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
Andrew Raymond Scheirer	First Allied Advisory Services, Inc. other	Kovack Advisors, Inc. other	Other	Dec 23, 2014	Dec 19, 2014
Matthew Jason Starnes	First Allied Advisory Services, Inc. other	Sagepoint Financial, Inc. other	Other	Dec 23, 2014	Jan 2, 2015
David Chenet	First Allied Advisory Services, Inc. other	Paradigm Wealth Advisory LLC no RAUM	Other	Dec 23, 2014	May 11, 2016 (505 d)
Richard Gerard Schweihofer	First Allied Advisory Services, Inc. other	Sagepoint Financial, Inc. other	Other	Dec 12, 2014	Dec 18, 2014
Peter Mathew Crane	First Allied Advisory Services, Inc. other	Crane Investments Inc no RAUM	Other	Dec 10, 2014	Nov 12, 2014
Barbara Irene Crane	First Allied Advisory Services, Inc. other	Crane Investments Inc no RAUM	Other	Dec 10, 2014	Nov 11, 2014
James Edward Harris	First Allied Advisory Services, Inc. other	Ameriprise Financial Services, LLC national BD	Other	Nov 12, 2014	Jan 19, 2016 (433 d)
Christopher Brian Pelley	First Allied Advisory Services, Inc. other	RBC Capital Markets, LLC national BD	Other	Nov 7, 2014	Oct 27, 2014
David Robert Newbill	First Allied Advisory Services, Inc. other	Cambridge Investment Research Advisors, Inc. other	Other	Nov 7, 2014	Sep 17, 2014
Matthew Thomas Workman	First Allied Advisory Services, Inc. other	RBC Capital Markets, LLC national BD	Other	Nov 7, 2014	Oct 27, 2014
Benjamin M. Mobley	First Allied Advisory Services, Inc. other	Pnc Wealth Management other	Other	Oct 29, 2014	Oct 2, 2014
Sterling Vaughn Louviere	First Allied Advisory Services, Inc. other	Nfsg Corporation other	Other	Sep 19, 2014	Aug 12, 2014
James Robert Peters	First Allied Advisory Services, Inc. other	Peters Wealth Management, LLC no RAUM	Other	Sep 19, 2014	Sep 22, 2014
Joseph Ellis	First Allied Advisory Services, Inc. other	Securities America Advisors, Inc. other	Other	Sep 17, 2014	Feb 12, 2015 (148 d)
Jude Harvey Wilson	First Allied Advisory Services, Inc. other	J. W. Cole Advisors, Inc. other	Other	Aug 29, 2014	Aug 20, 2014
Jason Shamus Mcmillen	First Allied Advisory Services, Inc. other	Portland Private Wealth Management, Inc. independent RIA	Other	Aug 29, 2014	Aug 26, 2014
Todd Patrick Pizzuti	First Allied Advisory Services, Inc. other	Portland Private Wealth Management, Inc. independent RIA	Other	Aug 29, 2014	Aug 28, 2014
Dawn Moore Trammell	First Allied Advisory Services, Inc. other	Ameriprise Financial Services, LLC national BD	Other	Aug 20, 2014	Aug 1, 2014
Jacob Isaac Becker	First Allied Advisory Services, Inc. other	Portland Private Wealth Management, Inc. independent RIA	Other	Aug 20, 2014	Aug 12, 2014
Ryan Cole Miracle	First Allied Advisory Services, Inc. other	Securities America Advisors, Inc. other	Other	Aug 5, 2014	Jul 30, 2014
Scott Hottel Chapin	First Allied Advisory Services, Inc. other	Woodbury Financial Services, Inc. other	Other	Aug 5, 2014	Aug 1, 2014
Mark William Chamberlain	First Allied Advisory Services, Inc. other	Captrust institutional	Other	Jul 24, 2014	May 6, 2020 (2113 d)
Troy Lane Stine	First Allied Advisory Services, Inc. other	J. W. Cole Advisors, Inc. other	Other	Jul 24, 2014	Jun 11, 2014
Karen A Sloan	First Allied Advisory Services, Inc. other	Stifel, Nicolaus & Company, Incorporated national BD	Other	Jul 24, 2014	Jul 22, 2014
John Milton Montgomery	First Allied Advisory Services, Inc. other	Financial Freedom Advisors, LLC state registered	Other	Jul 15, 2014	Jul 8, 2014
Matthew Anthony Martinez	First Allied Advisory Services, Inc. other	Packerland Brokerage Services, Inc. other	Other	Jul 9, 2014	Jun 24, 2014
Don Wesley Salter	First Allied Advisory Services, Inc. other	J. W. Cole Advisors, Inc. other	Other	Jul 9, 2014	Jul 2, 2014
Christopher Michael Weber	First Allied Advisory Services, Inc. other	Independent Financial Group, LLC other	Other	Jun 19, 2014	Jun 16, 2014
Maria Keith	First Allied Advisory Services, Inc. other	Equitable Advisors, LLC national BD	Other	Jun 11, 2014	Jun 24, 2014
Robert John Holton	First Allied Advisory Services, Inc. other	Cleary Gull Inc. other	Other	Jun 9, 2014	Jun 6, 2014
