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 First Allied Advisory Services, 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
William Robert JoinerFirst Allied Advisory Services, Inc. BD affiliatedLegacy Financial Advisors, LLC unclassifiedOtherNov 13, 2020Dec 8, 2015
Joseph Alan PerryFirst Allied Advisory Services, Inc. BD affiliatedAviso Wealth Management otherOtherNov 13, 2020Jan 3, 2017
Timothy Stuart MickeyFirst Allied Advisory Services, Inc. BD affiliatedAviso Wealth Management otherOtherNov 12, 2020Jun 10, 2013
John Louis DiazFirst Allied Advisory Services, Inc. BD affiliatedPremier Wealth Advisors, LLC otherOtherNov 12, 2020Jan 21, 2015
Stephen Louis FougerousseFirst Allied Advisory Services, Inc. BD affiliatedLifestyle Asset Management, Inc. independent RIAAffiliated broker-dealer or bank to independent RIANov 12, 2020Oct 24, 2017
Michael Allen WegnerFirst Allied Advisory Services, Inc. BD affiliatedLifestyle Asset Management, Inc. independent RIAAffiliated broker-dealer or bank to independent RIANov 12, 2020Dec 5, 2016
David Wordlow JohnsonFirst Allied Advisory Services, Inc. BD affiliatedJohnson & Murphy Wealth Advisors, LLC unclassifiedOtherNov 12, 2020Oct 27, 2017
Kyle Edward JohnstonFirst Allied Advisory Services, Inc. BD affiliatedLifestyle Asset Management, Inc. independent RIAAffiliated broker-dealer or bank to independent RIANov 12, 2020Jun 24, 2018
Mark David FrederickFirst Allied Advisory Services, Inc. BD affiliatedFrederick, Mark D. state registeredAffiliated broker-dealer or bank to a state-registered adviserNov 12, 2020Aug 16, 2018
Allan John ProskeFirst Allied Advisory Services, Inc. BD affiliatedLpa Taurus LLC no RAUMOtherNov 12, 2020Jun 2, 2016
David Aaron VolkmanFirst Allied Advisory Services, Inc. BD affiliatedPremier Wealth Advisors, LLC otherOtherNov 12, 2020Jun 14, 2017
Scott Joseph AdamsFirst Allied Advisory Services, Inc. BD affiliatedRidge Capital Management, LLC independent RIAAffiliated broker-dealer or bank to independent RIANov 12, 2020Jun 4, 2015
David Lee WilsonFirst Allied Advisory Services, Inc. BD affiliatedGenerational Wealth, Inc. independent RIAAffiliated broker-dealer or bank to independent RIANov 12, 2020Nov 23, 2015
Stephen Gerard RossiFirst Allied Advisory Services, Inc. BD affiliatedRossi And Associates unclassifiedOtherNov 12, 2020Sep 17, 2013
Daniel David ThomasonFirst Allied Advisory Services, Inc. BD affiliatedLifestyle Asset Management, Inc. independent RIAAffiliated broker-dealer or bank to independent RIANov 12, 2020Oct 24, 2017
Jennifer Erin San FillippoFirst Allied Advisory Services, Inc. BD affiliatedLakeside Wealth Management Group, LLC otherOtherNov 12, 2020Jan 10, 2018
Brice Ranier ThompsonFirst Allied Advisory Services, Inc. BD affiliatedRidge Capital Management, LLC independent RIAAffiliated broker-dealer or bank to independent RIANov 12, 2020May 14, 2018
Lynda Reynoso CountsFirst Allied Advisory Services, Inc. BD affiliatedFirst Allied Securities, Inc. no RAUMOtherNov 12, 2020Mar 10, 2017
Lisa Potts BauerFirst Allied Advisory Services, Inc. BD affiliatedRidge Capital Management, LLC independent RIAAffiliated broker-dealer or bank to independent RIANov 12, 2020Jun 13, 2017
William Basil VerrillFirst Allied Advisory Services, Inc. BD affiliatedAviso Wealth Management otherOtherNov 12, 2020Jan 3, 2017
