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 Money Concepts Advisory Service
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 |
|---|---|---|---|---|---|
| Stephen Laurence Shloss | Money Concepts Advisory Service BD affiliated | Castle Financial state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jul 17, 2026 | Jul 17, 2026 |
| Nicholas G. Amendolara | Money Concepts Advisory Service BD affiliated | Strategic Advisers LLC national BD | Affiliated broker-dealer or bank to another | Jul 7, 2026 | Aug 7, 2026 (31 d) |
| Gregory Drew Vacca | Money Concepts Advisory Service BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 29, 2026 | Sep 1, 2026 (64 d) |
| Ingrid K Lamb | Money Concepts Advisory Service BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jun 26, 2026 | Jun 25, 2026 |
| Karl Douglas Hering | Money Concepts Advisory Service BD affiliated | Unity Wealth Strategies state registered | Affiliated broker-dealer or bank to a state-registered adviser | Apr 30, 2026 | May 5, 2026 |
| Fernando Enrico Hirugami | Money Concepts Advisory Service BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 24, 2026 | May 22, 2026 |
| Peter John Orth | Money Concepts Advisory Service BD affiliated | Liberty One Investment Management asset manager | Other | Apr 15, 2026 | Oct 22, 2019 |
| Benjamin William Pahl | Money Concepts Advisory Service BD affiliated | Liberty One Investment Management no RAUM | Other | Apr 15, 2026 | Jun 21, 2019 |
| Tyler James Braun | Money Concepts Advisory Service BD affiliated | The Tranel Group, LLC no RAUM | Other | Apr 15, 2026 | Aug 18, 2023 |
| Jordan Bradford | Money Concepts Advisory Service BD affiliated | Harbour Investments, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 15, 2026 | Sep 22, 2025 |
| Erich Norman Fischer | Money Concepts Advisory Service BD affiliated | Harbour Investments, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 15, 2026 | Sep 23, 2025 |
| Joey Dominic Bunton | Money Concepts Advisory Service BD affiliated | The Tranel Group, LLC no RAUM | Other | Apr 15, 2026 | Aug 30, 2023 |
| Nathan Edward Niewinski | Money Concepts Advisory Service BD affiliated | Harbour Investments, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 15, 2026 | Sep 22, 2025 |
| Michael Ted Grajdura | Money Concepts Advisory Service BD affiliated | Harbour Investments, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 15, 2026 | Sep 22, 2025 |
| Carlene Abraham | Money Concepts Advisory Service BD affiliated | Harbour Investments, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 15, 2026 | Sep 22, 2025 |
| Mark Matthew Johnson | Money Concepts Advisory Service BD affiliated | Harbour Investments, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 15, 2026 | Sep 23, 2025 |
| Deacon Heath | Money Concepts Advisory Service BD affiliated | Harbour Investments, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 15, 2026 | Sep 22, 2025 |
| Daniel Lucas Dickerson | Money Concepts Advisory Service BD affiliated | Rcm Wealth Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 2, 2026 | Mar 4, 2026 |
| Gary Charles Grimes | Money Concepts Advisory Service BD affiliated | Bloom Financial LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Feb 27, 2026 | Mar 3, 2026 |
| Brian Scott Allred | Money Concepts Advisory Service BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 24, 2026 | Feb 24, 2026 |
| Carlos Valadez | Money Concepts Advisory Service BD affiliated | Dmk Advisor Group, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 12, 2026 | Mar 16, 2026 (32 d) |
| Kevin Jerold Clifford | Money Concepts Advisory Service BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Feb 4, 2026 | Feb 2, 2026 |
| Edwin Ray Kerley | Money Concepts Advisory Service BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Feb 4, 2026 | Feb 2, 2026 |
| Marsha Sue Clark | Money Concepts Advisory Service BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Feb 4, 2026 | Feb 2, 2026 |
| Nicholas Berrigan Hennessy | Money Concepts Advisory Service BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Feb 4, 2026 | Feb 2, 2026 |
| Chia-Hui Ou Yang | Money Concepts Advisory Service BD affiliated | Foster & Motley Inc independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 3, 2026 | Feb 12, 2026 |
| Richard Brian Dorfman | Money Concepts Advisory Service BD affiliated | Nfsg Corporation BD affiliated | Affiliated broker-dealer or bank to another | Jan 28, 2026 | Aug 13, 2026 (197 d) |
| Robert Emmet Mullis | Money Concepts Advisory Service BD affiliated | Gwn Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2025 | Aug 26, 2026 (238 d) |
| Nicholas Taylor Doerr | Money Concepts Advisory Service BD affiliated | Spc BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2025 | Jan 2, 2026 |
