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 Level Four Advisory Services

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
Dennis L. JacksonLevel Four Advisory Services BD affiliatedAdvisor Resource Council BD affiliatedAffiliated broker-dealer or bank to anotherAug 30, 2021Aug 27, 2021
Ronald Cheong Ming ShihLevel Four Advisory Services BD affiliatedHighpoint Advisor Group, LLC independent RIAAffiliated broker-dealer or bank to independent RIAAug 27, 2021Aug 27, 2021
Sammy MoyLevel Four Advisory Services BD affiliatedHighpoint Advisor Group, LLC independent RIAAffiliated broker-dealer or bank to independent RIAAug 27, 2021Aug 27, 2021
Harlin Christopher NoelLevel Four Advisory Services BD affiliatedPrivate Advisor Group, LLC BD affiliatedAffiliated broker-dealer or bank to anotherAug 27, 2021Aug 31, 2021
Eric Jason BartlettLevel Four Advisory Services BD affiliatedHighpoint Advisor Group, LLC independent RIAAffiliated broker-dealer or bank to independent RIAAug 27, 2021Aug 27, 2021
Barry Keith MaloneLevel Four Advisory Services BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherAug 25, 2021Aug 24, 2021
Gregory Steven MooreLevel Four Advisory Services BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherAug 25, 2021Aug 24, 2021
Mark Wade DicksonLevel Four Advisory Services BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherAug 25, 2021Aug 24, 2021
Joshua John SandsLevel Four Advisory Services BD affiliatedHighpoint Advisor Group, LLC independent RIAAffiliated broker-dealer or bank to independent RIAAug 25, 2021Aug 25, 2021
Thomas Michael GarlandLevel Four Advisory Services BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherAug 19, 2021Aug 18, 2021
Ben G PierceLevel Four Advisory Services BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherAug 19, 2021Aug 19, 2021
John Joseph SpaethLevel Four Advisory Services BD affiliatedIntegrated Wealth Concepts LLC independent RIAAffiliated broker-dealer or bank to independent RIAAug 10, 2021Aug 10, 2021
Martin Ira FriedmanLevel Four Advisory Services BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherAug 9, 2021Aug 11, 2021
Timothy Robert MahieuLevel Four Advisory Services BD affiliatedIntegrated Wealth Concepts LLC independent RIAAffiliated broker-dealer or bank to independent RIAAug 6, 2021Aug 5, 2021
John N WillsLevel Four Advisory Services BD affiliatedHighpoint Advisor Group, LLC independent RIAAffiliated broker-dealer or bank to independent RIAAug 6, 2021Aug 5, 2021
Sara Marie SchauermannLevel Four Advisory Services BD affiliatedFinancial Advocates Investment Management independent RIAAffiliated broker-dealer or bank to independent RIAAug 6, 2021Aug 10, 2021
Lucas McneelyLevel Four Advisory Services BD affiliatedFinancial Advocates Investment Management independent RIAAffiliated broker-dealer or bank to independent RIAAug 6, 2021Aug 10, 2021
Benjamin PaytonLevel Four Advisory Services BD affiliatedIntegrated Wealth Concepts LLC independent RIAAffiliated broker-dealer or bank to independent RIAAug 6, 2021Aug 5, 2021
Darren Michael FabricLevel Four Advisory Services BD affiliatedIntegrated Wealth Concepts LLC independent RIAAffiliated broker-dealer or bank to independent RIAAug 4, 2021Aug 3, 2021
Carla Ann ReillyLevel Four Advisory Services BD affiliatedHighpoint Advisor Group, LLC independent RIAAffiliated broker-dealer or bank to independent RIAJul 28, 2021Jul 27, 2021
