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 Kcd Financial, 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
Michael Brooke DavisKcd Financial, Inc. independent RIAWealth Watch Advisors, Inc independent RIARIA to RIAAug 11, 2026Aug 18, 2026
Luke JockovichKcd Financial, Inc. independent RIAFisher Investments independent RIARIA to RIAMay 27, 2026Jun 12, 2026
Mark D BerndtKcd Financial, Inc. independent RIAIpi Wealth Management, Inc. BD affiliatedRIA to affiliated broker-dealer or bankJan 27, 2024Feb 1, 2024
Phillip Gerard VogelKcd Financial, Inc. independent RIAVogel Wealth Management, LLC state registeredRIA to a state-registered adviserAug 4, 2023Aug 8, 2023
Michelle SmithKcd Financial, Inc. BD affiliatedPenney Financial independent RIAAffiliated broker-dealer or bank to independent RIAApr 30, 2021Mar 3, 2023 (672 d)
Regina UngerKcd Financial, Inc. BD affiliatedIpi Wealth Management, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherJun 3, 2019May 27, 2019
Lori Lea FuerstenbergKcd Financial, Inc. independent RIAFreedom Investors Corp. otherOtherNov 6, 2018Feb 19, 2013
Kathryn Lewin HadleyKcd Financial, Inc. otherCalton & Associates, Inc. otherOtherApr 3, 2017May 9, 2017 (36 d)
James Richard ArnholtKcd Financial, Inc. otherCpr Investments Inc independent RIAOtherNov 1, 2016Jul 13, 2017 (254 d)
Andrew Craig UmbachKcd Financial, Inc. otherFirst Allied Advisory Services, Inc. otherOtherJan 7, 2015Dec 17, 2014
James Andrew CaseKcd Financial, Inc. otherInternational Assets Investment Management, LLC BD affiliatedOtherDec 10, 2014Aug 27, 2026 (4278 d)
Michael Dale KoontzKcd Financial, Inc. otherKeystone Capital Corporation otherOtherDec 31, 2013Feb 4, 2014 (35 d)
Nicholas Glen JohnsonKcd Financial, Inc. otherValic Financial Advisors, Inc. otherOtherNov 4, 2013Aug 18, 2015 (652 d)
Jeffrey Bernard LarsonKcd Financial, Inc. otherAdvice And Planning Services BD affiliatedOtherOct 6, 2011Mar 18, 2019 (2720 d)
Christopher John LetendreKcd Financial, Inc. otherLetendre, Christopher J. unclassifiedOtherApr 18, 2011Jun 9, 2011 (52 d)
Linda Jean BradleKcd Financial, Inc. otherSii Investments, Inc. otherOtherOct 13, 2010Oct 11, 2010
John Michael BennettKcd Financial, Inc. otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherJul 6, 2010Jul 7, 2010
John Burke BalcerzakKcd Financial, Inc. otherTrident Investment Management Inc unclassifiedOtherJun 15, 2009Jun 12, 2009
Hilary Guy BergmanKcd Financial, Inc. otherPelion Investment Advisors, Inc. otherOtherJan 8, 2009Jun 21, 2021 (4547 d)
Richard Buel BatesKcd Financial, Inc. otherStifel Independent Advisors, LLC otherOtherOct 3, 2007Oct 1, 2007
Calvin Marshall RutledgeKcd Financial, Inc. otherFirst Financial Advisors, LLC otherOtherAug 30, 2007Aug 27, 2007
Randy Leon FloydKcd Financial, Inc. otherAllegiant Financial Advisors, LLC state registeredOtherMar 13, 2007May 10, 2007 (58 d)
Laura L LoomisKcd Financial, Inc. otherEdward Jones national BDOtherAug 18, 2005Sep 27, 2016 (4058 d)
Samuel Fletcher DuellKcd Financial, Inc. otherDuell Financial Strategies state registeredOtherJan 3, 2005May 17, 2006 (499 d)
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24 moves match.