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.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Gustavo Gonzalez | First Allied Advisory Services, Inc. BD affiliated | Capital Asset Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 13, 2020 | Mar 6, 2017 |
| Christopher Allan Ruth | First Allied Advisory Services, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 31, 2020 | Feb 3, 2020 |
| Jody Kim Hinsey | First Allied Advisory Services, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 27, 2020 | Jan 24, 2020 |
| William Daniel Saplicki | First Allied Advisory Services, Inc. BD affiliated | Hibernia Wealth Partners, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 16, 2020 | Feb 2, 2024 (1478 d) |
| Vinod Kumar Joshi | First Allied Advisory Services, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 2, 2020 | Nov 2, 2021 (670 d) |
| Daniel William Rausch | First Allied Advisory Services, Inc. BD affiliated | Aw Securities no RAUM | Other | Jan 2, 2020 | Dec 12, 2019 |
| Christina M Gaston | First Allied Advisory Services, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 24, 2019 | Jan 2, 2020 |
| Donald Scott Peterson | First Allied Advisory Services, Inc. BD affiliated | Peterson Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 20, 2019 | Oct 12, 2017 |
| Jess David Peterson | First Allied Advisory Services, Inc. BD affiliated | Peterson Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 20, 2019 | Jan 5, 2026 (2208 d) |
| Andrew George Peterson | First Allied Advisory Services, Inc. BD affiliated | Peterson Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 20, 2019 | Jun 18, 2019 |
| Matthew David Hickey | First Allied Advisory Services, Inc. BD affiliated | Capital Asset Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 12, 2019 | Aug 17, 2016 |
| Jane Mary Olbekson | First Allied Advisory Services, Inc. BD affiliated | Centaurus Financial, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 12, 2019 | Dec 12, 2019 |
| Marc Andre Noonan | First Allied Advisory Services, Inc. BD affiliated | Magnate Advisory Services, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 2, 2019 | Dec 9, 2019 |
| Sheryl Ann Hall | First Allied Advisory Services, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 27, 2019 | Mar 21, 2024 (1576 d) |
| John Edward Langston | First Allied Advisory Services, Inc. BD affiliated | Robertson Investment Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 25, 2019 | Jan 24, 2018 |
| Robert William Kasten | First Allied Advisory Services, Inc. BD affiliated | Robertson Investment Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 22, 2019 | Jan 24, 2020 (63 d) |
| Ellias David Stabinsky | First Allied Advisory Services, Inc. BD affiliated | Robertson Investment Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 22, 2019 | Feb 9, 2017 |
| Dawn Moore Trammell | First Allied Advisory Services, Inc. BD affiliated | Robertson Investment Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 22, 2019 | Dec 5, 2018 |
| Brent Robert Broaddus | First Allied Advisory Services, Inc. BD affiliated | J. W. Cole Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 4, 2019 | Nov 5, 2019 |
| Roger Joel Conde | First Allied Advisory Services, Inc. BD affiliated | Ira Wealth Management unclassified | Other | Oct 31, 2019 | Jan 17, 2014 |
| Kelley Anne Lebica | First Allied Advisory Services, Inc. BD affiliated | Founders Financial Securities, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 31, 2019 | Oct 31, 2019 |
| Michael Duane Lafleche | First Allied Advisory Services, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 15, 2019 | Oct 16, 2019 |
| Jennifer Defries | First Allied Advisory Services, Inc. BD affiliated | Ipi Wealth Management, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 8, 2019 | Jan 2, 2020 (86 d) |
| Douglas Jay Eaton | First Allied Advisory Services, Inc. BD affiliated | Schorn Wealth no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Sep 30, 2019 | Sep 24, 2019 |
| Vincent Neal | First Allied Advisory Services, Inc. BD affiliated | Independent Financial Group, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 26, 2019 | Sep 30, 2019 |
| Mark Matthew Martiak | First Allied Advisory Services, Inc. BD affiliated | Premier Wealth Advisors, LLC other | Other | Aug 12, 2019 | May 18, 2015 |
| Matthew R Liffick | First Allied Advisory Services, Inc. BD affiliated | MML Investors Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 5, 2019 | Aug 26, 2019 |
| Damon Jeffrey Varady | First Allied Advisory Services, Inc. BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 25, 2019 | Aug 5, 2019 |
| Ira Gene Sager | First Allied Advisory Services, Inc. BD affiliated | Schorn Wealth no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jul 12, 2019 | Jul 24, 2019 |
| Thomas Schorn | First Allied Advisory Services, Inc. BD affiliated | Schorn Wealth no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jul 2, 2019 | Jun 28, 2019 |
