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
David Leigh ZachrichMoney Concepts Advisory Service otherSpc otherOtherAug 8, 2006Aug 21, 2006
Nancy Ann EffertMoney Concepts Advisory Service otherMutual Service Corporation unclassifiedOtherAug 7, 2006Nov 14, 2006 (99 d)
Charles David MarshMoney Concepts Advisory Service other1717 Capital Management Company unclassifiedOtherApr 27, 2006Jun 14, 2006 (48 d)
Garry Eugene AutryMoney Concepts Advisory Service otherSpc otherOtherMar 30, 2006Mar 30, 2006
Mark Edward LuxMoney Concepts Advisory Service otherThe Mutual Fund Store otherOtherSep 7, 2005Dec 19, 2005 (103 d)
William Bruce FloydMoney Concepts Advisory Service otherUvest Financial Services Group, Inc. unclassifiedOtherMar 11, 2005Sep 25, 2006 (563 d)
John Stephen TothMoney Concepts Advisory Service otherMutual Service Corporation unclassifiedOtherMar 2, 2005Dec 5, 2007 (1008 d)
Anthony Paul RahrigMoney Concepts Advisory Service otherFifth Third Securities, Inc. otherOtherFeb 24, 2005Aug 22, 2006 (544 d)
Richard Michael WatersMoney Concepts Advisory Service otherOsaic Institutions, Inc. otherOtherDec 1, 2004Dec 2, 2004
Roxanna Lyn EverettMoney Concepts Advisory Service otherOsaic Institutions, Inc. otherOtherDec 1, 2004Dec 2, 2004
Michael E McclimonMoney Concepts Advisory Service otherGwn Securities Inc. otherOtherSep 8, 2004Sep 8, 2004
Clifton Wayne MyersMoney Concepts Advisory Service otherClifton Myers Financial Advisory state registeredOtherAug 24, 2004Oct 21, 2004 (58 d)
Allen Kellam AyersMoney Concepts Advisory Service otherMedallion Advisory Services, LLC unclassifiedOtherAug 24, 2004Aug 10, 2004
Sonya Lydon LoganMoney Concepts Advisory Service otherAmeriprise Financial Services, LLC national BDOtherAug 6, 2004Jan 5, 2005 (152 d)
Justin Matthew ClapsaddleMoney Concepts Advisory Service otherFirst Citizens Investor Services, Inc. otherOtherMay 17, 2004Aug 3, 2004 (78 d)
Sandra Christine SampiasMoney Concepts Advisory Service otherCetera Investment Advisers LLC otherOtherMay 7, 2004Feb 14, 2005 (283 d)
Thomas Scott ThompsonMoney Concepts Advisory Service otherNetworth Investment Advisors, Inc. unclassifiedOtherDec 19, 2003Apr 7, 2005 (475 d)
James Robert BrownMoney Concepts Advisory Service otherNew England Securities Corporation otherOtherSep 19, 2003Nov 20, 2009 (2254 d)
Elliot Marc YablunMoney Concepts Advisory Service otherWaterstone Financial Group, Inc. unclassifiedOtherSep 12, 2003Sep 18, 2003
Matthew Geoffrey BuetowMoney Concepts Advisory Service otherPrincipal Securities, Inc. BD affiliatedOtherJul 28, 2003Aug 14, 2018 (5496 d)
Donald Alan StringfieldMoney Concepts Advisory Service otherCommonwealth Financial Network national BDOtherJun 27, 2003Mar 17, 2005 (629 d)
Francis Xavier PisanoMoney Concepts Advisory Service otherMutual Service Corporation unclassifiedOtherJun 23, 2003Aug 18, 2003 (56 d)
Kenneth James DeanMoney Concepts Advisory Service otherUBS Financial Services Inc. wirehouseOtherMay 2, 2003Jun 10, 2003 (39 d)
Rita Diana BunchMoney Concepts Advisory Service otherOsaic Wealth, Inc. otherOtherOct 2, 2002Mar 21, 2003 (170 d)
John Elliott CarterMoney Concepts Advisory Service otherEquitable Advisors, LLC national BDOtherJul 29, 2002Sep 10, 2002 (43 d)
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325 moves match.