John Todd VandervoornLevel Four Advisory Services BD affiliatedHighpoint Advisor Group, LLC independent RIAAffiliated broker-dealer or bank to independent RIAJul 28, 2021Jul 27, 2021
Jed Gunner BlackburnLevel Four Advisory Services BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherJun 16, 2021Jul 19, 2021 (33 d)
Brian Richard TarroLevel Four Advisory Services BD affiliatedIntegrated Wealth Concepts LLC independent RIAAffiliated broker-dealer or bank to independent RIAJun 14, 2021Jun 15, 2021
Sarah Emily HarrisLevel Four Advisory Services BD affiliatedAvantax Advisory Services BD affiliatedAffiliated broker-dealer or bank to anotherJun 11, 2021Jul 26, 2021 (45 d)
Alan Bryant ComerLevel Four Advisory Services BD affiliatedPelican Investment Advisors, LLC no RAUMAffiliated broker-dealer or bank to a newly registered adviserJun 2, 2021May 28, 2021
Sean E DavisLevel Four Advisory Services BD affiliatedPelican Investment Advisors, LLC no RAUMAffiliated broker-dealer or bank to a newly registered adviserMay 27, 2021May 28, 2021
Thomas Eugene DavisLevel Four Advisory Services BD affiliatedIntegrated Wealth Concepts LLC independent RIAAffiliated broker-dealer or bank to independent RIAMay 25, 2021May 25, 2021
Matthew Robert BarretteLevel Four Advisory Services BD affiliatedIntegrated Wealth Concepts LLC independent RIAAffiliated broker-dealer or bank to independent RIAMay 25, 2021May 25, 2021
Jeff Lee MacyLevel Four Advisory Services BD affiliatedIntegrated Wealth Concepts LLC independent RIAAffiliated broker-dealer or bank to independent RIAMay 25, 2021May 25, 2021
Craig Joseph HorvathLevel Four Advisory Services BD affiliatedIntegrated Wealth Concepts LLC independent RIAAffiliated broker-dealer or bank to independent RIAApr 30, 2021Apr 30, 2021
Anthony Robert HendersonLevel Four Advisory Services BD affiliatedAvantax Advisory Services BD affiliatedAffiliated broker-dealer or bank to anotherApr 30, 2021Apr 29, 2021
Sherman J FernandesLevel Four Advisory Services BD affiliatedIntegrated Wealth Concepts LLC independent RIAAffiliated broker-dealer or bank to independent RIAApr 27, 2021Apr 28, 2021
Scott Andrew PiggushLevel Four Advisory Services BD affiliatedHighpoint Advisor Group, LLC independent RIAAffiliated broker-dealer or bank to independent RIAMar 25, 2021Mar 25, 2021
Brandon Raymond JuodikisLevel Four Advisory Services BD affiliatedHighpoint Advisor Group, LLC independent RIAAffiliated broker-dealer or bank to independent RIAMar 25, 2021Mar 25, 2021
Mark David GeoffreyLevel Four Advisory Services BD affiliatedHighpoint Advisor Group, LLC independent RIAAffiliated broker-dealer or bank to independent RIAMar 25, 2021Mar 25, 2021
James Devereux ChaseLevel Four Advisory Services BD affiliatedHighpoint Advisor Group, LLC independent RIAAffiliated broker-dealer or bank to independent RIAMar 5, 2021Mar 12, 2021
Natasha Boris TitovaLevel Four Advisory Services BD affiliatedHighpoint Advisor Group, LLC independent RIAAffiliated broker-dealer or bank to independent RIAMar 2, 2021Mar 12, 2021
Joe HallLevel Four Advisory Services BD affiliatedIntegrated Wealth Concepts LLC independent RIAAffiliated broker-dealer or bank to independent RIAFeb 26, 2021Feb 23, 2021
Lindsay B BlaneyLevel Four Advisory Services BD affiliatedIntegrated Wealth Concepts LLC independent RIAAffiliated broker-dealer or bank to independent RIAFeb 26, 2021Feb 26, 2021
Mark Mamoru MitamuraLevel Four Advisory Services BD affiliatedLPL Financial LLC otherOtherFeb 26, 2021Apr 11, 2017
