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.

AdvisorFromToTypeLeftRegistered
Robert Henry BreslinSorrento Pacific Financial, LLC otherKestra Advisory Services, LLC BD affiliatedOtherJun 6, 2017Oct 31, 2018 (512 d)
Andrew MorrisSorrento Pacific Financial, LLC otherPruco Securities, LLC BD affiliatedOtherMay 12, 2017Dec 27, 2018 (594 d)
Mark Joseph MinniumSorrento Pacific Financial, LLC otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherDec 27, 2016Mar 26, 2018 (454 d)
Adam Louis NietoSorrento Pacific Financial, LLC otherLPL Financial LLC otherOtherNov 15, 2016Nov 16, 2016
Oscar Lee HarrisonSorrento Pacific Financial, LLC otherLPL Financial LLC otherOtherNov 15, 2016Apr 3, 2017 (139 d)
Michael Dale MiltonSorrento Pacific Financial, LLC otherLPL Financial LLC otherOtherNov 15, 2016Nov 15, 2016
Brian Dat NguyenSorrento Pacific Financial, LLC otherLPL Financial LLC otherOtherNov 15, 2016Nov 15, 2016
Edward Benjamin HarrisSorrento Pacific Financial, LLC otherLPL Financial LLC BD affiliatedOtherNov 15, 2016Jan 1, 2025 (2969 d)
Matthew A WeaverSorrento Pacific Financial, LLC otherLPL Financial LLC BD affiliatedOtherNov 15, 2016Mar 12, 2021 (1578 d)
Donna HickoSorrento Pacific Financial, LLC otherCetera Advisor Networks LLC otherOtherNov 8, 2016Sep 22, 2017 (318 d)
John Byron PooreSorrento Pacific Financial, LLC otherSecurities America Advisors, Inc. otherOtherSep 23, 2016Sep 27, 2016
Derek Wayne BorderSorrento Pacific Financial, LLC otherPackerland Brokerage Services, Inc. otherOtherAug 30, 2016Dec 19, 2016 (111 d)
David Todd GreenSorrento Pacific Financial, LLC otherEdward Jones national BDOtherAug 26, 2016Aug 19, 2016
Shirin RastegarSorrento Pacific Financial, LLC otherCitigroup Global Markets Inc. otherOtherAug 16, 2016Dec 6, 2017 (477 d)
Christopher Joseph UrsoSorrento Pacific Financial, LLC otherLPL Financial LLC BD affiliatedOtherJul 26, 2016May 15, 2025 (3215 d)
Paul Anthony ModafferiSorrento Pacific Financial, LLC otherInvestment Professionals, Inc. otherOtherJun 2, 2016Jun 7, 2016
Keith DillowaySorrento Pacific Financial, LLC otherMorgan Stanley wirehouseOtherMar 23, 2016Apr 5, 2016
David AmatoSorrento Pacific Financial, LLC otherPnc Wealth Management otherOtherFeb 25, 2016Mar 10, 2016
Michael Steven GradlSorrento Pacific Financial, LLC otherCuso Financial Services, L.P. otherOtherJan 8, 2016Jan 5, 2016
Antonio CarterSorrento Pacific Financial, LLC otherCommonwealth Financial Network national BDOtherDec 22, 2015Dec 11, 2015
Mark Anthony SanchezSorrento Pacific Financial, LLC otherLPL Financial LLC otherOtherJun 29, 2015Jul 22, 2015
Martin James MangialardiSorrento Pacific Financial, LLC otherCuna Brokerage Services, Inc. otherOtherMay 19, 2015Aug 19, 2015 (92 d)
Vladislav TsynSorrento Pacific Financial, LLC otherStrategic Advisers LLC national BDOtherApr 13, 2015Jul 14, 2015 (92 d)
Susan LyleSorrento Pacific Financial, LLC otherWells Fargo Advisors wirehouseOtherApr 10, 2015Apr 10, 2015
Paul Christopher RanieriSorrento Pacific Financial, LLC otherSsn Advisory, Inc. otherOtherJan 13, 2015Feb 3, 2015
Joseph Alphonse FermanoSorrento Pacific Financial, LLC otherSsn Advisory, Inc. otherOtherJan 9, 2015Jan 9, 2015
Julie Anne WallaceSorrento Pacific Financial, LLC otherWells Fargo Advisors wirehouseOtherOct 31, 2014Oct 17, 2014
Savas Nick ConstantinouSorrento Pacific Financial, LLC otherEquitable Advisors, LLC national BDOtherOct 3, 2014Jun 25, 2015 (265 d)
Alfonso Joseph SiravoSorrento Pacific Financial, LLC otherM&T Securities, Inc. unclassifiedOtherJul 23, 2014Mar 19, 2015 (239 d)
Timothy Alexander QuigleySorrento Pacific Financial, LLC otherCuna Brokerage Services, Inc. otherOtherJul 21, 2014Apr 1, 2015 (254 d)