| Richard Roger Oelze | First Allied Advisory Services, Inc. BD affiliated | Rg Capital independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 1, 2019 | Jun 13, 2015 |
| Daniel Rosado Mercado | First Allied Advisory Services, Inc. BD affiliated | Sorrento Pacific Financial, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 1, 2019 | Jul 3, 2019 |
| Henry John Tallardy | First Allied Advisory Services, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 1, 2019 | Jul 1, 2019 |
| Joseph Kenneth Thompson | First Allied Advisory Services, Inc. BD affiliated | Strategic Wealth Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 1, 2019 | Jul 26, 2019 |
| Seth Richard Peritzman | First Allied Advisory Services, Inc. BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Jun 5, 2019 | May 31, 2019 |
| Miste Lee Cliadakis | First Allied Advisory Services, Inc. BD affiliated | Altum Wealth Advisors no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jun 3, 2019 | May 17, 2019 |
| Paul Edward Drolson | First Allied Advisory Services, Inc. BD affiliated | Perigon Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 24, 2019 | Nov 17, 2023 (1638 d) |
| Kenneth Dean Fincher | First Allied Advisory Services, Inc. BD affiliated | Perigon Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 24, 2019 | Nov 15, 2023 (1636 d) |
| James A White | First Allied Advisory Services, Inc. BD affiliated | Securities America Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 24, 2019 | May 24, 2019 |
| David Walter Heiligenthaler | First Allied Advisory Services, Inc. BD affiliated | Investacorp Advisory Services Inc BD affiliated | Affiliated broker-dealer or bank to another | May 20, 2019 | May 20, 2019 |
| Steven Harry Cliadakis | First Allied Advisory Services, Inc. BD affiliated | Altum Wealth Advisors no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | May 20, 2019 | May 17, 2019 |
| David Robert Kennon | First Allied Advisory Services, Inc. BD affiliated | Kennon Financial no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | May 14, 2019 | May 21, 2019 |
| William Hamada Pettus | First Allied Advisory Services, Inc. BD affiliated | Ira Wealth Management unclassified | Other | May 7, 2019 | Jan 3, 2017 |
| Christian Raul Cordoba | First Allied Advisory Services, Inc. BD affiliated | Mutual Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 6, 2019 | May 7, 2019 |
| Arcadia Berjonneau Keane | First Allied Advisory Services, Inc. BD affiliated | Mutual Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 6, 2019 | May 3, 2019 |
| Mark Markland | First Allied Advisory Services, Inc. BD affiliated | Sagepoint Financial, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 2, 2019 | May 1, 2019 |
| Stephanie Matthews Mitzel | First Allied Advisory Services, Inc. BD affiliated | St. Bernard Financial Services, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | May 1, 2019 | Sep 6, 2019 (128 d) |
| Christopher Douglas Risher | First Allied Advisory Services, Inc. BD affiliated | Ae Wealth Management, LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 10, 2019 | Oct 19, 2021 (923 d) |
| Kimberly Ann Barentsen | First Allied Advisory Services, Inc. BD affiliated | Npb Financial Group, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 8, 2019 | Apr 12, 2019 |
| Larry Glenn Boggs | First Allied Advisory Services, Inc. BD affiliated | International Assets Investment Management, LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 5, 2019 | May 1, 2019 |
| Brian Morton | First Allied Advisory Services, Inc. BD affiliated | Cedar Brook Group independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 29, 2019 | Feb 24, 2021 (698 d) |
| Daniel Joseph Lombardozzi | First Allied Advisory Services, Inc. BD affiliated | Garden State Investment Advisory Services, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 15, 2019 | Apr 12, 2019 |
| Rebecca L Wyatt | First Allied Advisory Services, Inc. BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Mar 14, 2019 | Mar 19, 2019 |
| Robert Martin Cheney | First Allied Advisory Services, Inc. BD affiliated | Diversify Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 11, 2019 | Dec 19, 2023 (1744 d) |
| Ian Kelly-Thomas | First Allied Advisory Services, Inc. BD affiliated | Affinity Financial Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 5, 2019 | Mar 13, 2019 |
| Kalonn Boyle | First Allied Advisory Services, Inc. BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Feb 27, 2019 | Mar 28, 2019 |
| Julie Brakey Hazzard | First Allied Advisory Services, Inc. BD affiliated | Khp Capital LLC other | Other | Feb 7, 2019 | Feb 9, 2017 |
| Bradford Peter White | First Allied Advisory Services, Inc. BD affiliated | Capital One Investing, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 7, 2019 | Dec 6, 2018 |
| Mcfaddin Moise | First Allied Advisory Services, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Feb 6, 2019 | Feb 13, 2019 |
| Christopher Lee Boggs | First Allied Advisory Services, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 23, 2018 | Nov 26, 2018 |
454 moves match.