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 Sagepoint Financial, 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.

AdvisorFromToTypeLeftRegistered
Desiree Marvel SiiSagepoint Financial, Inc. BD affiliatedAssetmark, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherSep 29, 2023Jun 13, 2024 (258 d)
Scott Allen WebsterSagepoint Financial, Inc. BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherSep 2, 2023Aug 30, 2023
Courtney CarrSagepoint Financial, Inc. BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherSep 2, 2023Aug 30, 2023
Gary Lynn GunningSagepoint Financial, Inc. BD affiliatedMmc Securities LLC no RAUMOtherSep 1, 2023Nov 6, 2014
Thomas J GoodsonSagepoint Financial, Inc. BD affiliatedThe Ameriflex Group no RAUMOtherSep 1, 2023Jan 10, 2020
Christopher J MaurerSagepoint Financial, Inc. BD affiliatedThe Ameriflex Group no RAUMOtherSep 1, 2023Mar 6, 2020
Kevin John SnowSagepoint Financial, Inc. BD affiliatedThird Street Advisors, LLC independent RIAAffiliated broker-dealer or bank to independent RIASep 1, 2023Jul 22, 2022
David Christopher WalkupSagepoint Financial, Inc. BD affiliatedHarman Asset Management, LLC unclassifiedOtherSep 1, 2023Jun 12, 2019
Bret Pierre KeehnSagepoint Financial, Inc. BD affiliatedStrait Financial Advice unclassifiedOtherSep 1, 2023Mar 6, 2009
Dean Alan HarmanSagepoint Financial, Inc. BD affiliatedHarman Asset Management, LLC unclassifiedOtherSep 1, 2023Jun 11, 2019
Joseph John LutzSagepoint Financial, Inc. BD affiliatedThe Ameriflex Group independent RIAAffiliated broker-dealer or bank to independent RIASep 1, 2023Nov 30, 2022
Jason Chris HohensteinSagepoint Financial, Inc. BD affiliatedThird Street Advisors, LLC independent RIAAffiliated broker-dealer or bank to independent RIASep 1, 2023Jul 26, 2022
Cory Todd SchmelzerSagepoint Financial, Inc. BD affiliatedSan Diego Wealth Management, LLC unclassifiedOtherSep 1, 2023Apr 6, 2011
Dane Mark CastleSagepoint Financial, Inc. BD affiliatedOsaic Institutions, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherSep 1, 2023Jul 1, 2026 (1034 d)
Mary F SekiSagepoint Financial, Inc. BD affiliatedB & C Wealth Management unclassifiedOtherSep 1, 2023May 6, 2008
David Mark EllowitchSagepoint Financial, Inc. BD affiliatedIronbridge Wealth Counsel, LLC state registeredAffiliated broker-dealer or bank to a state-registered adviserSep 1, 2023Mar 27, 2023
Lori Ling-Chien LinSagepoint Financial, Inc. BD affiliatedB & C Wealth Management unclassifiedOtherSep 1, 2023May 6, 2008
Shane Austin MorrowSagepoint Financial, Inc. BD affiliatedIronbridge Wealth Counsel, LLC state registeredAffiliated broker-dealer or bank to a state-registered adviserSep 1, 2023Jul 14, 2022
Brent Roger AndersonSagepoint Financial, Inc. BD affiliatedThe Ameriflex Group independent RIAAffiliated broker-dealer or bank to independent RIASep 1, 2023Feb 21, 2023
Jennifer Lynn DuganSagepoint Financial, Inc. BD affiliatedValic Financial Advisors, Inc. otherOtherSep 1, 2023Feb 10, 2016
Jeff J. KimSagepoint Financial, Inc. BD affiliatedGerber Kawasaki Wealth & Investment Management independent RIAAffiliated broker-dealer or bank to independent RIASep 1, 2023Aug 25, 2023
Malcolm Blake PfenningerSagepoint Financial, Inc. BD affiliatedThe Ameriflex Group no RAUMOtherSep 1, 2023Jan 7, 2020
Eric John KruegerSagepoint Financial, Inc. BD affiliatedKrueger Financial state registeredAffiliated broker-dealer or bank to a state-registered adviserSep 1, 2023Mar 17, 2022
Laura Renee LeachSagepoint Financial, Inc. BD affiliatedThe Ameriflex Group independent RIAAffiliated broker-dealer or bank to independent RIASep 1, 2023Jul 9, 2020
Mark Adam SpeedySagepoint Financial, Inc. BD affiliatedT & D Advisors Incorporated unclassifiedOtherSep 1, 2023Apr 22, 2011
Jiyang LiuSagepoint Financial, Inc. BD affiliatedPinion Financial Services, LLC state registeredAffiliated broker-dealer or bank to a state-registered adviserSep 1, 2023Mar 2, 2022
Nicholas Paul SnowSagepoint Financial, Inc. BD affiliatedThird Street Advisors, LLC independent RIAAffiliated broker-dealer or bank to independent RIASep 1, 2023Jul 22, 2022
Matthew John AlexanderSagepoint Financial, Inc. BD affiliatedThird Street Advisors, LLC independent RIAAffiliated broker-dealer or bank to independent RIASep 1, 2023Jul 22, 2022
Michael Brett McmahonSagepoint Financial, Inc. BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherAug 21, 2023Aug 15, 2023
Robert M ChenSagepoint Financial, Inc. BD affiliatedCambridge Investment Research Advisors, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherAug 17, 2023Aug 21, 2023
Michael Patrick ButterworthSagepoint Financial, Inc. BD affiliatedBfc Planning, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherAug 10, 2023Aug 9, 2023