Peter Randall ZierhutLevel Four Advisory Services BD affiliatedIntegrated Wealth Concepts LLC independent RIAAffiliated broker-dealer or bank to independent RIAFeb 26, 2021Feb 23, 2021
David Munho ChoiLevel Four Advisory Services BD affiliatedIntegrated Wealth Concepts LLC independent RIAAffiliated broker-dealer or bank to independent RIAFeb 26, 2021Mar 15, 2022 (382 d)
Whitney Christine MasseyLevel Four Advisory Services BD affiliatedIntegrated Wealth Concepts LLC independent RIAAffiliated broker-dealer or bank to independent RIAFeb 26, 2021Feb 23, 2021
Carly Marie JeavonsLevel Four Advisory Services BD affiliatedIntegrated Wealth Concepts LLC independent RIAAffiliated broker-dealer or bank to independent RIAFeb 26, 2021Mar 18, 2021
Austin Robert MurphyLevel Four Advisory Services BD affiliatedThurston Springer Advisors BD affiliatedAffiliated broker-dealer or bank to anotherFeb 3, 2021Jun 20, 2021 (137 d)
Pedro Sergio ChavezLevel Four Advisory Services BD affiliatedLPL Financial LLC independent RIAAffiliated broker-dealer or bank to independent RIAFeb 2, 2021Jul 25, 2022 (538 d)
Stanley Terrell FunchesLevel Four Advisory Services BD affiliatedIntelus Advisory Group, LLC state registeredAffiliated broker-dealer or bank to a state-registered adviserNov 12, 2020Oct 20, 2020
Michael Edward SheltonLevel Four Advisory Services BD affiliated360 Wealth Consultants, LLC state registeredAffiliated broker-dealer or bank to a state-registered adviserJul 2, 2020Feb 17, 2021 (230 d)
Brian Dale TrowbridgeLevel Four Advisory Services BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherJun 12, 2020Jun 12, 2020
Andrew David SharpLevel Four Advisory Services BD affiliatedAltere Financial, LLC state registeredAffiliated broker-dealer or bank to a state-registered adviserApr 3, 2020Nov 21, 2024 (1693 d)
Thomas Payton CollinsLevel Four Advisory Services BD affiliatedKovack Advisors, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherApr 1, 2020Apr 22, 2020
Grant Daniel PodsednikLevel Four Advisory Services BD affiliatedAvantax Advisory Services BD affiliatedAffiliated broker-dealer or bank to anotherOct 31, 2019Oct 22, 2019
Adrian Trent PodsednikLevel Four Advisory Services BD affiliatedAvantax Advisory Services BD affiliatedAffiliated broker-dealer or bank to anotherOct 31, 2019Oct 21, 2019
Adam Denton PrewettLevel Four Advisory Services BD affiliatedLPL Financial LLC independent RIAAffiliated broker-dealer or bank to independent RIAJun 28, 2019Apr 12, 2018
Jordan Nicholas AndreolaLevel Four Advisory Services BD affiliatedFisher Investments independent RIAAffiliated broker-dealer or bank to independent RIAMar 13, 2019Dec 4, 2018
James Thomas StevensonLevel Four Advisory Services BD affiliatedEdward Jones national BDAffiliated broker-dealer or bank to anotherMar 4, 2019Jul 1, 2019 (119 d)
Shawn Steven HigleyLevel Four Advisory Services BD affiliatedLPL Financial LLC independent RIAAffiliated broker-dealer or bank to independent RIAFeb 15, 2019Feb 25, 2019
Edward Robert VrablikLevel Four Advisory Services BD affiliatedMML Investors Services, LLC BD affiliatedAffiliated broker-dealer or bank to anotherJan 2, 2019Jan 11, 2019
Todd Robert DatheLevel Four Advisory Services BD affiliatedAspen Private Advisors, LLC no RAUMAffiliated broker-dealer or bank to a newly registered adviserOct 2, 2018Aug 20, 2018
Jeremy James SorensonLevel Four Advisory Services BD affiliatedAspen Private Advisors, LLC no RAUMAffiliated broker-dealer or bank to a newly registered adviserOct 2, 2018Aug 20, 2018
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185 moves match.