013	Feb 20, 2013
Peter Myron Augustine	Regal Investment Advisors LLC other	Securities America Advisors, Inc. other	Other	Jan 23, 2013	Jan 22, 2013
Elizabeth Anderson Munday	Regal Investment Advisors LLC other	LPL Financial LLC other	Other	Dec 31, 2012	Jan 22, 2013
Matthew John Van Hekken	Regal Investment Advisors LLC other	Cuso Financial Services, L.P. other	Other	Oct 30, 2012	Dec 1, 2016 (1493 d)
James Jay Schipper	Regal Investment Advisors LLC other	Advisory Alpha, LLC other	Other	Apr 27, 2012	Oct 5, 2011
Claude Thomas Corbett	Regal Investment Advisors LLC other	Horter Investment Management, LLC other	Other	Mar 30, 2012	Jan 15, 2014 (656 d)
H. Terry Martine	Regal Investment Advisors LLC other	Alphastar Capital Management other	Other	Feb 23, 2012	Mar 13, 2012
Anthony Joseph Burek	Regal Investment Advisors LLC other	Huntington Financial Advisors other	Other	Jan 23, 2012	Jan 25, 2012
Larry Dale Roby	Regal Investment Advisors LLC other	Alphastar Capital Management other	Other	Nov 28, 2011	Dec 5, 2011
Bradford James Pinter	Regal Investment Advisors LLC other	Advisory Alpha, LLC other	Other	Sep 19, 2011	Oct 5, 2011
Scott Dunning Walker	Regal Investment Advisors LLC other	Horizon Financial Services, LLC independent RIA	Other	Sep 16, 2011	Oct 4, 2011
John Joseph Brais	Regal Investment Advisors LLC other	Horizon Financial Services, LLC independent RIA	Other	Sep 8, 2011	Sep 15, 2011
David Alan Lopez	Regal Investment Advisors LLC other	Alphastar Capital Management other	Other	Aug 11, 2011	Aug 31, 2011
Douglas A Clancy	Regal Investment Advisors LLC other	Alphastar Capital Management other	Other	Aug 9, 2011	Aug 25, 2011
William David Hudson	Regal Investment Advisors LLC other	Alphastar Capital Management other	Other	Aug 3, 2011	Aug 2, 2011
Richard Anthony Berry	Regal Investment Advisors LLC other	Alphastar Capital Management other	Other	Aug 2, 2011	Aug 4, 2011
Marcia Annette Miller	Regal Investment Advisors LLC other	Alphastar Capital Management other	Other	Jun 30, 2011	Jul 6, 2011
Kevin Michael Bucher	Regal Investment Advisors LLC other	Alphastar Capital Management other	Other	Jun 28, 2011	Jun 29, 2011
Shawn Patrick Lee	Regal Investment Advisors LLC other	Alphastar Capital Management other	Other	Jun 22, 2011	Jun 22, 2011
Steve Mark Osterink	Regal Investment Advisors LLC other	Alphastar Capital Management other	Other	Jun 7, 2011	Jun 10, 2011
Kevin James Burton	Regal Investment Advisors LLC other	Alphastar Capital Management other	Other	May 31, 2011	Jun 1, 2011
Mark Alan Vanvoorhees	Regal Investment Advisors LLC other	Berthel Fisher & Company Financial Services, Inc. other	Other	May 2, 2011	May 24, 2011
Richard Robert Marotzke	Regal Investment Advisors LLC other	Berthel Fisher & Company Financial Services, Inc. other	Other	May 2, 2011	May 24, 2011

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230 moves match.