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 American Independent Securities Group, LLC

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
Pamela KnightAmerican Independent Securities Group, LLC independent RIAMML Investors Services, LLC BD affiliatedRIA to affiliated broker-dealer or bankJul 6, 2026Jul 9, 2026
Kenneth Robinson ClarkAmerican Independent Securities Group, LLC independent RIAInvestor Fan independent RIARIA to RIAApr 1, 2025Apr 4, 2025
David M RobbinsAmerican Independent Securities Group, LLC independent RIAEagle Financial Strategies independent RIARIA to RIAJan 6, 2023Jan 24, 2023
Michael Wayne NakanishiAmerican Independent Securities Group, LLC independent RIAKingswood Wealth Advisors, LLC independent RIARIA to RIAAug 17, 2022Aug 19, 2022
Marina Maranatha PelrenAmerican Independent Securities Group, LLC independent RIALPL Financial LLC BD affiliatedRIA to affiliated broker-dealer or bankDec 31, 2020Aug 9, 2021 (221 d)
Thomas Wayne DavisAmerican Independent Securities Group, LLC independent RIALion Street Advisors, LLC BD affiliatedRIA to affiliated broker-dealer or bankFeb 24, 2020Feb 24, 2020
Nichole Renee ZahnerAmerican Independent Securities Group, LLC independent RIALion Street Advisors, LLC BD affiliatedRIA to affiliated broker-dealer or bankFeb 24, 2020Feb 24, 2020
Larry Dale PeregrineAmerican Independent Securities Group, LLC independent RIACambridge Investment Research Advisors, Inc. BD affiliatedRIA to affiliated broker-dealer or bankFeb 4, 2019Feb 4, 2019
Cortino Rito GarciaAmerican Independent Securities Group, LLC otherIndependent Financial Group, LLC otherOtherAug 9, 2016Aug 9, 2016
Ross Wayne LuekengaAmerican Independent Securities Group, LLC otherLegacy Wealth Management, LLC independent RIAOtherAug 8, 2016Aug 17, 2016
Dennis Lynn LathamAmerican Independent Securities Group, LLC otherLPL Financial LLC otherOtherApr 5, 2016Apr 5, 2016
Randolf John AlbersAmerican Independent Securities Group, LLC otherAdvanced Financial Services state registeredOtherDec 11, 2015Mar 21, 2016 (101 d)
Peter Carmine CovinoAmerican Independent Securities Group, LLC otherAncorato no RAUMOtherJan 23, 2015Nov 14, 2022 (2852 d)
Randall Jason TaylorAmerican Independent Securities Group, LLC otherInterwest Investment Advisors, Inc state registeredOtherSep 2, 2014Sep 2, 2014
Robert Laurence KundeAmerican Independent Securities Group, LLC otherMadison Avenue Securities, LLC otherOtherJun 17, 2013Jun 17, 2013
Sagar ParikhAmerican Independent Securities Group, LLC otherSilber Bennett Financial, Inc. unclassifiedOtherJan 3, 2013Jan 11, 2013
Katherine Anne KirkpatrickAmerican Independent Securities Group, LLC otherIndependent Financial Group, LLC otherOtherMay 4, 2012May 4, 2012
Christopher Ray FilesAmerican Independent Securities Group, LLC otherVan Ray Wealth Management state registeredOtherApr 27, 2012Feb 4, 2020 (2839 d)
Gerard Barrett PerkinsAmerican Independent Securities Group, LLC otherIndependent Financial Group, LLC otherOtherDec 21, 2011Dec 12, 2011
Matthew Donald ShannahanAmerican Independent Securities Group, LLC otherNations Financial Group, Inc. otherOtherAug 16, 2011Aug 16, 2011
James Wesley ThompsonAmerican Independent Securities Group, LLC otherPrincipal Securities, Inc. otherOtherAug 16, 2011Aug 25, 2011
Jon William AndersonAmerican Independent Securities Group, LLC otherNations Financial Group, Inc. otherOtherAug 16, 2011Aug 16, 2011
Christine Marie BennettAmerican Independent Securities Group, LLC otherNorthwestern Mutual Investment Services,LLC otherOtherJul 19, 2011Jul 3, 2013 (715 d)
Brian StollAmerican Independent Securities Group, LLC otherCore Asset Management, LLC state registeredOtherOct 22, 2010Apr 30, 2019 (3112 d)
Douglas Fosdick CarterAmerican Independent Securities Group, LLC otherNations Financial Group, Inc. otherOtherAug 5, 2009Feb 25, 2010 (204 d)
Michael William GrayAmerican Independent Securities Group, LLC otherLPL Financial LLC otherOtherDec 17, 2007Dec 17, 2007
David M TidwellAmerican Independent Securities Group, LLC otherInterwest Investment Advisors, Inc state registeredOtherOct 30, 2006May 30, 2007 (212 d)
Randal Warren BestAmerican Independent Securities Group, LLC otherWaddell & Reed otherOtherJan 9, 2006Dec 14, 2005
Page 1 of 1
28 moves match.