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 Founders Financial Securities, 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
Heather M AeschlimanFounders Financial Securities, LLC independent RIACreative Planning independent RIARIA to RIAAug 28, 2026Sep 16, 2026
David S. LongFounders Financial Securities, LLC independent RIALPL Financial LLC BD affiliatedRIA to affiliated broker-dealer or bankApr 14, 2026Apr 10, 2026
Raffaele Nicholas MazzoneFounders Financial Securities, LLC independent RIALegacy Financial Advisors state registeredRIA to a state-registered adviserMay 23, 2025Jun 10, 2025
Jeffrey Glenn GradFounders Financial Securities, LLC independent RIAGrad Wealth Management Pllc state registeredRIA to a state-registered adviserDec 3, 2024Dec 2, 2024
Ty Eric BoggsFounders Financial Securities, LLC independent RIAResolute Retirement Consulting state registeredRIA to a state-registered adviserOct 4, 2024Sep 27, 2024
Carol Marie MiskovichFounders Financial Securities, LLC independent RIALPL Financial LLC BD affiliatedRIA to affiliated broker-dealer or bankSep 23, 2024Sep 23, 2024
Jason Conrad HuntleyFounders Financial Securities, LLC independent RIALPL Financial LLC BD affiliatedRIA to affiliated broker-dealer or bankJul 31, 2024Aug 1, 2024
Laura Carrera WarnockFounders Financial Securities, LLC independent RIALone Peak Advisers independent RIARIA to RIAMay 2, 2024May 3, 2024
Daniel Joshua SwainFounders Financial Securities, LLC independent RIARaymond James Financial Services Advisors, Inc BD affiliatedRIA to affiliated broker-dealer or bankAug 2, 2023Aug 21, 2023
Bradley Carl JeromeFounders Financial Securities, LLC independent RIAOsaic Wealth, Inc. BD affiliatedRIA to affiliated broker-dealer or bankAug 19, 2022Aug 19, 2022
Glenn Robert MatecunFounders Financial Securities, LLC independent RIAExodus Wealth, LLC independent RIARIA to RIAAug 19, 2022Aug 22, 2022
Shane HeddyFounders Financial Securities, LLC independent RIAOsaic Wealth, Inc. BD affiliatedRIA to affiliated broker-dealer or bankAug 19, 2022Aug 19, 2022
Roger Joel CondeFounders Financial Securities, LLC independent RIACambridge Investment Research Advisors, Inc. BD affiliatedRIA to affiliated broker-dealer or bankMar 30, 2022Mar 30, 2022
Kelley Anne LebicaFounders Financial Securities, LLC independent RIACambridge Investment Research Advisors, Inc. BD affiliatedRIA to affiliated broker-dealer or bankMar 30, 2022Mar 30, 2022
Gale Ann BrodieFounders Financial Securities, LLC independent RIAVanderbilt Advisory Services BD affiliatedRIA to affiliated broker-dealer or bankJul 28, 2021Jul 26, 2021
Lee Allan AbramovitzFounders Financial Securities, LLC independent RIAExodus Wealth, LLC independent RIARIA to RIAJun 28, 2021Apr 1, 2021
Sean Michael TomajanFounders Financial Securities, LLC independent RIALPL Financial LLC BD affiliatedRIA to affiliated broker-dealer or bankJun 10, 2021May 28, 2021
Kenneth Micheal BieriFounders Financial Securities, LLC independent RIASecurian Financial Services, Inc. BD affiliatedRIA to affiliated broker-dealer or bankJul 31, 2020Aug 5, 2020
Matthew Patrick PascarellaFounders Financial Securities, LLC independent RIAMutual Advisors, LLC BD affiliatedRIA to affiliated broker-dealer or bankApr 27, 2020Apr 28, 2020
