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
Bryce Allen UnckFirst Allied Advisory Services, Inc. BD affiliatedLPL Financial LLC independent RIAAffiliated broker-dealer or bank to independent RIANov 23, 2018Nov 23, 2018
Sterling Carmen HirschFirst Allied Advisory Services, Inc. BD affiliatedInfinity Financial Services unclassifiedOtherNov 7, 2018Dec 20, 2018 (43 d)
Joseph Peter BartolomeoFirst Allied Advisory Services, Inc. BD affiliatedStifel, Nicolaus & Company, Incorporated national BDAffiliated broker-dealer or bank to anotherOct 22, 2018Oct 26, 2018
Donna BartlettFirst Allied Advisory Services, Inc. BD affiliatedM Holdings Securities, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherOct 1, 2018Apr 3, 2020 (550 d)
Steven Terry SetchfieldFirst Allied Advisory Services, Inc. BD affiliatedSetchfield Asset Management independent RIAAffiliated broker-dealer or bank to independent RIASep 28, 2018Jan 25, 2017
Gary Dennis HochmanFirst Allied Advisory Services, Inc. BD affiliatedLPL Financial LLC independent RIAAffiliated broker-dealer or bank to independent RIASep 27, 2018Sep 26, 2018
Nick Anthony TorresFirst Allied Advisory Services, Inc. BD affiliatedLPL Financial LLC independent RIAAffiliated broker-dealer or bank to independent RIASep 25, 2018Sep 26, 2018
John Robert SchannepFirst Allied Advisory Services, Inc. BD affiliatedSouthwest Investment Advisors, Inc. independent RIAAffiliated broker-dealer or bank to independent RIASep 4, 2018Sep 19, 2018
Norman Lee AndersonFirst Allied Advisory Services, Inc. BD affiliatedKingswood Wealth Advisors, LLC independent RIAAffiliated broker-dealer or bank to independent RIAAug 30, 2018Nov 7, 2018 (69 d)
Michael George WaltersFirst Allied Advisory Services, Inc. BD affiliatedLPL Financial LLC independent RIAAffiliated broker-dealer or bank to independent RIAAug 29, 2018Sep 6, 2018
Shelby Alexis LewisFirst Allied Advisory Services, Inc. BD affiliatedPacific Wealth Strategies Group, Inc. otherOtherAug 16, 2018Jan 13, 2017
Robert Ignacious PadillaFirst Allied Advisory Services, Inc. BD affiliatedRedefine Financial state registeredAffiliated broker-dealer or bank to a state-registered adviserAug 9, 2018Aug 13, 2018
John James ChichesterFirst Allied Advisory Services, Inc. BD affiliatedCetera Investment Advisers LLC BD affiliatedAffiliated broker-dealer or bank to anotherAug 1, 2018Apr 24, 2018
Mark PatzerFirst Allied Advisory Services, Inc. BD affiliatedBoyd Wealth Management, LLC independent RIAAffiliated broker-dealer or bank to independent RIAAug 1, 2018May 1, 2019 (273 d)
Daniel James SackmanFirst Allied Advisory Services, Inc. BD affiliatedLPL Financial LLC independent RIAAffiliated broker-dealer or bank to independent RIAJul 31, 2018Jul 30, 2018
William Thomas SullivanFirst Allied Advisory Services, Inc. BD affiliatedLPL Financial LLC independent RIAAffiliated broker-dealer or bank to independent RIAJul 30, 2018Jul 27, 2018
Gary Bruce MillerFirst Allied Advisory Services, Inc. BD affiliatedLPL Financial LLC independent RIAAffiliated broker-dealer or bank to independent RIAJul 27, 2018Jul 30, 2018
Jeffrey Guy LabelleFirst Allied Advisory Services, Inc. BD affiliatedLPL Financial LLC independent RIAAffiliated broker-dealer or bank to independent RIAJul 27, 2018Jul 25, 2018
Jason Richard DykenFirst Allied Advisory Services, Inc. BD affiliatedDyken Wealth Strategies, Inc. state registeredAffiliated broker-dealer or bank to a state-registered adviserJul 27, 2018Aug 9, 2018
Patrick Todd MeadFirst Allied Advisory Services, Inc. BD affiliatedLPL Financial LLC independent RIAAffiliated broker-dealer or bank to independent RIAJul 2, 2018Jun 29, 2018
Matthew John WilliamsFirst Allied Advisory Services, Inc. BD affiliatedVanguard Advisers, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherJun 4, 2018Jun 8, 2018
Bruce C. BranstineFirst Allied Advisory Services, Inc. BD affiliatedEdward Jones national BDAffiliated broker-dealer or bank to anotherMay 29, 2018May 25, 2018
Christine B TangFirst Allied Advisory Services, Inc. BD affiliatedSb Advisory, LLC BD affiliatedAffiliated broker-dealer or bank to anotherMay 29, 2018May 25, 2018
Richard George ScaliaFirst Allied Advisory Services, Inc. BD affiliatedCommonwealth Financial Network national BDAffiliated broker-dealer or bank to anotherMay 18, 2018Oct 13, 2020 (879 d)
Eric MangoldFirst Allied Advisory Services, Inc. BD affiliatedSecurian Financial Services, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherMay 11, 2018May 17, 2018
Ronald John LeptienFirst Allied Advisory Services, Inc. BD affiliatedAmeriprise Financial Services, LLC national BDAffiliated broker-dealer or bank to anotherApr 23, 2018Apr 18, 2018
