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.

AdvisorFromToTypeLeftRegistered
Tara Cole EllisMoney Concepts Advisory Service BD affiliatedEagle Strategies LLC BD affiliatedAffiliated broker-dealer or bank to anotherDec 31, 2020Dec 2, 2025 (1797 d)
Robert W. PryorMoney Concepts Advisory Service BD affiliatedCapital Analysts BD affiliatedAffiliated broker-dealer or bank to anotherDec 8, 2020Jan 4, 2021
Gertrude Margaret QuintoMoney Concepts Advisory Service BD affiliatedCambridge Investment Research Advisors, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherNov 18, 2020Nov 17, 2020
Jimmy Louis HernandezMoney Concepts Advisory Service BD affiliatedWealth Watch Advisors, Inc independent RIAAffiliated broker-dealer or bank to independent RIAOct 2, 2020Oct 1, 2020
Michael Brian WofseyMoney Concepts Advisory Service BD affiliatedFinancial & Tax Architects, LLC mixed wealthAffiliated broker-dealer or bank to independent RIAAug 28, 2020Sep 14, 2020
Jason Glen PueschelMoney Concepts Advisory Service BD affiliatedSaxony Capital Management, LLC independent RIAAffiliated broker-dealer or bank to independent RIAJul 14, 2020May 25, 2022 (680 d)
Vern Clarence HaydenMoney Concepts Advisory Service BD affiliatedSovereign Financial Group, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAJun 30, 2020Jul 1, 2020
Andrew Lee ArehartMoney Concepts Advisory Service BD affiliatedWealth Watch Advisors, Inc independent RIAAffiliated broker-dealer or bank to independent RIAJun 2, 2020Jun 2, 2020
Jana Lynn GarnerMoney Concepts Advisory Service BD affiliatedMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseAffiliated broker-dealer or bank to wirehouseFeb 14, 2020Mar 9, 2020
Angel Ricardo VegaMoney Concepts Advisory Service BD affiliatedMorgan Stanley wirehouseAffiliated broker-dealer or bank to wirehouseJan 6, 2020Nov 18, 2020 (317 d)
Kevin Donald KennedyMoney Concepts Advisory Service BD affiliatedVictrix Investment Advisors independent RIAAffiliated broker-dealer or bank to independent RIADec 31, 2019Jan 3, 2020
Joseph R BookMoney Concepts Advisory Service BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherNov 22, 2019Nov 22, 2019
Michael John SciulliMoney Concepts Advisory Service BD affiliatedLiberty One Investment Management asset managerOtherOct 22, 2019Oct 23, 2019
Andrew Charles BosMoney Concepts Advisory Service BD affiliatedEastown Financial Advisors, LLC state registeredAffiliated broker-dealer or bank to a state-registered adviserOct 21, 2019Oct 22, 2019
Daniel Jordan VandenbergMoney Concepts Advisory Service BD affiliatedEastown Financial Advisors, LLC state registeredAffiliated broker-dealer or bank to a state-registered adviserOct 21, 2019Oct 22, 2019
Kevin Michael MurrayMoney Concepts Advisory Service BD affiliatedTd Private Client Wealth LLC BD affiliatedAffiliated broker-dealer or bank to anotherOct 9, 2019Jan 12, 2026 (2287 d)
Paul Arthur GoekeMoney Concepts Advisory Service BD affiliatedU.S. Bancorp Investments, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherOct 1, 2019Dec 3, 2019 (63 d)
Ashley Morgan SimmonsMoney Concepts Advisory Service BD affiliatedLanark Financial, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherSep 20, 2019Mar 16, 2021 (543 d)
Cody Alexander StapletonMoney Concepts Advisory Service BD affiliatedCambridge Investment Research Advisors, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherSep 5, 2019Sep 19, 2019
Thomas John NelsonMoney Concepts Advisory Service BD affiliatedEdward Jones national BDAffiliated broker-dealer or bank to anotherAug 5, 2019Aug 5, 2019
Keli Jo HazelMoney Concepts Advisory Service BD affiliatedWoodbury Financial Services, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherJul 17, 2019Jul 18, 2019
Alejandro Manuel SierraMoney Concepts Advisory Service BD affiliatedSwbc Investment Company independent RIAAffiliated broker-dealer or bank to independent RIAJun 18, 2019Jun 19, 2019
Stefanie Cecile BoykinMoney Concepts Advisory Service BD affiliatedDavenport & Company LLC BD affiliatedAffiliated broker-dealer or bank to anotherMay 31, 2019Jun 14, 2019
Alyssa Brittany SalasMoney Concepts Advisory Service BD affiliatedUBS Financial Services Inc. wirehouseAffiliated broker-dealer or bank to wirehouseApr 15, 2019Apr 22, 2019
Kent Austin MiillerMoney Concepts Advisory Service BD affiliatedSchwab Wealth Advisory, Inc. no RAUMOtherMar 29, 2019May 13, 2021 (776 d)
Zachary David KennyMoney Concepts Advisory Service BD affiliatedNorthwestern Mutual Investment Services,LLC no RAUMOtherDec 18, 2018Jan 14, 2019