Schyuler James WilsonFirst Allied Advisory Services, Inc. BD affiliatedGenerational Wealth, Inc. independent RIAAffiliated broker-dealer or bank to independent RIANov 12, 2020May 17, 2016
Steven David StockFirst Allied Advisory Services, Inc. BD affiliatedLifestyle Asset Management, Inc. independent RIAAffiliated broker-dealer or bank to independent RIANov 12, 2020Jun 25, 2018
Russell C BailynFirst Allied Advisory Services, Inc. BD affiliatedPremier Wealth Advisors, LLC otherOtherNov 12, 2020Jan 5, 2015
Joyce Anne ProvostFirst Allied Advisory Services, Inc. BD affiliatedAviso Wealth Management otherOtherNov 12, 2020Jan 8, 2013
Kelly G RichardsFirst Allied Advisory Services, Inc. BD affiliatedRg Capital independent RIAAffiliated broker-dealer or bank to independent RIANov 12, 2020Jul 9, 2015
Brandon Robert LockwoodFirst Allied Advisory Services, Inc. BD affiliatedLifestyle Asset Management, Inc. independent RIAAffiliated broker-dealer or bank to independent RIANov 12, 2020Jun 24, 2018
Jeffrey Alan KermanFirst Allied Advisory Services, Inc. BD affiliatedPremier Wealth Advisors, LLC otherOtherNov 12, 2020Sep 29, 2016
Garrett Ray LinkerFirst Allied Advisory Services, Inc. BD affiliatedLinker Financial Group, Inc. unclassifiedOtherNov 12, 2020Jul 28, 2016
Wesley R JoinerFirst Allied Advisory Services, Inc. BD affiliatedLegacy Financial Advisors independent RIAAffiliated broker-dealer or bank to independent RIANov 12, 2020May 20, 2020
Kaleb Kristofer JonesFirst Allied Advisory Services, Inc. BD affiliatedLifestyle Asset Management, Inc. independent RIAAffiliated broker-dealer or bank to independent RIANov 12, 2020Jun 24, 2018
Joseph Michael StellaFirst Allied Advisory Services, Inc. BD affiliatedPresidio Capital Management, LLC independent RIAAffiliated broker-dealer or bank to independent RIANov 12, 2020Jan 30, 2020
Matthew Gadingan ValleboFirst Allied Advisory Services, Inc. BD affiliatedPresidio Capital Management, LLC independent RIAAffiliated broker-dealer or bank to independent RIANov 12, 2020Jan 30, 2020
Gregory Ralph MetcalfFirst Allied Advisory Services, Inc. BD affiliatedCambridge Investment Research Advisors, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherNov 4, 2020Nov 3, 2020
Susan Elaine PevacFirst Allied Advisory Services, Inc. BD affiliatedCambridge Investment Research Advisors, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherNov 3, 2020Nov 3, 2020
Terry S. SawchukFirst Allied Advisory Services, Inc. BD affiliatedJ. W. Cole Advisors, Inc. independent RIAAffiliated broker-dealer or bank to independent RIANov 2, 2020Nov 2, 2020
Corey Ryan SchepperFirst Allied Advisory Services, Inc. BD affiliatedAmeriprise Financial Services, LLC national BDAffiliated broker-dealer or bank to anotherNov 2, 2020Sep 20, 2021 (322 d)
Travis Scott EatonFirst Allied Advisory Services, Inc. BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherNov 2, 2020Nov 30, 2020
Alyson Lancaster FrantzFirst Allied Advisory Services, Inc. BD affiliatedNorthwestern Mutual Investment Services,LLC no RAUMOtherSep 23, 2020Nov 4, 2020 (42 d)
James Douglas FreemanFirst Allied Advisory Services, Inc. BD affiliatedCommonwealth Financial Network national BDAffiliated broker-dealer or bank to anotherSep 21, 2020Sep 22, 2020
