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 Nfsg Corporation
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 |
|---|---|---|---|---|---|
| Richard Eugene Griffin | Nfsg Corporation BD affiliated | Rickstar Financial, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jun 18, 2026 | Jun 15, 2026 |
| Jeffrey Neal Miller | Nfsg Corporation BD affiliated | First Command Advisory Services BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2025 | Jun 24, 2026 (223 d) |
| Andrew Joseph Fairchild | Nfsg Corporation BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 15, 2025 | Apr 16, 2025 |
| David Robert Zoellner | Nfsg Corporation BD affiliated | Z Advisory Innovations state registered | Affiliated broker-dealer or bank to a state-registered adviser | Aug 2, 2024 | Aug 19, 2024 |
| David Robert Zoellner Jr | Nfsg Corporation BD affiliated | Z Advisory Innovations state registered | Affiliated broker-dealer or bank to a state-registered adviser | Aug 2, 2024 | Aug 2, 2024 |
| William Lapiana | Nfsg Corporation BD affiliated | Ausdal Financial Partners, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 25, 2024 | Jun 24, 2024 |
| Betsy Lou Whipple | Nfsg Corporation BD affiliated | Securities America Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 16, 2024 | May 20, 2024 |
| Jeffrey Krug | Nfsg Corporation BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 5, 2024 | Feb 7, 2024 |
| Andrew Christopher Yost | Nfsg Corporation BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 2, 2024 | Feb 1, 2024 |
| Anthony Charles Rosso | Nfsg Corporation BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 2, 2024 | Feb 2, 2024 |
| Sean Thomas Keating | Nfsg Corporation BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 2, 2024 | Feb 2, 2024 |
| Leslie K Curran | Nfsg Corporation BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 2, 2024 | Feb 2, 2024 |
| Jesse Alec Mann | Nfsg Corporation BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 8, 2024 | Feb 1, 2024 |
| Kenneth Joseph Arena | Nfsg Corporation BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 4, 2023 | Apr 1, 2024 (119 d) |
| Patrick Lee Baird | Nfsg Corporation BD affiliated | B. Riley Wealth Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 5, 2023 | Oct 16, 2023 |
| Nicholas L. Gomez | Nfsg Corporation BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 14, 2023 | Sep 15, 2023 |
| Collin Kirk Cornell | Nfsg Corporation BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 11, 2023 | Apr 18, 2024 (220 d) |
| Alan Bruce Levin | Nfsg Corporation BD affiliated | Ibd Wealth Management, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jul 17, 2023 | Aug 9, 2023 |
| Elvis Amable Rodriguez | Nfsg Corporation BD affiliated | Sky Alpha Asset Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 28, 2023 | Jun 14, 2023 |
| David P Calderon | Nfsg Corporation BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 23, 2023 | May 25, 2023 |
| Michael Raymond Guerra | Nfsg Corporation BD affiliated | Supreme Alliance LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 2, 2023 | Aug 16, 2023 (106 d) |
| Beatrice Rauch | Nfsg Corporation BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 26, 2023 | Jul 5, 2023 (70 d) |
| Richard Frank Parnigoni | Nfsg Corporation BD affiliated | Pin Wealth independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 17, 2023 | Apr 25, 2023 |
| David Stewart Silberg | Nfsg Corporation BD affiliated | Aegis Capital Corp. BD affiliated | Affiliated broker-dealer or bank to another | Apr 17, 2023 | Apr 14, 2023 |
| Jennifer Dorfman | Nfsg Corporation BD affiliated | MML Investors Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 15, 2023 | Jun 2, 2023 (79 d) |
| Adam James Tasse | Nfsg Corporation BD affiliated | Seaport Wealth Management state registered | Affiliated broker-dealer or bank to a state-registered adviser | Mar 13, 2023 | Jul 12, 2023 (121 d) |
| Allen Klein | Nfsg Corporation BD affiliated | Merit Financial Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 13, 2023 | Jul 7, 2023 (116 d) |
| Michael Terrence Sullivan | Nfsg Corporation BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Feb 8, 2023 | Mar 28, 2023 (48 d) |
| Richard Cossa | Nfsg Corporation BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Feb 6, 2023 | Apr 13, 2023 (66 d) |
| Kaplan H Jeff | Nfsg Corporation BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 28, 2022 | Dec 9, 2022 (42 d) |
| Junior Rondeau | Nfsg Corporation BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 7, 2022 | Feb 29, 2024 (510 d) |
