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
Michael David SobiloLevel Four Advisory Services BD affiliatedPruco Securities, LLC BD affiliatedAffiliated broker-dealer or bank to anotherSep 25, 2018Oct 1, 2018
Samuel Elliot RodriguezLevel Four Advisory Services BD affiliatedAdvisor Resource Council independent RIAAffiliated broker-dealer or bank to independent RIASep 14, 2018Jul 26, 2018
Brian W KrukielLevel Four Advisory Services BD affiliatedAdvisor Resource Council independent RIAAffiliated broker-dealer or bank to independent RIASep 14, 2018Jul 26, 2018
Travis Bryan FloydLevel Four Advisory Services BD affiliatedAdvisor Resource Council independent RIAAffiliated broker-dealer or bank to independent RIASep 14, 2018Jul 26, 2018
John Allen VannLevel Four Advisory Services BD affiliatedPer Stirling Capital Management, LLC independent RIAAffiliated broker-dealer or bank to independent RIASep 12, 2018Sep 27, 2018
Mitchell Roy GriepLevel Four Advisory Services BD affiliatedRaymond James Financial Services Advisors, Inc BD affiliatedAffiliated broker-dealer or bank to anotherAug 31, 2018Aug 30, 2018
Robert Valliant BrownLevel Four Advisory Services BD affiliatedAdvisor Resource Council independent RIAAffiliated broker-dealer or bank to independent RIAAug 2, 2018Aug 2, 2018
Kenneth Jerome LemoineLevel Four Advisory Services BD affiliatedAdvisor Resource Council independent RIAAffiliated broker-dealer or bank to independent RIAAug 2, 2018Aug 2, 2018
Alden Gerard HagardornLevel Four Advisory Services BD affiliatedAdvisor Resource Council independent RIAAffiliated broker-dealer or bank to independent RIAAug 2, 2018Aug 2, 2018
Jean Paul LagardeLevel Four Advisory Services BD affiliatedAdvisor Resource Council independent RIAAffiliated broker-dealer or bank to independent RIAAug 2, 2018Aug 2, 2018
William Tyson VanlandinghamLevel Four Advisory Services BD affiliatedAdvisor Resource Council independent RIAAffiliated broker-dealer or bank to independent RIAAug 2, 2018Aug 2, 2018
P David SolimanLevel Four Advisory Services BD affiliatedAdvisor Resource Council independent RIAAffiliated broker-dealer or bank to independent RIAAug 2, 2018Aug 2, 2018
Brentson Sanford BowlinLevel Four Advisory Services BD affiliatedAdvisor Resource Council independent RIAAffiliated broker-dealer or bank to independent RIAAug 2, 2018Aug 2, 2018
Timothy Kent AubinLevel Four Advisory Services BD affiliatedAdvisor Resource Council independent RIAAffiliated broker-dealer or bank to independent RIAAug 2, 2018Aug 2, 2018
Paige Leigh St. MartinLevel Four Advisory Services BD affiliatedAdvisor Resource Council independent RIAAffiliated broker-dealer or bank to independent RIAAug 2, 2018Aug 2, 2018
Michael Ralph RomigLevel Four Advisory Services BD affiliatedBalefire, LLC independent RIAAffiliated broker-dealer or bank to independent RIAMay 22, 2018May 18, 2018
Jonathan Keith HaugenLevel Four Advisory Services BD affiliatedIndependent Advisor Alliance, LLC independent RIAAffiliated broker-dealer or bank to independent RIAApr 5, 2018Apr 9, 2018
James Andrew FrigstadLevel Four Advisory Services BD affiliatedNorth Point Financial Planners no RAUMAffiliated broker-dealer or bank to a newly registered adviserApr 5, 2018Sep 25, 2017
Nicholas Guy WiedrichLevel Four Advisory Services BD affiliatedIndependent Advisor Alliance, LLC independent RIAAffiliated broker-dealer or bank to independent RIAApr 5, 2018Apr 9, 2018
Joel Blanco GilhangLevel Four Advisory Services otherPark Avenue Securities LLC BD affiliatedOtherJan 4, 2018Jan 8, 2018
Evan Robert HaysLevel Four Advisory Services otherPark Avenue Securities LLC BD affiliatedOtherJan 4, 2018Jan 9, 2018
James Nicholas SarandisLevel Four Advisory Services otherPark Avenue Securities LLC BD affiliatedOtherJan 4, 2018Jan 8, 2018
Joshua David ZorgerLevel Four Advisory Services otherFortitude Private Wealth independent RIAOtherNov 7, 2017Oct 31, 2017
Christopher Allen WhiteLevel Four Advisory Services otherIndependent Financial Partners otherOtherJul 26, 2017Jul 26, 2017
Carroll Ronald SandersonLevel Four Advisory Services otherIndependent Financial Partners otherOtherJul 26, 2017Jul 26, 2017