| Jordan T Parkin | Money Concepts Advisory Service BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 28, 2025 | Nov 24, 2025 |
| Tyler Neuman | Money Concepts Advisory Service BD affiliated | State Farm Investment Management Corp. asset manager | Other | Oct 28, 2025 | Feb 18, 2026 (113 d) |
| Samuel Robert Osborne | Money Concepts Advisory Service BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Oct 17, 2025 | Nov 21, 2025 (35 d) |
| Eddie Vigil | Money Concepts Advisory Service BD affiliated | Osaic Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 14, 2025 | Oct 14, 2025 |
| Brian Christopher Thompson | Money Concepts Advisory Service BD affiliated | Northland Asset Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 30, 2025 | Oct 13, 2025 |
| David E. Spellman | Money Concepts Advisory Service BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 4, 2025 | Jul 29, 2025 |
| David Joseph Lazzaro | Money Concepts Advisory Service BD affiliated | Stirlingshire Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 9, 2025 | Jun 9, 2025 |
| Brian Joseph Marchini | Money Concepts Advisory Service BD affiliated | LPL Enterprise, LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 28, 2025 | May 5, 2025 |
| Robert Borea | Money Concepts Advisory Service BD affiliated | Stone Wall Money Management LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Mar 20, 2025 | Apr 25, 2025 (36 d) |
| William Alexander Smith | Money Concepts Advisory Service BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 5, 2025 | Jan 6, 2025 |
| Helen Dao | Money Concepts Advisory Service BD affiliated | Stirlingshire Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 17, 2024 | Nov 20, 2024 |
| Robert Gene Berger | Money Concepts Advisory Service BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 13, 2024 | Aug 19, 2024 |
| Mark Kevin Stivers | Money Concepts Advisory Service BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 13, 2024 | Sep 16, 2024 |
| Gregory Wade Guemmer | Money Concepts Advisory Service BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 13, 2024 | Aug 20, 2024 |
| Anthony Lee Tinsley | Money Concepts Advisory Service BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 13, 2024 | Aug 19, 2024 |
| Hillaree Bosch | Money Concepts Advisory Service BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 13, 2024 | Aug 19, 2024 |
| Greg A Margevicius | Money Concepts Advisory Service BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 13, 2024 | Aug 20, 2024 |
| Francis Michael Lann | Money Concepts Advisory Service BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 19, 2024 | Aug 19, 2024 |
| Patrick Willis Ward | Money Concepts Advisory Service BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 19, 2024 | Aug 19, 2024 |
| Benjamin Joseph Strope | Money Concepts Advisory Service BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 19, 2024 | Aug 19, 2024 |
| Brandon Michael Sullivan | Money Concepts Advisory Service BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 19, 2024 | Aug 19, 2024 |
| Woodroe Leach | Money Concepts Advisory Service BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 16, 2024 | Jul 19, 2024 |
| Lovie Tajuania Leach | Money Concepts Advisory Service BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 16, 2024 | Jul 19, 2024 |
| Bradley Wright Mcintosh | Money Concepts Advisory Service BD affiliated | Stifel, Nicolaus & Company, Incorporated national BD | Affiliated broker-dealer or bank to another | Jul 15, 2024 | Aug 12, 2024 |
| David Charles Betz | Money Concepts Advisory Service BD affiliated | American Capital Management, Inc. state registered | Affiliated broker-dealer or bank to a state-registered adviser | Apr 8, 2024 | Jun 17, 2024 (70 d) |
| Christian Joseph Nelson | Money Concepts Advisory Service BD affiliated | Advisory Services Network independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 14, 2024 | Mar 25, 2024 |
| Samuel E Wensink | Money Concepts Advisory Service BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 11, 2024 | Mar 11, 2024 |
| Hunter G Weinert | Money Concepts Advisory Service BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 11, 2024 | Mar 11, 2024 |
| Allison Rae Beckmann | Money Concepts Advisory Service BD affiliated | Liberated Financial state registered | Affiliated broker-dealer or bank to a state-registered adviser | Mar 1, 2024 | Jul 28, 2026 (879 d) |
| David John Gluckle | Money Concepts Advisory Service BD affiliated | Stirlingshire Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 28, 2024 | Feb 22, 2024 |
| Lance Craig Link | Money Concepts Advisory Service BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jan 29, 2024 | Jan 29, 2024 |
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324 moves match.