Susan Marie Iverson	First Allied Advisory Services, Inc. other	Woman & Wealth - Dallas unclassified	Other	May 27, 2014	Jul 15, 2014 (49 d)
Chad Aaron Williams	First Allied Advisory Services, Inc. other	Aveo Capital Partners, LLC other	Other	May 27, 2014	May 14, 2014
Jason Wayne Sandry	First Allied Advisory Services, Inc. other	Iwp Wealth - Private Client Advisors other	Other	May 27, 2014	Jan 14, 2017 (963 d)
Justin Wesley Bates	First Allied Advisory Services, Inc. other	Swan Global Investments, LLC other	Other	May 27, 2014	Jul 25, 2014 (59 d)
Nathan Caleb Lewis	First Allied Advisory Services, Inc. other	Research Financial Strategies other	Other	May 21, 2014	May 7, 2014
Paul Edward Lewis	First Allied Advisory Services, Inc. other	Research Financial Strategies other	Other	May 20, 2014	May 6, 2014
Toby Scott Harris	First Allied Advisory Services, Inc. other	Commonwealth Financial Network national BD	Other	Apr 24, 2014	Mar 18, 2014
Michael Lewis Williams	First Allied Advisory Services, Inc. other	Commonwealth Financial Network national BD	Other	Mar 27, 2014	Mar 17, 2014
Shelley Danae Teskey	First Allied Advisory Services, Inc. other	Commonwealth Financial Network national BD	Other	Mar 27, 2014	Mar 17, 2014
Spencer Michael Williams	First Allied Advisory Services, Inc. other	Commonwealth Financial Network national BD	Other	Mar 27, 2014	Mar 17, 2014
Kevin E Rust	First Allied Advisory Services, Inc. other	Sii Investments, Inc. other	Other	Mar 20, 2014	Mar 5, 2014
Timothy David Rice	First Allied Advisory Services, Inc. other	Captrust institutional	Other	Mar 18, 2014	May 6, 2020 (2241 d)
John Christopher Neyland	First Allied Advisory Services, Inc. other	Advisory Services Network other	Other	Mar 13, 2014	Mar 11, 2014
Ronald Charles Hunter	First Allied Advisory Services, Inc. other	Independent Financial Group, LLC other	Other	Feb 28, 2014	Feb 25, 2014
Dwight Allen Heikkila	First Allied Advisory Services, Inc. other	Oneamerica Securities, Inc. other	Other	Feb 13, 2014	Feb 12, 2014
David Robert Holtz	First Allied Advisory Services, Inc. other	Fsc Securities Corporation other	Other	Feb 12, 2014	Feb 4, 2014
Anatoly Khait	First Allied Advisory Services, Inc. other	World Advisory Services other	Other	Feb 11, 2014	Feb 12, 2014
Charles Otto Gillespie	First Allied Advisory Services, Inc. other	LPL Financial LLC independent RIA	Other	Jan 24, 2014	May 9, 2018 (1566 d)
Michelle Denise Cooley	First Allied Advisory Services, Inc. other	Cuna Brokerage Services, Inc. other	Other	Jan 15, 2014	May 27, 2014 (132 d)
Mark Allen Jagow	First Allied Advisory Services, Inc. other	Bancwest Investment Services, Inc. (Bwis) other	Other	Jan 15, 2014	Jan 16, 2014
Justin Peter Mclaughlin	First Allied Advisory Services, Inc. other	Questar Asset Management, Inc. other	Other	Jan 15, 2014	Jan 20, 2015 (370 d)
Robert Nicholas Casolaro	First Allied Advisory Services, Inc. other	Advice And Planning Services BD affiliated	Other	Dec 31, 2013	May 25, 2021 (2702 d)
Patrick Andrew Teel Mcmahon	First Allied Advisory Services, Inc. other	Private Advisor Group, LLC independent RIA	Other	Dec 23, 2013	May 4, 2018 (1593 d)
Douglas Michael Washburn	First Allied Advisory Services, Inc. other	Private Advisor Group, LLC other	Other	Dec 20, 2013	Jan 17, 2014
Francine L Olk	First Allied Advisory Services, Inc. other	Private Advisor Group, LLC BD affiliated	Other	Dec 20, 2013	Jun 3, 2021 (2722 d)
Walter Francisco Pardo	First Allied Advisory Services, Inc. other	Independent Financial Group, LLC other	Other	Dec 13, 2013	Dec 19, 2013
Todd Michael Cour	First Allied Advisory Services, Inc. other	Regal Investment Advisors LLC other	Other	Dec 11, 2013	Nov 27, 2013
Derrick Handwerk	First Allied Advisory Services, Inc. other	Cetera Investment Advisers LLC BD affiliated	Other	Dec 5, 2013	Mar 21, 2024 (3759 d)
Francis Xavier Pisano	First Allied Advisory Services, Inc. other	National Planning Corporation ("Npc Of America" In Fl & Ny) other	Other	Dec 3, 2013	Nov 25, 2013
Joseph John Cahill	First Allied Advisory Services, Inc. other	Commonwealth Financial Network national BD	Other	Nov 21, 2013	Nov 25, 2013

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454 moves match.