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 Sorrento Pacific Financial, 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 |
|---|---|---|---|---|---|
| Christopher Leonard Mccain | Sorrento Pacific Financial, LLC BD affiliated | Truist Advisory Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 4, 2025 | Jan 12, 2026 (130 d) |
| Robert Holcomb | Sorrento Pacific Financial, LLC BD affiliated | Valic Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 1, 2025 | Jan 23, 2026 (175 d) |
| Adam P Fernance | Sorrento Pacific Financial, LLC BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 1, 2025 | Sep 29, 2025 (59 d) |
| Edward Montagna | Sorrento Pacific Financial, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 16, 2025 | May 15, 2025 |
| Michael Anthony Pugliese | Sorrento Pacific Financial, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 15, 2025 | May 15, 2025 |
| Joe Neil Haywood | Sorrento Pacific Financial, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 15, 2025 | May 15, 2025 |
| Adam Louis Nieto | Sorrento Pacific Financial, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 15, 2025 | May 15, 2025 |
| Michael Riley Alef | Sorrento Pacific Financial, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 15, 2025 | May 15, 2025 |
| Shannon Renee Irwin | Sorrento Pacific Financial, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 15, 2025 | May 15, 2025 |
| Wendi Kernels Drennon | Sorrento Pacific Financial, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 15, 2025 | May 15, 2025 |
| Michael Wayne Schwenker | Sorrento Pacific Financial, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 15, 2025 | May 15, 2025 |
| Frank Boyd Smith | Sorrento Pacific Financial, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 15, 2025 | May 15, 2025 |
| Andrey Letushko | Sorrento Pacific Financial, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 15, 2025 | May 15, 2025 |
| Teresa Marie Garrett | Sorrento Pacific Financial, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 15, 2025 | May 15, 2025 |
| Kimberly Marie Martin | Sorrento Pacific Financial, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 15, 2025 | May 15, 2025 |
| George H Elias | Sorrento Pacific Financial, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 15, 2025 | May 15, 2025 |
| James J Giordano | Sorrento Pacific Financial, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 15, 2025 | May 15, 2025 |
| Ethan J Triche | Sorrento Pacific Financial, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 15, 2025 | May 15, 2025 |
| Travis Crenshaw | Sorrento Pacific Financial, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 15, 2025 | May 22, 2025 |
| Shanel Sarah Dubique | Sorrento Pacific Financial, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 15, 2025 | May 15, 2025 |
| Samuel Joshua Hardin | Sorrento Pacific Financial, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 15, 2025 | May 15, 2025 |
| Alexander Paul Chin | Sorrento Pacific Financial, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 15, 2025 | May 15, 2025 |
| Monaye C Nelson-Morgan | Sorrento Pacific Financial, LLC BD affiliated | Navy Federal Investment Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 11, 2025 | Jun 9, 2025 (90 d) |
| Spencer T. Schneider | Sorrento Pacific Financial, LLC BD affiliated | Strategic Advisers LLC national BD | Affiliated broker-dealer or bank to another | Feb 25, 2025 | May 19, 2025 (83 d) |
| Kathryn Leeper Hooper | Sorrento Pacific Financial, LLC BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 10, 2025 | Jan 13, 2025 |
| Patrick Owens | Sorrento Pacific Financial, LLC BD affiliated | Avantax Planning Partners, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 4, 2024 | Jan 23, 2025 (141 d) |
| Teresa Janette Brock | Sorrento Pacific Financial, LLC BD affiliated | Voya Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 9, 2024 | Sep 25, 2025 (443 d) |
| Elizabeth Legacy | Sorrento Pacific Financial, LLC BD affiliated | Realta Investment Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Jun 24, 2024 | Jul 1, 2024 |
| Rick Hoskins | Sorrento Pacific Financial, LLC BD affiliated | Impact Partnership Wealth, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 22, 2024 | Jan 23, 2024 |
| Daniel Rosado Mercado | Sorrento Pacific Financial, LLC BD affiliated | Schorn Wealth no RAUM | Other | Sep 23, 2022 | Jul 5, 2019 |
| Matthew Shea Purvis | Sorrento Pacific Financial, LLC BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Jul 18, 2022 | Jul 25, 2022 |
