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 Investment Advisors Asset Management, 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
Richard Sewall RodmanInvestment Advisors Asset Management, LLC independent RIAIam Advisory LLC no RAUMRIA to a newly registered adviserJun 30, 2020Mar 17, 2020
Thomas Alan CaprioInvestment Advisors Asset Management, LLC independent RIAOsaic Wealth, Inc. BD affiliatedRIA to affiliated broker-dealer or bankJun 30, 2020Sep 10, 2019
Stephen KronickInvestment Advisors Asset Management, LLC independent RIAIam Advisory LLC no RAUMRIA to a newly registered adviserJun 30, 2020Mar 10, 2020
James Arthur RiceInvestment Advisors Asset Management, LLC independent RIACreative Asset Management otherOtherJun 30, 2020May 26, 2010
Gerald Emil StefanelliInvestment Advisors Asset Management, LLC independent RIAOsaic Wealth, Inc. BD affiliatedRIA to affiliated broker-dealer or bankJun 30, 2020Oct 18, 2019
Raymond ButterworthInvestment Advisors Asset Management, LLC independent RIAOsaic Wealth, Inc. BD affiliatedRIA to affiliated broker-dealer or bankJun 30, 2020Aug 12, 2019
Mark E YoungInvestment Advisors Asset Management, LLC independent RIAOsaic Wealth, Inc. BD affiliatedRIA to affiliated broker-dealer or bankJun 30, 2020Sep 25, 2019
Stephen Gerard GooditisInvestment Advisors Asset Management, LLC independent RIAIam Advisory LLC no RAUMRIA to a newly registered adviserJun 30, 2020Mar 9, 2020
Bruce Allen PerhachInvestment Advisors Asset Management, LLC independent RIAOsaic Wealth, Inc. BD affiliatedRIA to affiliated broker-dealer or bankJun 30, 2020Nov 13, 2019
John C BianchiInvestment Advisors Asset Management, LLC independent RIAIam Advisory LLC no RAUMRIA to a newly registered adviserJun 30, 2020Mar 13, 2020
James Anthony FlanneryInvestment Advisors Asset Management, LLC independent RIAOsaic Wealth, Inc. BD affiliatedRIA to affiliated broker-dealer or bankJun 30, 2020Sep 12, 2019
Thomas Andrew MusumeciInvestment Advisors Asset Management, LLC independent RIAOsaic Wealth, Inc. BD affiliatedRIA to affiliated broker-dealer or bankJun 30, 2020Sep 19, 2019
James August BartolacciInvestment Advisors Asset Management, LLC independent RIAOsaic Wealth, Inc. otherOtherJun 30, 2020Sep 30, 2016
Boyd Mertz BergenInvestment Advisors Asset Management, LLC independent RIAOsaic Wealth, Inc. BD affiliatedRIA to affiliated broker-dealer or bankJun 30, 2020Sep 11, 2019
Theresa A YoungInvestment Advisors Asset Management, LLC independent RIAOsaic Wealth, Inc. BD affiliatedRIA to affiliated broker-dealer or bankJun 30, 2020Sep 25, 2019
Thomas Eugene MusumeciInvestment Advisors Asset Management, LLC independent RIAOsaic Wealth, Inc. BD affiliatedRIA to affiliated broker-dealer or bankJun 30, 2020Sep 11, 2019
Patrick Joseph WhelanInvestment Advisors Asset Management, LLC independent RIAOsaic Wealth, Inc. BD affiliatedRIA to affiliated broker-dealer or bankJun 30, 2020Sep 11, 2019
Louis John MonacoInvestment Advisors Asset Management, LLC independent RIAOsaic Wealth, Inc. BD affiliatedRIA to affiliated broker-dealer or bankJun 30, 2020Sep 10, 2019
Ryan Joseph ConlinInvestment Advisors Asset Management, LLC independent RIAIam Advisory LLC no RAUMRIA to a newly registered adviserJun 30, 2020Mar 9, 2020
Jefferey M. CappelleInvestment Advisors Asset Management, LLC independent RIAOsaic Wealth, Inc. BD affiliatedRIA to affiliated broker-dealer or bankJun 30, 2020Sep 11, 2019
Jesse Philip PellegrinoInvestment Advisors Asset Management, LLC independent RIAOsaic Wealth, Inc. otherOtherJun 30, 2020Apr 26, 2016