| Benjamin Mark Phillips | Nfsg Corporation BD affiliated | Connectus Wealth independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 19, 2022 | Nov 2, 2022 (44 d) |
| Patrick Brennan | Nfsg Corporation BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Aug 22, 2022 | Nov 4, 2022 (74 d) |
| Alexandre Maltez | Nfsg Corporation BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 1, 2022 | Oct 25, 2022 (85 d) |
| Carey Mitchell Blecher | Nfsg Corporation BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 14, 2022 | Jul 12, 2022 |
| Steven Craig Miller | Nfsg Corporation BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 15, 2022 | Oct 11, 2022 (210 d) |
| Sherika Ralliford | Nfsg Corporation BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jan 19, 2022 | Feb 25, 2022 (37 d) |
| Joseph A Medina | Nfsg Corporation BD affiliated | Infinity Financial Services Advisory independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 7, 2021 | Apr 11, 2023 (490 d) |
| Guilford Ward Nergard | Nfsg Corporation BD affiliated | Sb Advisory, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 30, 2021 | Sep 15, 2021 (47 d) |
| Tyler Thomas Bashaw | Nfsg Corporation BD affiliated | Osotoro unclassified | Other | May 4, 2021 | Mar 10, 2017 |
| Anthony William Peluso | Nfsg Corporation BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Apr 14, 2021 | May 13, 2022 (394 d) |
| Giselle Wright | Nfsg Corporation BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 6, 2021 | Apr 20, 2021 |
| Ryanmichael Kendrick Griffin | Nfsg Corporation BD affiliated | Sagepoint Financial, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 2, 2020 | Jul 15, 2022 (651 d) |
| Bradley Maurice Ball | Nfsg Corporation BD affiliated | Seaport Wealth Management state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jul 31, 2020 | Oct 30, 2025 (1917 d) |
| Ryan Michael Filiaggi | Nfsg Corporation BD affiliated | Innovation Partners LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 24, 2020 | May 27, 2020 (33 d) |
| James Edward Larschan | Nfsg Corporation BD affiliated | Integrity Alliance, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 27, 2020 | Mar 9, 2020 |
| Charles Catapano | Nfsg Corporation BD affiliated | Calton & Associates, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 3, 2019 | Dec 5, 2019 |
| James Rice | Nfsg Corporation BD affiliated | Calton & Associates, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 3, 2019 | Dec 5, 2019 |
| Zachary Dean Jones | Nfsg Corporation BD affiliated | First Command Advisory Services BD affiliated | Affiliated broker-dealer or bank to another | Nov 19, 2019 | Jan 17, 2020 (59 d) |
| Dominic Joseph Linsalata | Nfsg Corporation BD affiliated | Dawson James Asset Management, Inc. state registered | Affiliated broker-dealer or bank to a state-registered adviser | Sep 30, 2019 | Sep 29, 2021 (730 d) |
| Jesse Julian Griffin | Nfsg Corporation BD affiliated | Fiscal Wisdom Wealth Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 18, 2019 | Apr 25, 2019 |
| Terry John Hastings | Nfsg Corporation BD affiliated | Generations Wealth Planning LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 28, 2019 | Apr 1, 2019 |
| Robert Pendelton Spitler | Nfsg Corporation BD affiliated | Ibd Wealth Management, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Mar 6, 2019 | Jan 26, 2021 (692 d) |
| Michael Haskel Nessim | Nfsg Corporation BD affiliated | Cape Investment Advisory, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 22, 2019 | Jul 3, 2019 (131 d) |
| David Salinas | Nfsg Corporation BD affiliated | Cape Investment Advisory, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 22, 2019 | Jul 29, 2019 (157 d) |
| Graham Edward Macneill | Nfsg Corporation BD affiliated | B. Riley Wealth Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 14, 2018 | Feb 22, 2019 (70 d) |
| Linda Bumbalo | Nfsg Corporation BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 28, 2018 | Sep 12, 2018 |
| Daniel M. Song | Nfsg Corporation BD affiliated | Westfield Financial Planning independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 15, 2018 | Sep 11, 2018 |
| Jennifer Desiree Marcelle-James | Nfsg Corporation BD affiliated | Efg Private Wealth Management (Americas) Corp. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 8, 2018 | Aug 17, 2018 (70 d) |
| Gilbert Michael Sabatka | Nfsg Corporation BD affiliated | Creativeone Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 2, 2018 | Apr 25, 2018 |
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112 moves match.