Steve GrossbardFirst Allied Advisory Services, Inc. BD affiliatedPruco Securities, LLC BD affiliatedAffiliated broker-dealer or bank to anotherSep 18, 2020Sep 23, 2020
Phillip EptingFirst Allied Advisory Services, Inc. BD affiliatedCaptrust institutionalOtherSep 15, 2020Dec 8, 2020 (84 d)
Daniel DolginFirst Allied Advisory Services, Inc. BD affiliatedKestra Advisory Services, LLC BD affiliatedAffiliated broker-dealer or bank to anotherAug 26, 2020Sep 10, 2020
Matthew Ray HaileFirst Allied Advisory Services, Inc. BD affiliatedNorthwestern Mutual Investment Services,LLC no RAUMOtherAug 14, 2020Nov 14, 2020 (92 d)
Luke SkifichFirst Allied Advisory Services, Inc. BD affiliatedMorgan Stanley wirehouseAffiliated broker-dealer or bank to wirehouseAug 10, 2020Aug 27, 2020
Deanna Lynn RenfroFirst Allied Advisory Services, Inc. BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherAug 4, 2020Aug 3, 2020
Jacob Paul ZeiherFirst Allied Advisory Services, Inc. BD affiliatedValeo Financial Advisors, LLC independent RIAAffiliated broker-dealer or bank to independent RIAJul 24, 2020Apr 12, 2021 (262 d)
Trevor Adam JohnsonFirst Allied Advisory Services, Inc. BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherJun 16, 2020Jun 15, 2020
Kristopher Arthur StaplesFirst Allied Advisory Services, Inc. BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherJun 15, 2020Jun 15, 2020
Nicholas Allen Hudson CantrellFirst Allied Advisory Services, Inc. BD affiliatedBhf Advisory, Inc. unclassifiedOtherJun 11, 2020May 29, 2019
Daoran AlabinFirst Allied Advisory Services, Inc. BD affiliatedJt Asset Allocation LLC independent RIAAffiliated broker-dealer or bank to independent RIAJun 10, 2020Nov 3, 2022 (876 d)
Terry Morris AndersonFirst Allied Advisory Services, Inc. BD affiliatedCapital Asset Management, LLC independent RIAAffiliated broker-dealer or bank to independent RIAApr 27, 2020Jun 9, 2017
Ryan MastersonFirst Allied Advisory Services, Inc. BD affiliatedAmeriprise Financial Services, LLC national BDAffiliated broker-dealer or bank to anotherApr 23, 2020May 5, 2020
Ana PasionFirst Allied Advisory Services, Inc. BD affiliatedFirst Allied Securities, Inc. otherOtherApr 22, 2020Aug 3, 2012
Jamie Michael LimaFirst Allied Advisory Services, Inc. BD affiliatedWoodson Wealth Management unclassifiedOtherApr 17, 2020May 26, 2020 (39 d)
Trevin Lamont EppsFirst Allied Advisory Services, Inc. BD affiliatedWealth Advisors, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAMar 31, 2020Apr 3, 2020
Alec Edward HokeFirst Allied Advisory Services, Inc. BD affiliatedPruco Securities, LLC BD affiliatedAffiliated broker-dealer or bank to anotherMar 17, 2020Apr 22, 2021 (401 d)
Michael Jerome EllisonFirst Allied Advisory Services, Inc. BD affiliatedMagnate Advisory Services, LLC independent RIAAffiliated broker-dealer or bank to independent RIAMar 3, 2020Mar 3, 2020
Victor SimonFirst Allied Advisory Services, Inc. BD affiliatedFounders Financial Securities, LLC independent RIAAffiliated broker-dealer or bank to independent RIAMar 2, 2020Mar 2, 2020
Daryl Charles DebolFirst Allied Advisory Services, Inc. BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherFeb 14, 2020Feb 14, 2020
Frank L ReidFirst Allied Advisory Services, Inc. BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherFeb 14, 2020Feb 13, 2020
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454 moves match.