Thomas Paul JonesInvestment Advisors Asset Management, LLC independent RIAOsaic Wealth, Inc. BD affiliatedRIA to affiliated broker-dealer or bankJun 30, 2020Sep 11, 2019
Joseph Clark ParsonsInvestment Advisors Asset Management, LLC independent RIAIam Advisory LLC no RAUMRIA to a newly registered adviserJun 30, 2020Feb 14, 2020
David Patrick StewartInvestment Advisors Asset Management, LLC independent RIAOsaic Wealth, Inc. BD affiliatedRIA to affiliated broker-dealer or bankMar 10, 2020Sep 19, 2019
Joseph Nelson GaragozzoInvestment Advisors Asset Management, LLC independent RIAOsaic Wealth, Inc. BD affiliatedRIA to affiliated broker-dealer or bankDec 16, 2019Sep 11, 2019
Charles Lanyond SeiboldInvestment Advisors Asset Management, LLC independent RIAOsaic Wealth, Inc. BD affiliatedRIA to affiliated broker-dealer or bankMay 8, 2019Jan 22, 2020 (259 d)
Michael Edward HydeInvestment Advisors Asset Management, LLC independent RIAOsaic Wealth, Inc. otherOtherJan 2, 2019Jun 12, 2015
William Gregory DorrietyInvestment Advisors Asset Management, LLC otherWells Fargo Advisors wirehouseOtherNov 23, 2016Jun 20, 2016
Deborah Ann StackpoleInvestment Advisors Asset Management, LLC otherStonecrest Advisors, Inc. mixed wealthOtherAug 19, 2016Oct 18, 2016 (60 d)
Edward Pius KasperavichInvestment Advisors Asset Management, LLC otherStonecrest Advisors, Inc. mixed wealthOtherAug 19, 2016Oct 18, 2016 (60 d)
Henry Joseph O'BrienInvestment Advisors Asset Management, LLC otherOsaic Wealth, Inc. otherOtherDec 31, 2015Jan 21, 2016
Gregory Joseph YakstaInvestment Advisors Asset Management, LLC otherPnc Wealth Management otherOtherNov 25, 2015Jun 28, 2017 (581 d)
John Leroy RocheInvestment Advisors Asset Management, LLC otherNext Financial Group, Inc. otherOtherApr 22, 2014Apr 21, 2014
Joshua John RocheInvestment Advisors Asset Management, LLC otherNext Financial Group, Inc. otherOtherApr 22, 2014Apr 21, 2014
Paul HarneyInvestment Advisors Asset Management, LLC otherPlanmember Securities Corporation otherOtherJan 6, 2014Jan 28, 2014
Robert Charles SchubertInvestment Advisors Asset Management, LLC otherWoodbury Financial Services, Inc. otherOtherSep 5, 2013Jun 27, 2013
Louis Robert FevrinInvestment Advisors Asset Management, LLC otherLegacy Investment Advisors, LLC state registeredOtherDec 31, 2012Feb 9, 2023 (3692 d)
Michael Lionel MarchInvestment Advisors Asset Management, LLC otherNpa Asset Management, LLC otherOtherJul 29, 2010Apr 26, 2010
Andrew Allan AronsInvestment Advisors Asset Management, LLC otherNpa Asset Management, LLC otherOtherJul 29, 2010Apr 26, 2010
James Christopher LynchInvestment Advisors Asset Management, LLC otherCommonwealth Financial Network national BDOtherNov 18, 2009Nov 19, 2009
Donald Lee AlbackerInvestment Advisors Asset Management, LLC otherCommonwealth Financial Network national BDOtherNov 18, 2009Nov 19, 2009
Lawrence Earl SpringerInvestment Advisors Asset Management, LLC otherMsi Financial Services, Inc. otherOtherSep 18, 2008Sep 3, 2008
Alyce Marie HackettInvestment Advisors Asset Management, LLC otherRaymond James Financial Services, Inc. unclassifiedOtherJul 1, 2008Feb 11, 2008
Nancy Mcghee LowreyInvestment Advisors Asset Management, LLC otherO'Sullivan Creel Wealth Advisors, Llp unclassifiedOtherDec 21, 2007Feb 26, 2008 (67 d)
Charles Cecil BartlerInvestment Advisors Asset Management, LLC otherSecurities America Advisors, Inc. otherOtherDec 6, 2006Nov 30, 2006
Albert Rhodes WilsonInvestment Advisors Asset Management, LLC otherSecurities America Advisors, Inc. otherOtherDec 5, 2006Dec 4, 2006
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46 moves match.