Chad James CastrinosLevel Four Advisory Services otherIndependent Financial Partners otherOtherJul 14, 2017Jul 12, 2017
John Joseph LinkLevel Four Advisory Services otherThe Wealth Consulting Group otherOtherJul 13, 2017Oct 20, 2017 (99 d)
Rory Jacob Dale HartLevel Four Advisory Services otherLPL Financial LLC otherOtherJul 5, 2017Jun 30, 2016
Robert Dean CoffinLevel Four Advisory Services otherOsaic Fs, Inc. otherOtherApr 10, 2017Apr 11, 2017
Patrick GillLevel Four Advisory Services otherCapital Point Financial Group, Ltd. independent RIAOtherMar 23, 2017Jan 3, 2017
Darryn David PopeLevel Four Advisory Services otherLPL Financial LLC otherOtherFeb 17, 2017Jul 11, 2016
James WarrenLevel Four Advisory Services otherAmeriprise Financial Services, LLC national BDOtherFeb 14, 2017Feb 10, 2017
Lucien Eugene CraigLevel Four Advisory Services otherUnited Advisors America independent RIAOtherFeb 8, 2017Jun 20, 2019 (862 d)
John Amirault FarleyLevel Four Advisory Services otherKalos Management otherOtherDec 19, 2016Dec 14, 2016
Jeffrey Alan BottorffLevel Four Advisory Services otherKestra Advisory Services, LLC otherOtherDec 1, 2016Jan 3, 2017 (33 d)
Tamara Lynn Drone SchulerLevel Four Advisory Services otherWells Fargo Advisors wirehouseOtherDec 1, 2016Dec 21, 2016
Brandi Jill HolmesLevel Four Advisory Services otherAdvisory Services Network otherOtherNov 9, 2016Nov 4, 2016
Mark Robert HayesLevel Four Advisory Services otherLPL Financial LLC otherOtherAug 4, 2016Jun 20, 2016
Jacob Cristobal ChaparroLevel Four Advisory Services otherAdvisory Services Network otherOtherAug 4, 2016Aug 11, 2016
Jason Todd HillLevel Four Advisory Services otherHorter Investment Management, LLC otherOtherMar 9, 2016Mar 23, 2016
Michael Thomas SmithLevel Four Advisory Services otherHighpoint Advisor Group, LLC otherOtherJan 13, 2016Feb 18, 2016 (36 d)
John Edward MartfeldLevel Four Advisory Services otherMach-1 Financial Group, LLC independent RIAOtherNov 17, 2015Apr 13, 2023 (2704 d)
Colby Scot Van SicklerLevel Four Advisory Services otherF3 Wealth Management, LLC state registeredOtherNov 2, 2015Nov 9, 2015
Edward George HarrisLevel Four Advisory Services otherLPL Financial LLC BD affiliatedOtherOct 5, 2015Jan 15, 2025 (3390 d)
Charles Phillip MelkaLevel Four Advisory Services otherSequoia Wealth Management, LLC otherOtherAug 10, 2015Jul 24, 2015
Gregory Steven SnoorLevel Four Advisory Services otherLPL Financial LLC otherOtherJun 2, 2015Jun 1, 2015
Grant Daniel PodsednikLevel Four Advisory Services otherCetera Advisor Networks LLC otherOtherApr 7, 2015Mar 27, 2015
Jerome Anthony BellmLevel Four Advisory Services otherHighpoint Advisor Group, LLC otherOtherDec 2, 2014Nov 21, 2014
Kirk Edmund LoerwaldLevel Four Advisory Services otherFirst Command Financial Planning, Inc. otherOtherApr 8, 2014Jul 14, 2015 (462 d)
Kevin James O'DayLevel Four Advisory Services otherSpc BD affiliatedOtherNov 6, 2012Mar 9, 2021 (3045 d)
Kevin Donald GrantLevel Four Advisory Services otherHigginbotham Executive Benefits, LLC unclassifiedOtherMay 10, 2011Mar 7, 2011
Jeffrey SheatsLevel Four Advisory Services otherUvest Financial Services Group, Inc. unclassifiedOtherMar 2, 2011Mar 11, 2011
Eric Kurt HiteLevel Four Advisory Services otherQuestar Asset Management, Inc. otherOtherDec 31, 2010Apr 1, 2011 (91 d)
Jeffrey Allen GumpLevel Four Advisory Services otherCherry Bekaert Wealth Management LLC otherOtherSep 21, 2010Sep 23, 2010
Damon Andrew PiersonLevel Four Advisory Services otherWoodbury Financial Services, Inc. otherOtherSep 15, 2010Aug 17, 2010
Kevin Ray WilsonLevel Four Advisory Services otherCharles Schwab & Co., Inc. national BDOtherMay 11, 2010May 20, 2010
Lucien Eugene CraigLevel Four Advisory Services otherCuna Brokerage Services, Inc. otherOtherMay 3, 2010Aug 5, 2010 (94 d)
Eric Justin ReidLevel Four Advisory Services otherServant Advisors, Inc. unclassifiedOtherApr 1, 2010Apr 20, 2010
Oscar L BarrLevel Four Advisory Services otherAvantax Advisory Services otherOtherJun 10, 2009Jul 6, 2009
Melvyn Leroy VarrelmanLevel Four Advisory Services otherCooper Mcmanus otherOtherNov 19, 2007Feb 19, 2008 (92 d)
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185 moves match.