Kevin Jay HermeningFirst Allied Advisory Services, Inc. BD affiliatedAmeriprise Financial Services, LLC national BDAffiliated broker-dealer or bank to anotherApr 20, 2018Apr 18, 2018
George Samuel HoffmanFirst Allied Advisory Services, Inc. BD affiliatedHermening Financial Group LLC otherOtherApr 20, 2018Dec 8, 2009
Kevin Michael KeefeFirst Allied Advisory Services, Inc. BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherApr 3, 2018Apr 2, 2020 (730 d)
Oliver Greenleaf StahlFirst Allied Advisory Services, Inc. otherState Farm Investment Management Corp. asset managerOtherMar 21, 2018Feb 25, 2021 (1072 d)
Benjamin David FranklinFirst Allied Advisory Services, Inc. otherCreative Financial Designs, Inc. otherOtherFeb 28, 2018Feb 27, 2018
Timothy A FranklinFirst Allied Advisory Services, Inc. otherCreative Financial Designs, Inc. otherOtherFeb 27, 2018Feb 27, 2018
Jennifer M MitchellFirst Allied Advisory Services, Inc. otherCastle Rock Wealth Management, LLC otherOtherFeb 13, 2018Nov 17, 2016
James Blair LuippoldFirst Allied Advisory Services, Inc. otherCastle Rock Wealth Management, LLC otherOtherFeb 13, 2018May 11, 2016
Matthew Roger BassukFirst Allied Advisory Services, Inc. otherSorrento Pacific Financial, LLC independent RIAOtherFeb 2, 2018Apr 25, 2018 (82 d)
Ronald William HadaFirst Allied Advisory Services, Inc. otherForesight Wealth Management, LLC mixed wealthOtherJan 31, 2018Feb 9, 2018
Christopher Lee WarberFirst Allied Advisory Services, Inc. otherNavigen Wealth Management independent RIAOtherJan 8, 2018Jan 17, 2018
Jess Whalen Jensen-RyanFirst Allied Advisory Services, Inc. otherRaymond James Financial Services Advisors, Inc BD affiliatedOtherDec 31, 2017Jan 4, 2018
Matthew Eric GordilloFirst Allied Advisory Services, Inc. otherStratos Wealth Advisors LLC independent RIAOtherDec 19, 2017Sep 14, 2021 (1365 d)
Edward George MartellFirst Allied Advisory Services, Inc. otherCrown Capital Securities, L.P. otherOtherDec 12, 2017Dec 12, 2017
Taryn L KestersonFirst Allied Advisory Services, Inc. otherBb&T Securities, LLC otherOtherDec 4, 2017Dec 6, 2017
Donne L WallFirst Allied Advisory Services, Inc. otherSpc otherOtherNov 20, 2017Nov 17, 2017
John Brent KesnerFirst Allied Advisory Services, Inc. otherCl Wealth Management LLC otherOtherNov 13, 2017Nov 15, 2017
Melissa Renee NaylorFirst Allied Advisory Services, Inc. otherMorgan Stanley wirehouseOtherOct 30, 2017Sep 6, 2019 (676 d)
Peter C HafnerFirst Allied Advisory Services, Inc. otherNext Financial Group, Inc. otherOtherOct 17, 2017Oct 17, 2017
Ernest Lino JordanFirst Allied Advisory Services, Inc. otherStonex Advisors Inc. otherOtherOct 10, 2017Oct 6, 2017
Lisa My-Phuong KoyamaFirst Allied Advisory Services, Inc. otherWells Fargo Advisors wirehouseOtherOct 6, 2017Sep 26, 2017
Patricia Carol ThomFirst Allied Advisory Services, Inc. otherIndependent Financial Group, LLC BD affiliatedOtherSep 21, 2017Aug 26, 2021 (1435 d)
Peter Joseph GianniniFirst Allied Advisory Services, Inc. otherIndependent Financial Group, LLC otherOtherSep 21, 2017Sep 18, 2017
Stacey M Stanek-ByarsFirst Allied Advisory Services, Inc. otherThe Thom Group unclassifiedOtherSep 20, 2017Jul 9, 2013
Sarah Benton WalkerFirst Allied Advisory Services, Inc. otherAmeriprise Financial Services, LLC national BDOtherSep 1, 2017Sep 6, 2017
Mark Robert MerchantFirst Allied Advisory Services, Inc. otherNorthwestern Mutual Investment Services,LLC no RAUMOtherAug 18, 2017Sep 12, 2017
Afshin ZarkoubFirst Allied Advisory Services, Inc. otherAzm Financial state registeredOtherAug 15, 2017Aug 11, 2026 (3283 d)
Eduardo Saulo AlzonaFirst Allied Advisory Services, Inc. otherAviso Wealth Management otherOtherJul 31, 2017Oct 27, 2016
Lynn Raymond SiewertFirst Allied Advisory Services, Inc. otherAdvanced Corporate Planning, LLC unclassifiedOtherJul 5, 2017Aug 3, 2017
John Peter PfaffmannFirst Allied Advisory Services, Inc. otherPetra Financial Advisors Inc independent RIAOtherJul 5, 2017Apr 18, 2023 (2113 d)
David Tyler HeymannFirst Allied Advisory Services, Inc. otherHeritage Wealth Management, LLC independent RIAOtherJun 23, 2017Nov 16, 2021 (1607 d)
Kent Alan MaclachlanFirst Allied Advisory Services, Inc. otherAdviceperiod, LLC otherOtherJun 20, 2017Sep 27, 2017 (99 d)
Kathy S DyerFirst Allied Advisory Services, Inc. otherColumbus Macro, LLC asset managerOtherMay 31, 2017May 16, 2018 (350 d)
Keith Edward MillerFirst Allied Advisory Services, Inc. otherVestech Asset Management Inc. state registeredOtherMay 22, 2017Oct 3, 2017 (134 d)
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454 moves match.