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 Obs Financial

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
Linda Lorraine RobertsObs Financial mixed wealthTrb Wealth Management, LLC no RAUMRIA to a newly registered adviserMar 31, 2021Jul 27, 2020
Ricardo Garcia FuentesObs Financial mixed wealthTrb Wealth Management, LLC no RAUMRIA to a newly registered adviserMar 31, 2021Jul 23, 2020
Kevin WhitworthObs Financial mixed wealthTrb Wealth Management, LLC no RAUMRIA to a newly registered adviserMar 31, 2021Jul 23, 2020
John Lee TippitObs Financial mixed wealthTrb Wealth Management, LLC no RAUMRIA to a newly registered adviserMar 31, 2021Jul 23, 2020
Robert Raimond FarrisObs Financial mixed wealthTrb Wealth Management, LLC no RAUMRIA to a newly registered adviserMar 31, 2021Jul 23, 2020
John HenryObs Financial mixed wealthAssetmark, Inc. BD affiliatedRIA to affiliated broker-dealer or bankMar 18, 2020Mar 2, 2026 (2175 d)
Catherine Elizabeth FarleyObs Financial mixed wealthOxford Financial Group, Ltd independent RIARIA to RIAMar 18, 2020Nov 12, 2020 (239 d)
Scott Daniel McquillenObs Financial mixed wealthAmeritas Advisory Services BD affiliatedRIA to affiliated broker-dealer or bankJul 9, 2019Aug 5, 2019
Margaret Mary WhelehanObs Financial otherCetera Investment Advisers LLC BD affiliatedOtherSep 6, 2017Mar 31, 2021 (1302 d)
Daniel J AspenleiterObs Financial otherAmerican Portfolios Advisors, Inc independent RIAOtherApr 18, 2014Jul 31, 2020 (2296 d)
Darrin Clifford CritchetObs Financial otherMpm Wealth Advisors otherOtherJan 27, 2014Feb 10, 2014
Boris Michael NatyshakObs Financial otherPentegra Investors, Inc. otherOtherJan 21, 2014Jun 22, 2015 (517 d)
Joseph Patrick ColosimoObs Financial otherNorthwest Advisors, Inc. otherOtherMar 1, 2012Oct 31, 2011
Drew Adam EcklundObs Financial otherNorthwest Advisors, Inc. otherOtherNov 1, 2011Oct 31, 2011
Toni Lynne PaupObs Financial otherNorthwest Advisors, Inc. otherOtherNov 1, 2011Oct 31, 2011
Charlotte Bowman SargeantObs Financial otherHeritage Financial Advisors, LLC otherOtherOct 19, 2010Sep 15, 2010
Sasha Marie WrightObs Financial otherHeritage Financial Advisors, LLC otherOtherOct 19, 2010Sep 15, 2010
Layton Leon JohnObs Financial otherLji Wealth Management, LLC otherOtherJan 26, 2009Nov 4, 2008
Bradley Heath OwensObs Financial otherLji Wealth Management, LLC otherOtherJan 26, 2009Nov 4, 2008
James Thomas ButoObs Financial otherCommonwealth Financial Network national BDOtherJan 12, 2009Jul 21, 2010 (555 d)
Kenneth Lowell CookObs Financial otherNext Financial Group, Inc. otherOtherAug 20, 2008Mar 31, 2008
Kathleen Ann TollisonObs Financial otherFirst Insurance And Investments Inc. unclassifiedOtherAug 15, 2008Dec 7, 2006
Thomas Kessel RogersObs Financial otherStructured Wealth Management, Inc. independent RIAOtherApr 22, 2008Mar 28, 2008
Matthew Garry RinglerObs Financial otherBmo Harris Financial Advisors, Inc otherOtherJun 7, 2007Jun 18, 2007
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24 moves match.