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 |
|---|---|---|---|---|---|
| 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 |
| Marco Anthony Hernandez | Money Concepts Advisory Service BD affiliated | Simplicity Wealth independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 10, 2024 | Jan 22, 2024 |
| Carlos Omar Lopez | Money Concepts Advisory Service BD affiliated | Simplicity Wealth independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 10, 2024 | Jan 17, 2024 |
| Eric Massimo Augusto Cima | Money Concepts Advisory Service BD affiliated | Tranel Intelligent Investing, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Dec 31, 2023 | Feb 2, 2024 (33 d) |
| Joseph Paul Lanzer | Money Concepts Advisory Service BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Dec 31, 2023 | Nov 12, 2024 (317 d) |
| Rex Moar | Money Concepts Advisory Service BD affiliated | Equitable Advisors, LLC national BD | Affiliated broker-dealer or bank to another | Dec 19, 2023 | Apr 29, 2024 (132 d) |
| Timothy Hamilton Brown | Money Concepts Advisory Service BD affiliated | High Knoll Wealth Advisors, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Dec 15, 2023 | Jan 2, 2024 |
| Dail Brown Blake | Money Concepts Advisory Service BD affiliated | Umb Financial Services, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 1, 2023 | Aug 18, 2025 (626 d) |
| Zachary Jonathan Ross | Money Concepts Advisory Service BD affiliated | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 27, 2023 | Oct 2, 2023 |
| Michael Brescione | Money Concepts Advisory Service BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 31, 2023 | Jul 22, 2025 (691 d) |
| Constance Nathelma Craig-Mason | Money Concepts Advisory Service BD affiliated | Forthright Capital independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 15, 2023 | Sep 8, 2023 |
| Jacob Kaufman | Money Concepts Advisory Service BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jul 10, 2023 | Aug 30, 2023 (51 d) |
| John Edmund Unger Steinbock | Money Concepts Advisory Service BD affiliated | Dynamic Market Advantage, LLC asset manager | Other | Jun 30, 2023 | Jan 28, 2025 (578 d) |
| Douglas Christopher Brown | Money Concepts Advisory Service BD affiliated | Wt Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 28, 2023 | Sep 15, 2023 (79 d) |
| James Livingston Thompson | Money Concepts Advisory Service BD affiliated | Wt Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 28, 2023 | Oct 4, 2023 (98 d) |
| John Spaulding Gleason | Money Concepts Advisory Service BD affiliated | 1834 Investment Advisors Co. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 13, 2023 | Feb 5, 2024 (237 d) |
| Maryan Khalil | Money Concepts Advisory Service BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 9, 2023 | Dec 6, 2023 (180 d) |
| Nicole C Burczyk | Money Concepts Advisory Service BD affiliated | Janney Montgomery Scott LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 5, 2023 | Jul 22, 2024 (413 d) |
| John Ross Kline | Money Concepts Advisory Service BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 16, 2023 | May 17, 2023 |
| Daniel Alan Nitsch | Money Concepts Advisory Service BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 28, 2023 | May 8, 2023 |
| Paul Cameron Macdonald | Money Concepts Advisory Service BD affiliated | Ae Wealth Management, LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 10, 2023 | Apr 12, 2023 |
| Carissa Phyllis Shivers | Money Concepts Advisory Service BD affiliated | Ae Wealth Management, LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 10, 2023 | Apr 10, 2023 |
| Christopher Vernon Kimball | Money Concepts Advisory Service BD affiliated | Fortitude Advisory Group L.L.C. independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 1, 2023 | Dec 9, 2022 |
| Jennifer A Merida | Money Concepts Advisory Service BD affiliated | Empower Advisory Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 23, 2023 | Jun 21, 2024 (484 d) |
| Jesus Arteaga | Money Concepts Advisory Service BD affiliated | Merited Wealth, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 9, 2023 | Feb 16, 2023 |
| James E. Thornton | Money Concepts Advisory Service BD affiliated | Fifth Pointe state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jan 30, 2023 | Apr 21, 2023 (81 d) |
| Clare Ann Daily | Money Concepts Advisory Service BD affiliated | Voya Retirement Advisors, LLC other | Other | Jan 5, 2023 | Jul 12, 2023 (188 d) |
| Nichole Rose Brinker | Money Concepts Advisory Service BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 19, 2022 | Feb 8, 2023 (51 d) |
| Beau Justin Handy | Money Concepts Advisory Service BD affiliated | Guidance Capital, Inc. no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Dec 16, 2022 | Oct 28, 2022 |