David Alan RamosSagepoint Financial, Inc. BD affiliatedInternational Assets Investment Management, LLC BD affiliatedAffiliated broker-dealer or bank to anotherAug 2, 2023Jul 31, 2023
Nicole E FarrarSagepoint Financial, Inc. BD affiliatedStratos Wealth Partners, Ltd BD affiliatedAffiliated broker-dealer or bank to anotherJul 20, 2023Nov 1, 2023 (104 d)
Michael Saverio LongoSagepoint Financial, Inc. BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherJun 29, 2023Jun 30, 2023
Joshua Roland JohnsonSagepoint Financial, Inc. BD affiliatedMdrn Capital independent RIAAffiliated broker-dealer or bank to independent RIAJun 28, 2023Sep 27, 2023 (91 d)
Kenneth Lawrence AgeeSagepoint Financial, Inc. BD affiliatedCetera Investment Advisers LLC BD affiliatedAffiliated broker-dealer or bank to anotherJun 12, 2023Jun 29, 2023
Thomas Allen WittkopfSagepoint Financial, Inc. BD affiliatedGateway Wealth Partners, LLC independent RIAAffiliated broker-dealer or bank to independent RIAJun 9, 2023Jun 13, 2023
Jason Robert CampbellSagepoint Financial, Inc. BD affiliatedGeneos Wealth Management, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherJun 8, 2023Jun 6, 2023
Justin BairdSagepoint Financial, Inc. BD affiliatedJ.P. Morgan Securities LLC wirehouseAffiliated broker-dealer or bank to wirehouseJun 1, 2023May 31, 2023
Christopher Paul JenkinsSagepoint Financial, Inc. BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherMay 15, 2023May 11, 2023
Floreid Eva WalkerSagepoint Financial, Inc. BD affiliatedCambridge Investment Research Advisors, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherMay 4, 2023Apr 26, 2023
Janet Kay AndersonSagepoint Financial, Inc. BD affiliatedCambridge Investment Research Advisors, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherMay 4, 2023May 3, 2023
Jennifer Lynn BlakeSagepoint Financial, Inc. BD affiliatedCambridge Investment Research Advisors, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherMay 4, 2023May 3, 2023
Kathleen Frances HinzSagepoint Financial, Inc. BD affiliatedCambridge Investment Research Advisors, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherMay 4, 2023Apr 27, 2023
Jenifer JensenSagepoint Financial, Inc. BD affiliatedCambridge Investment Research Advisors, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherMay 4, 2023Apr 27, 2023
Stefani Ann IversonSagepoint Financial, Inc. BD affiliatedCambridge Investment Research Advisors, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherMay 4, 2023May 3, 2023
Jeffrey Lawrence HedbergSagepoint Financial, Inc. BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherMay 3, 2023Apr 28, 2023
Michelle Marie DoffekSagepoint Financial, Inc. BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherMay 2, 2023Apr 28, 2023
Kalomira K. ZangoulosSagepoint Financial, Inc. BD affiliatedIp Financial Advisory Services LLC BD affiliatedAffiliated broker-dealer or bank to anotherApr 4, 2023Apr 5, 2023
Andrew LewisSagepoint Financial, Inc. BD affiliatedCambridge Investment Research Advisors, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherApr 3, 2023Apr 4, 2023
Timothy Michael SepichSagepoint Financial, Inc. BD affiliatedCambridge Investment Research Advisors, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherApr 3, 2023Apr 3, 2023
Stephen Richard MyersSagepoint Financial, Inc. BD affiliatedLPL Financial LLC independent RIAAffiliated broker-dealer or bank to independent RIAMar 14, 2023Mar 10, 2023
Roger Rudolph InkrottSagepoint Financial, Inc. BD affiliatedLPL Financial LLC independent RIAAffiliated broker-dealer or bank to independent RIAMar 14, 2023Mar 10, 2023
Mario HernandezSagepoint Financial, Inc. BD affiliatedLongevity Wealth Management LLC state registeredAffiliated broker-dealer or bank to a state-registered adviserMar 7, 2023May 18, 2022
Ellen M. BylsmaSagepoint Financial, Inc. BD affiliatedLPL Financial LLC independent RIAAffiliated broker-dealer or bank to independent RIAMar 6, 2023Mar 1, 2023
Michael Eric MurraySagepoint Financial, Inc. BD affiliatedKinetic Investment Management, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAFeb 23, 2023Jan 1, 2025 (678 d)
Isiah BrownSagepoint Financial, Inc. BD affiliatedValic Financial Advisors, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherFeb 6, 2023Sep 18, 2023 (224 d)
Thomas David FisherSagepoint Financial, Inc. BD affiliatedCetera Investment Advisers LLC BD affiliatedAffiliated broker-dealer or bank to anotherFeb 3, 2023Jun 29, 2023 (146 d)
Jonathan M GreenSagepoint Financial, Inc. BD affiliatedCetera Investment Advisers LLC BD affiliatedAffiliated broker-dealer or bank to anotherFeb 3, 2023Jun 29, 2023 (146 d)
Margaret Ellen GreenSagepoint Financial, Inc. BD affiliatedCetera Investment Advisers LLC BD affiliatedAffiliated broker-dealer or bank to anotherFeb 3, 2023Jun 29, 2023 (146 d)
Page 1 of 15Next
862 moves match.