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 Global Financial Private Capital, Inc.
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 |
|---|---|---|---|---|---|
| Jeffrey James Walker | Global Financial Private Capital, Inc. independent RIA | Assetmark, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Aug 14, 2020 | Jul 21, 2021 (341 d) |
| Joy Maurine Walker | Global Financial Private Capital, Inc. independent RIA | Assetmark, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Aug 14, 2020 | Mar 23, 2021 (221 d) |
| Cody Summerall | Global Financial Private Capital, Inc. independent RIA | Assetmark, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Aug 14, 2020 | Apr 6, 2021 (235 d) |
| Dakota Ryan Ross | Global Financial Private Capital, Inc. independent RIA | Assetmark, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Aug 14, 2020 | Dec 3, 2025 (1937 d) |
| Matthew Edward Gaunt | Global Financial Private Capital, Inc. independent RIA | Assetmark, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jul 9, 2020 | Sep 28, 2020 (81 d) |
| Brian Curtis Timm | Global Financial Private Capital, Inc. independent RIA | Global Financial Private Client independent RIA | RIA to RIA | May 19, 2020 | Jun 12, 2020 |
| David Harrison Goodless | Global Financial Private Capital, Inc. independent RIA | Assetmark, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Apr 17, 2020 | Jun 3, 2020 (47 d) |
| Lawrence Neil Lotwin | Global Financial Private Capital, Inc. independent RIA | Alphastar Capital Management independent RIA | RIA to RIA | Jan 17, 2020 | Oct 29, 2020 (286 d) |
| Rachael Elyse Elken | Global Financial Private Capital, Inc. independent RIA | Assetmark, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jan 7, 2020 | Jan 29, 2020 |
| Rocky Harold John Istvan | Global Financial Private Capital, Inc. independent RIA | Daniel Krug & Associates independent RIA | RIA to RIA | Dec 31, 2019 | Jan 9, 2019 |
| Daniel Martin Krug | Global Financial Private Capital, Inc. independent RIA | Daniel Krug & Associates independent RIA | RIA to RIA | Dec 31, 2019 | Jan 9, 2019 |
| Mark Steven Pickett | Global Financial Private Capital, Inc. independent RIA | Assetmark, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Dec 17, 2019 | Jan 14, 2020 |
| Nicholas Reno Carcione | Global Financial Private Capital, Inc. independent RIA | Assetmark, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Dec 17, 2019 | Dec 26, 2019 |
| Suzette Marie Porter | Global Financial Private Capital, Inc. independent RIA | Capstar Financial Services LLC no RAUM | RIA to a newly registered adviser | Dec 9, 2019 | Nov 25, 2019 |
| Michael Vincent Mortellaro | Global Financial Private Capital, Inc. independent RIA | Assetmark, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Aug 23, 2019 | Oct 3, 2019 (41 d) |
| Lance Reid Scott | Global Financial Private Capital, Inc. independent RIA | Bay Harbor Wealth Management, LLC unclassified | Other | Aug 15, 2019 | Apr 9, 2013 |
| John Francis Moran | Global Financial Private Capital, Inc. independent RIA | Bay Harbor Wealth Management, LLC no RAUM | RIA to a newly registered adviser | Aug 15, 2019 | Oct 11, 2018 |
| Michael Stephen Costantini | Global Financial Private Capital, Inc. independent RIA | Summit Financial Group Inc BD affiliated | RIA to affiliated broker-dealer or bank | Jul 8, 2019 | Sep 4, 2019 (58 d) |
| Beah Del Cid | Global Financial Private Capital, Inc. independent RIA | J. W. Cole Advisors, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jul 8, 2019 | Jul 3, 2019 |
| Christopher Paul Randal | Global Financial Private Capital, Inc. independent RIA | Assetmark, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jul 1, 2019 | Jul 22, 2019 |
| Timothy James Spyrnal | Global Financial Private Capital, Inc. independent RIA | Spyrnal Financial Group independent RIA | RIA to RIA | Jun 28, 2019 | Mar 25, 2024 (1732 d) |
| Torian Johnson | Global Financial Private Capital, Inc. independent RIA | Newport Group Consulting, LLC institutional | Other | Jun 27, 2019 | Oct 16, 2019 (111 d) |
| Gregory Neil Stell | Global Financial Private Capital, Inc. independent RIA | Kosmin Wealth Management state registered | RIA to a state-registered adviser | Jun 27, 2019 | Apr 21, 2020 (299 d) |
| Kezia Samuel | Global Financial Private Capital, Inc. independent RIA | Assetmark, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jun 21, 2019 | Jun 25, 2019 |
| Jason Douglas Maclean | Global Financial Private Capital, Inc. independent RIA | Assetmark, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jun 7, 2019 | Jun 11, 2019 |
| Dawn Annette Steinert | Global Financial Private Capital, Inc. independent RIA | J. W. Cole Advisors, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | May 21, 2019 | May 17, 2019 |
| Mitchell Warren Lyons | Global Financial Private Capital, Inc. independent RIA | Mitch Lyons Wealth LLC state registered | RIA to a state-registered adviser | May 17, 2019 | Jan 16, 2026 (2436 d) |
| Mark Scordato | Global Financial Private Capital, Inc. independent RIA | Gelok, Scordato & Associates unclassified | Other | May 13, 2019 | Feb 2, 2011 |
| Timothy Todd Van Houten | Global Financial Private Capital, Inc. independent RIA | J. W. Cole Advisors, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | May 7, 2019 | May 6, 2019 |
