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 Maxim Financial Advisors 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.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Jonathan Greene | Maxim Financial Advisors LLC independent RIA | A.G.P / Alliance Global Partners independent RIA | RIA to RIA | Feb 28, 2025 | Jan 29, 2025 |
| Hal William Brown | Maxim Financial Advisors LLC independent RIA | A.G.P / Alliance Global Partners independent RIA | RIA to RIA | Feb 21, 2025 | Jan 24, 2025 |
| Nicholas John Hall | Maxim Financial Advisors LLC independent RIA | Oppenheimer & Co. Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Dec 14, 2023 | Nov 16, 2023 |
| Jeffrey Robert Lallemand | Maxim Financial Advisors LLC independent RIA | Oppenheimer & Co. Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Sep 6, 2023 | Aug 8, 2023 |
| Leonard Peter Leo | Maxim Financial Advisors LLC BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Nov 7, 2022 | Dec 22, 2022 (45 d) |
| Luciano Santino Marciano | Maxim Financial Advisors LLC BD affiliated | The Pinnacle Financial Group independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 16, 2021 | Aug 30, 2021 (45 d) |
| Sean Michael Murphy | Maxim Financial Advisors LLC BD affiliated | Axcess Global Investments LLC unclassified | Other | Dec 14, 2020 | Jun 24, 2021 (192 d) |
| Justin M Zelen | Maxim Financial Advisors LLC BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 1, 2020 | Jul 29, 2021 (301 d) |
| Russell Marc Fiske | Maxim Financial Advisors LLC BD affiliated | B. Riley Wealth Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 2, 2020 | Jun 2, 2020 |
| Simona Taurosevicius | Maxim Financial Advisors LLC BD affiliated | Gwn Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 8, 2019 | Jul 9, 2019 |
| Nicholas E. Gonzalez | Maxim Financial Advisors LLC independent RIA | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | RIA to wirehouse | Mar 21, 2019 | Feb 12, 2020 (328 d) |
| Rodney Bahy Ibrahim | Maxim Financial Advisors LLC other | Aegis Capital Corp. other | Other | Sep 17, 2015 | Jul 7, 2015 |
| Eric Scott Strominger | Maxim Financial Advisors LLC other | Oppenheimer & Co. Inc. other | Other | Apr 1, 2014 | Mar 4, 2014 |
| Anthony Gerald Polak | Maxim Financial Advisors LLC other | Aegis Capital Corp. BD affiliated | Other | Nov 12, 2012 | Aug 6, 2026 (5015 d) |
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14 moves match.