| Stephen Randall Gibson | Money Concepts Advisory Service BD affiliated | Guidance Capital, Inc. no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Dec 15, 2022 | Oct 28, 2022 |
| Nicholas Edward Whitmer | Money Concepts Advisory Service BD affiliated | Guidance Capital, Inc. no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Dec 15, 2022 | Oct 28, 2022 |
| Wyatt Peyton Callison | Money Concepts Advisory Service BD affiliated | Guidance Capital, Inc. no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Dec 15, 2022 | Oct 28, 2022 |
| Gregory Ludwig | Money Concepts Advisory Service BD affiliated | Guidance Capital, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 15, 2022 | Jan 1, 2025 (748 d) |
| Jeffrey W Beck | Money Concepts Advisory Service BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 1, 2022 | Oct 31, 2022 |
| Roch Richard Tranel | Money Concepts Advisory Service BD affiliated | Liberty One Investment Management no RAUM | Other | Oct 21, 2022 | Jun 21, 2019 |
| Travis Denkenberger | Money Concepts Advisory Service BD affiliated | Principal Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 12, 2022 | Oct 4, 2022 |
| Nicholas Kengguan Ng | Money Concepts Advisory Service BD affiliated | Liberty One Investment Management asset manager | Other | Sep 21, 2022 | Oct 12, 2020 |
| Austin White | Money Concepts Advisory Service BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Sep 14, 2022 | Oct 28, 2022 (44 d) |
| Judd Allan Cromer | Money Concepts Advisory Service BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 7, 2022 | Jul 8, 2022 |
| Matthew S Ramos | Money Concepts Advisory Service BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jun 13, 2022 | Sep 9, 2022 (88 d) |
| Michael Henry | Money Concepts Advisory Service BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Jun 7, 2022 | Jun 17, 2022 |
| Scott North | Money Concepts Advisory Service BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | May 16, 2022 | Oct 4, 2022 (141 d) |
| Richard Kent Wilson | Money Concepts Advisory Service BD affiliated | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 29, 2022 | Jun 17, 2022 (49 d) |
| Benjamin Franklin Hoeft | Money Concepts Advisory Service BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Mar 22, 2022 | Mar 21, 2022 |
| Megan C Siracusa | Money Concepts Advisory Service BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Mar 22, 2022 | Mar 21, 2022 |
| Jordan Bradford | Money Concepts Advisory Service BD affiliated | Burkholder Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 7, 2022 | Mar 14, 2022 |
| Harrinson Agudelo-Rios | Money Concepts Advisory Service BD affiliated | Finmas Capital LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Feb 18, 2022 | Feb 18, 2022 |
| Gong Hyon Yun | Money Concepts Advisory Service BD affiliated | Fair Park Capital Management LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Dec 31, 2021 | Mar 18, 2022 (77 d) |
| Anita Marie Loy | Money Concepts Advisory Service BD affiliated | Inspire Private Wealth Management state registered | Affiliated broker-dealer or bank to a state-registered adviser | Dec 16, 2021 | Feb 21, 2024 (797 d) |
| Garry Eugene Autry | Money Concepts Advisory Service BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 15, 2021 | Dec 20, 2021 |
| Charles Robert Low | Money Concepts Advisory Service BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 15, 2021 | Jan 11, 2022 |
| Tayler Cizewski | Money Concepts Advisory Service BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Oct 11, 2021 | Dec 3, 2021 (53 d) |
| Lynette Kay Sayler | Money Concepts Advisory Service BD affiliated | Packerland Brokerage Services, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 7, 2021 | Jan 15, 2025 (1226 d) |
| David Wayne Hudson | Money Concepts Advisory Service BD affiliated | Osaic Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 1, 2021 | Sep 1, 2021 |
| Adam Rosenblatt | Money Concepts Advisory Service BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 8, 2021 | Aug 16, 2021 (39 d) |
| Eric S Sparling | Money Concepts Advisory Service BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 1, 2021 | Jul 1, 2021 |
| Christopher Allen Egli | Money Concepts Advisory Service BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 1, 2021 | Jul 1, 2021 |
| Brian D Tussing | Money Concepts Advisory Service BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 1, 2021 | Jul 1, 2021 |
| Michael John Mcgeoghan | Money Concepts Advisory Service BD affiliated | Mcgeoghan Wealth Management And Financial Planning unclassified | Other | Mar 31, 2021 | May 14, 2021 (44 d) |
| Chase Drew Thomas | Money Concepts Advisory Service BD affiliated | Robert W. Baird & Co. Incorporated mixed wealth | Affiliated broker-dealer or bank to independent RIA | Jan 25, 2021 | Jan 28, 2021 |
325 moves match.