| Carl R Carlson | Global Financial Private Capital, Inc. independent RIA | Carlson Financial no RAUM | RIA to a newly registered adviser | May 6, 2019 | Oct 18, 2018 |
| Joseph Lauria Dipaolo | Global Financial Private Capital, Inc. independent RIA | J. W. Cole Advisors, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | May 1, 2019 | Apr 30, 2019 |
| Anthony Chris Kurnellas | Global Financial Private Capital, Inc. independent RIA | Omnitrust Wealth Management, Inc. independent RIA | RIA to RIA | Apr 30, 2019 | Jan 1, 2026 (2438 d) |
| Anna L Carlson | Global Financial Private Capital, Inc. independent RIA | Carlson Financial independent RIA | RIA to RIA | Apr 30, 2019 | Dec 5, 2018 |
| Marissa Kay Waldron | Global Financial Private Capital, Inc. independent RIA | Carlson Financial independent RIA | RIA to RIA | Apr 26, 2019 | Dec 4, 2018 |
| Daniel Eugene Moylan | Global Financial Private Capital, Inc. independent RIA | Carlson Financial no RAUM | RIA to a newly registered adviser | Apr 26, 2019 | Oct 17, 2018 |
| Scott Michael Rinehart | Global Financial Private Capital, Inc. independent RIA | Carlson Financial no RAUM | RIA to a newly registered adviser | Apr 26, 2019 | Oct 18, 2018 |
| Elizabeth C Bertelsen | Global Financial Private Capital, Inc. BD affiliated | Intervest International, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 23, 2019 | Apr 22, 2019 |
| Trevor T Taylor | Global Financial Private Capital, Inc. BD affiliated | Intervest International, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 23, 2019 | Apr 22, 2019 |
| Jason Fox | Global Financial Private Capital, Inc. BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Apr 17, 2019 | May 22, 2019 (35 d) |
| Jason Paul Hutchins | Global Financial Private Capital, Inc. BD affiliated | Creativeone Wealth, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 10, 2019 | Apr 10, 2019 |
| Stuart Eric Raider | Global Financial Private Capital, Inc. BD affiliated | Ae Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 4, 2019 | Apr 4, 2019 |
| Peter Martin Mendler | Global Financial Private Capital, Inc. BD affiliated | Ae Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 4, 2019 | Apr 4, 2019 |
| Julie Thompson Manning | Global Financial Private Capital, Inc. BD affiliated | Prosperity Capital Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 18, 2019 | Apr 1, 2019 |
| Michael Henry Ryan | Global Financial Private Capital, Inc. BD affiliated | Ae Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 5, 2019 | Mar 4, 2019 |
| Joseph Roe Wilson | Global Financial Private Capital, Inc. BD affiliated | Ae Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 1, 2019 | Mar 1, 2019 |
| Martin Scott Rasmussen | Global Financial Private Capital, Inc. BD affiliated | Ae Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 1, 2019 | Feb 26, 2019 |
| Geoffrey Allen Frazier | Global Financial Private Capital, Inc. BD affiliated | Global Financial Private Client no RAUM | Other | Feb 22, 2019 | Apr 12, 2018 |
| Russell Edward Harris | Global Financial Private Capital, Inc. BD affiliated | Peak American Investment Advisors, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 19, 2019 | Feb 21, 2019 |
| Arif Madad Ali | Global Financial Private Capital, Inc. BD affiliated | Brookstone Capital Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 12, 2019 | Jan 29, 2019 |
| Stephen Michael Fedak | Global Financial Private Capital, Inc. BD affiliated | Global Financial Private Client no RAUM | Other | Jan 18, 2019 | Mar 29, 2018 |
| Jason Charles Frizzell | Global Financial Private Capital, Inc. BD affiliated | Ae Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 17, 2019 | Jan 16, 2019 |
| Jeff David Currie | Global Financial Private Capital, Inc. BD affiliated | Solitude Wealth Advisors, LLC. state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jan 16, 2019 | Dec 19, 2012 |
| James Allen Neuenschwander | Global Financial Private Capital, Inc. BD affiliated | Outlook Wealth Advisors, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jan 10, 2019 | Jun 28, 2018 |
| Michael Allen Neuenschwander | Global Financial Private Capital, Inc. BD affiliated | Outlook Wealth Advisors, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jan 10, 2019 | Jun 28, 2018 |
| Robert Lynn Hall | Global Financial Private Capital, Inc. BD affiliated | Brookstone Wealth Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 2, 2019 | Jan 2, 2019 |
| Kathleen Thayer Rentz | Global Financial Private Capital, Inc. BD affiliated | Cs Planning Corp independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 21, 2018 | Dec 20, 2018 |
| Kenneth Joseph Mcguire | Global Financial Private Capital, Inc. BD affiliated | Mcguire Financial Services, Inc. unclassified | Other | Dec 12, 2018 | Dec 7, 2018 |
| Robert Thomas Mcmahon | Global Financial Private Capital, Inc. BD affiliated | Cuso Financial Services, L.P. BD affiliated | Affiliated broker-dealer or bank to another | Oct 24, 2018 | Oct 22, 2018 |
| Michael David Reeves | Global Financial Private Capital, Inc. BD affiliated | Strategic Wealth Investment Group, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 23, 2018 | May 31, 2022 (1316 d) |
| William Clinton Mcnutt | Global Financial Private Capital, Inc. BD affiliated | Outlook Wealth Advisors, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Oct 5, 2018 | Jun 28, 2018 |
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355 moves match.