| Anthony Martin Bonafede | Sorrento Pacific Financial, LLC BD affiliated | Cuso Financial Services, L.P. BD affiliated | Affiliated broker-dealer or bank to another | Mar 29, 2022 | Aug 27, 2018 |
| Caleb Brian Walter | Sorrento Pacific Financial, LLC BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 21, 2022 | May 4, 2022 (44 d) |
| Robert Michael Mcallister | Sorrento Pacific Financial, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 13, 2021 | Sep 14, 2021 |
| Andrew Corry Beckstrand | Sorrento Pacific Financial, LLC BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Aug 31, 2021 | Nov 26, 2021 (87 d) |
| Brendan Robert Mcmurtrie | Sorrento Pacific Financial, LLC BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | May 21, 2021 | Jun 23, 2021 (33 d) |
| Yun-Yu Szu | Sorrento Pacific Financial, LLC BD affiliated | Mariner Advisor Network independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 19, 2021 | May 6, 2021 |
| Samuel Franco | Sorrento Pacific Financial, LLC BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jan 26, 2021 | Feb 2, 2021 |
| Delawar Roashan | Sorrento Pacific Financial, LLC BD affiliated | Equitable Advisors, LLC national BD | Affiliated broker-dealer or bank to another | Nov 2, 2020 | Jan 27, 2025 (1547 d) |
| Robert Horowitz | Sorrento Pacific Financial, LLC BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Oct 1, 2020 | Sep 16, 2021 (350 d) |
| Sybil Lee Poage | Sorrento Pacific Financial, LLC BD affiliated | The Wealth Consulting Group independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 10, 2020 | Sep 10, 2025 (1857 d) |
| Stephen Guy Widner | Sorrento Pacific Financial, LLC BD affiliated | Navy Federal Investment Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 10, 2020 | Oct 5, 2022 (817 d) |
| David Wohl | Sorrento Pacific Financial, LLC BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Jul 10, 2020 | Feb 17, 2022 (587 d) |
| David Harry Elster | Sorrento Pacific Financial, LLC BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 15, 2020 | Jun 11, 2020 (57 d) |
| Steven Andrew Sanchez | Sorrento Pacific Financial, LLC BD affiliated | State Farm Investment Management Corp. asset manager | Other | Feb 25, 2020 | Feb 28, 2024 (1464 d) |
| Marianna Sada | Sorrento Pacific Financial, LLC BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Oct 1, 2019 | Oct 17, 2019 |
| Duane F. Porter | Sorrento Pacific Financial, LLC BD affiliated | Money Concepts Advisory Service BD affiliated | Affiliated broker-dealer or bank to another | Aug 30, 2019 | Sep 13, 2019 |
| Raymond S Offenburger | Sorrento Pacific Financial, LLC BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 25, 2019 | Jul 5, 2019 |
| Brennan David Lane | Sorrento Pacific Financial, LLC independent RIA | UBS Financial Services Inc. wirehouse | RIA to wirehouse | Feb 28, 2019 | Mar 8, 2019 |
| Michael Garvida Acio | Sorrento Pacific Financial, LLC independent RIA | Commonwealth Financial Network national BD | RIA to affiliated broker-dealer or bank | Feb 22, 2019 | Jun 23, 2020 (487 d) |
| David Vigil | Sorrento Pacific Financial, LLC independent RIA | Cetera Investment Advisers LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jan 29, 2019 | Jan 28, 2019 |
| Bruce Craig Mcculloch | Sorrento Pacific Financial, LLC independent RIA | Allstate Financial Advisors, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Dec 20, 2018 | Mar 14, 2019 (84 d) |
| Brian Michael Frost | Sorrento Pacific Financial, LLC independent RIA | Osaic Fa, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Nov 8, 2018 | Nov 8, 2018 |
| Raymond Dominic Caggiano | Sorrento Pacific Financial, LLC independent RIA | Santander Securities BD affiliated | RIA to affiliated broker-dealer or bank | Oct 30, 2018 | Nov 8, 2018 |
| Nicholas Thomas Poulos | Sorrento Pacific Financial, LLC BD affiliated | Cetera Investment Advisers LLC other | Other | Jan 12, 2018 | Jan 16, 2018 |
| Sandra Ann Pappalardo | Sorrento Pacific Financial, LLC BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 31, 2017 | Apr 29, 2022 (1580 d) |
| Mohamed A Alsoraimi | Sorrento Pacific Financial, LLC BD affiliated | Kingswood Wealth Advisors, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Dec 15, 2017 | Jan 4, 2018 |
| Grant Walter Kincade | Sorrento Pacific Financial, LLC BD affiliated | Bancwest Investment Services, Inc. (Bwis) other | Other | Dec 8, 2017 | Dec 18, 2017 |
| Megan Ruo | Sorrento Pacific Financial, LLC other | Santander Securities other | Other | Nov 17, 2017 | Nov 27, 2017 |
| Simon Y Chung | Sorrento Pacific Financial, LLC other | Ameriprise Financial Services, LLC national BD | Other | Oct 13, 2017 | Oct 24, 2017 |
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120 moves match.