Dennis George DineMoney Concepts Advisory Service BD affiliatedEsi Financial Advisors BD affiliatedAffiliated broker-dealer or bank to anotherNov 16, 2018Jan 29, 2019 (74 d)
Antoine Lionel DuncanMoney Concepts Advisory Service BD affiliatedAvantax Advisory Services BD affiliatedAffiliated broker-dealer or bank to anotherNov 13, 2018May 23, 2019 (191 d)
Susan E SukysMoney Concepts Advisory Service BD affiliatedCambridge Investment Research Advisors, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherSep 18, 2018Sep 18, 2018
David James DavisMoney Concepts Advisory Service BD affiliatedCetera Investment Advisers LLC BD affiliatedAffiliated broker-dealer or bank to anotherJul 23, 2018Jul 20, 2018
Thaddeus Britton WellsMoney Concepts Advisory Service BD affiliatedEmpower Advisory Group, LLC institutionalOtherJun 22, 2018Jul 23, 2018 (31 d)
Wendy Struble KickhofelMoney Concepts Advisory Service BD affiliatedValic Financial Advisors, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherJun 21, 2018Jun 26, 2018
Karolyn Joy WotringMoney Concepts Advisory Service BD affiliatedEhlert Financial Group, Inc. unclassifiedOtherJun 7, 2018Aug 8, 2018 (62 d)
Gregory Mehler JohnsMoney Concepts Advisory Service BD affiliatedWells Fargo Advisors wirehouseAffiliated broker-dealer or bank to wirehouseMay 16, 2018May 15, 2018
Morgan R FordMoney Concepts Advisory Service BD affiliatedRobert W. Baird & Co. Incorporated mixed wealthAffiliated broker-dealer or bank to independent RIAApr 13, 2018Sep 15, 2026 (3077 d)
Graham David GuthrieMoney Concepts Advisory Service BD affiliatedEstate Planning Professionals otherOtherApr 3, 2018Apr 4, 2018
Michael C SchumakerMoney Concepts Advisory Service otherEdward Jones national BDOtherMar 2, 2018Mar 16, 2018
Thomas Jefferson FaulconerMoney Concepts Advisory Service otherCreative Financial Designs, Inc. otherOtherDec 31, 2017Feb 11, 2018 (42 d)
Craig J ReidMoney Concepts Advisory Service otherMma Securities LLC no RAUMOtherDec 31, 2017Jan 12, 2018
Jon Marvin FletcherMoney Concepts Advisory Service otherAusdal Financial Partners, Inc. otherOtherDec 13, 2017Dec 4, 2017
Ulysses Donald SmithMoney Concepts Advisory Service otherPrimerica Advisors national BDOtherAug 31, 2017May 21, 2019 (628 d)
Irvin Wayne BrewerMoney Concepts Advisory Service otherNew Life Financial LLC state registeredOtherAug 29, 2017Oct 5, 2017 (37 d)
Lisa Jean HamiltonMoney Concepts Advisory Service otherU.S. Bancorp Investments, Inc. otherOtherJul 6, 2017Jul 10, 2017
Patrick TraverseMoney Concepts Advisory Service otherBelpointe Asset Management LLC otherOtherMar 23, 2017Mar 27, 2017
Rose BizarroMoney Concepts Advisory Service otherCentaurus Financial, Inc. BD affiliatedOtherMar 6, 2017Aug 2, 2018 (514 d)
David Laurence FieldsMoney Concepts Advisory Service otherD.L. Fields Advisory Group, LLC state registeredOtherDec 31, 2016Jan 23, 2017
Ryan Curtis LawsonMoney Concepts Advisory Service otherOneamerica Securities, Inc. otherOtherDec 19, 2016Jul 5, 2017 (198 d)
Robert Dean LaneMoney Concepts Advisory Service otherCuso Financial Services, L.P. otherOtherDec 16, 2016Dec 14, 2016
Jacob VenableMoney Concepts Advisory Service otherCharles Schwab & Co., Inc. national BDOtherDec 2, 2016Jan 5, 2017 (34 d)
Caylee Grace FieldsMoney Concepts Advisory Service otherCetera Investment Advisers LLC otherOtherNov 18, 2016May 4, 2017 (167 d)
Jason Alan GaylorMoney Concepts Advisory Service otherPrivate Advisor Group, LLC otherOtherSep 30, 2016Oct 4, 2016
Dawn Renee CareyMoney Concepts Advisory Service otherTrac Asset Management LLC state registeredOtherAug 9, 2016Dec 20, 2017 (498 d)
J. Standish FortinMoney Concepts Advisory Service otherFortin Advisory unclassifiedOtherJul 15, 2016Aug 1, 2016
Alexandra Renee Leon GuerreroMoney Concepts Advisory Service otherBg Investment Services, LLC no RAUMOtherMay 27, 2016May 31, 2016
Chad Andrew PerkinsMoney Concepts Advisory Service otherSpc otherOtherMay 6, 2016May 6, 2016
Joseph Parker DegeorgeMoney Concepts Advisory Service otherInnovative Investment Solutions, Inc. unclassifiedOtherApr 20, 2016Apr 20, 2016
Ryan Charles McdanielMoney Concepts Advisory Service otherUSA Financial Securities LLC otherOtherApr 14, 2016Mar 31, 2016
Erin Lane WidemanMoney Concepts Advisory Service otherCambridge Investment Research Advisors, Inc. otherOtherJan 12, 2016Jan 11, 2016
Kimberly Ann HogueMoney Concepts Advisory Service otherNew Life Financial LLC state registeredOtherDec 31, 2015Oct 5, 2017 (644 d)
John Lewis CookMoney Concepts Advisory Service otherSii Investments, Inc. otherOtherDec 31, 2015Jan 8, 2016
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325 moves match.