Timothy Blane SeaseSorrento Pacific Financial, LLC otherLPL Financial LLC otherOtherMay 16, 2014May 13, 2014
Treze J BeasleySorrento Pacific Financial, LLC otherLPL Financial LLC otherOtherMay 16, 2014May 14, 2014
Robert Ray RossSorrento Pacific Financial, LLC otherLPL Financial LLC otherOtherMay 16, 2014Jun 9, 2014
Kristina Page CampbellSorrento Pacific Financial, LLC otherLPL Financial LLC otherOtherMay 16, 2014May 14, 2014
Ryan Brett ReevesSorrento Pacific Financial, LLC otherLPL Financial LLC otherOtherMay 16, 2014May 13, 2014
Heather Mckinney VenrickSorrento Pacific Financial, LLC otherLPL Financial LLC otherOtherMay 16, 2014May 14, 2014
Kelly LuckhausSorrento Pacific Financial, LLC otherLPL Financial LLC otherOtherMay 16, 2014May 13, 2014
Andrew A DalrympleSorrento Pacific Financial, LLC otherLPL Financial LLC otherOtherMay 16, 2014May 14, 2014
Walter Steven LessSorrento Pacific Financial, LLC otherLPL Financial LLC otherOtherMay 16, 2014May 14, 2014
Neal WebbSorrento Pacific Financial, LLC otherLPL Financial LLC otherOtherMay 16, 2014May 14, 2014
Benjamin J PearmanSorrento Pacific Financial, LLC otherLPL Financial LLC otherOtherJan 8, 2014Jan 6, 2014
James ParkerSorrento Pacific Financial, LLC otherCetera Investment Advisers LLC BD affiliatedOtherAug 1, 2013Mar 21, 2024 (3885 d)
Daniel Craig MozerSorrento Pacific Financial, LLC otherRaymond James Financial Services Advisors, Inc otherOtherOct 22, 2012Nov 8, 2012
Chad Michael WebsterSorrento Pacific Financial, LLC otherBancwest Investment Services, Inc. (Bwis) otherOtherSep 6, 2012Aug 16, 2012
Adam Eliot TruittSorrento Pacific Financial, LLC otherOsaic Institutions, Inc. otherOtherJul 18, 2012Jul 18, 2012
Jennifer Lynne ArpsSorrento Pacific Financial, LLC otherCetera Investment Services LLC otherOtherNov 11, 2011Nov 14, 2011
Christopher Arthur MarkosSorrento Pacific Financial, LLC otherCetera Investment Services LLC otherOtherNov 11, 2011Nov 11, 2011
Jean Elaine HuberSorrento Pacific Financial, LLC otherInvest Financial Corporation otherOtherNov 8, 2011Nov 18, 2011
Allen Dale SmithSorrento Pacific Financial, LLC otherLPL Financial LLC otherOtherSep 30, 2011May 17, 2012 (230 d)
Douglas Paul CaesareSorrento Pacific Financial, LLC otherLPL Financial LLC otherOtherAug 26, 2011Aug 15, 2011
William Scott BaberSorrento Pacific Financial, LLC otherPersonal Capital Advisors Corporation otherOtherAug 26, 2011Sep 26, 2011 (31 d)
Curtis GodtSorrento Pacific Financial, LLC otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherJul 28, 2011Sep 12, 2011 (46 d)
Geoff Louis GrabeSorrento Pacific Financial, LLC otherBancwest Investment Services, Inc. (Bwis) otherOtherMay 31, 2011May 16, 2011
Michael Thomas KarbouskiSorrento Pacific Financial, LLC otherVsr Advisory Services otherOtherDec 15, 2010Jan 4, 2011
James Dwain SmithSorrento Pacific Financial, LLC otherEdward Jones national BDOtherOct 16, 2009Jan 19, 2010 (95 d)
Brandon Michael MannSorrento Pacific Financial, LLC otherSecurities America Advisors, Inc. otherOtherJul 31, 2009Jul 23, 2009
Michael Todd ShinnSorrento Pacific Financial, LLC otherBerthel Fisher & Company Financial Services, Inc. otherOtherDec 31, 2008Jun 24, 2015 (2366 d)
Michael J CalvelliSorrento Pacific Financial, LLC otherProtected Investors Of America otherOtherJul 17, 2007Mar 14, 2012 (1702 d)
Adam J. BaySorrento Pacific Financial, LLC otherInvestment Centers Of America, Inc. otherOtherFeb 14, 2007Feb 9, 2007
Richard Rock TaylorSorrento Pacific Financial, LLC otherChase Investment Services Corp. otherOtherJan 19, 2007Jan 25, 2007
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120 moves match.