Benjamin Casmer MckinneyFounders Financial Securities, LLC independent RIASecurian Financial Services, Inc. BD affiliatedRIA to affiliated broker-dealer or bankSep 18, 2019Sep 27, 2019
Ray William WelchFounders Financial Securities, LLC independent RIAMatch Grade Advisors otherOtherDec 17, 2018Dec 14, 2018
Westley E TibbsFounders Financial Securities, LLC independent RIATd Ameritrade, Inc. no RAUMOtherSep 28, 2018Mar 6, 2019 (159 d)
Sarah Margaret WestbrookFounders Financial Securities, LLC otherHayden Royal independent RIAOtherDec 31, 2017May 24, 2019 (509 d)
Matthew Thomas BuchheitFounders Financial Securities, LLC otherMML Investors Services, LLC otherOtherAug 17, 2017Sep 19, 2017 (33 d)
Jonathan Mitchel LipchinFounders Financial Securities, LLC otherCetera Advisors LLC otherOtherAug 11, 2017Aug 3, 2017
Raymond Brian MasseyFounders Financial Securities, LLC otherAdvantage Investment Management, LLC otherOtherApr 21, 2017Apr 19, 2017
Steven Michael RoyFounders Financial Securities, LLC otherSimplyria Advisor Network otherOtherAug 22, 2016Aug 22, 2016
James Charles MetzbowerFounders Financial Securities, LLC otherOsaic Fa, Inc. otherOtherApr 25, 2016Apr 18, 2016
Forrest Webster BouyerFounders Financial Securities, LLC otherSecurian Financial Services, Inc. otherOtherJan 4, 2016Feb 17, 2016 (44 d)
Andrew David KesslerFounders Financial Securities, LLC otherAw Securities no RAUMOtherOct 6, 2015Nov 23, 2015 (48 d)
William Robert JonesFounders Financial Securities, LLC otherSpc otherOtherSep 1, 2015Sep 2, 2015
James Paul NunezFounders Financial Securities, LLC otherRedhawk Wealth Advisors, Inc. otherOtherSep 2, 2014Sep 3, 2014
Kurt William WiegertFounders Financial Securities, LLC otherNfp Advisor Services, LLC otherOtherMar 4, 2014Mar 4, 2014
Charles Robert WolpoffFounders Financial Securities, LLC otherCambridge Investment Research Advisors, Inc. otherOtherJan 15, 2013Jan 7, 2013
Robert Burton LankFounders Financial Securities, LLC otherOsaic Fa, Inc. otherOtherOct 8, 2012Nov 6, 2012
Elaine Marie PotashFounders Financial Securities, LLC otherPrivate Advisor Group, LLC otherOtherJul 23, 2012Jul 23, 2012
Cynthia Klein GoldbergFounders Financial Securities, LLC otherPrivate Advisor Group, LLC otherOtherMay 18, 2012May 18, 2012
Kalen Dobbins BaxterFounders Financial Securities, LLC otherPrivate Advisor Group, LLC otherOtherMay 18, 2012May 18, 2012
Elaine Mueller ShanleyFounders Financial Securities, LLC otherPrivate Advisor Group, LLC otherOtherMay 3, 2012May 4, 2012
Kathleen Lynn AkstenFounders Financial Securities, LLC otherExecutive Wealth Management, LLC otherOtherApr 20, 2012Apr 24, 2012
Michael Anthony D'AndreaFounders Financial Securities, LLC otherResearch Financial Strategies otherOtherDec 6, 2011Dec 12, 2011
William CarambelasFounders Financial Securities, LLC otherAlpha Omega Financial, Inc. independent RIAOtherJun 13, 2011May 31, 2011
Erik Lloyd SwensonFounders Financial Securities, LLC otherWells Fargo Advisors wirehouseOtherDec 31, 2010Apr 20, 2011 (110 d)
Francisco Chuck MartinezFounders Financial Securities, LLC otherCreativeone Securities, LLC otherOtherDec 31, 2010Apr 13, 2011 (103 d)
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44 moves match.