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 Ic 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
William Bruce FloydIc Advisory Services, Inc. BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherDec 31, 2023Jan 3, 2024
William James ChristieIc Advisory Services, Inc. BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherDec 31, 2023Mar 7, 2025 (432 d)
Cheryl Weldy FainelliIc Advisory Services, Inc. BD affiliatedOsaic Wealth, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherDec 18, 2023Jan 8, 2024
James DessjukIc Advisory Services, Inc. BD affiliatedAegis Capital Corp. BD affiliatedAffiliated broker-dealer or bank to anotherDec 15, 2023Dec 15, 2023
Daniel Anthony DelrossoIc Advisory Services, Inc. BD affiliatedAegis Capital Corp. BD affiliatedAffiliated broker-dealer or bank to anotherDec 15, 2023Dec 15, 2023
David Jay GrossbardIc Advisory Services, Inc. BD affiliatedAvantax Advisory Services BD affiliatedAffiliated broker-dealer or bank to anotherDec 4, 2023Dec 6, 2023
Thomas Dennis GoinsIc Advisory Services, Inc. BD affiliatedCambridge Investment Research Advisors, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherDec 1, 2023Dec 1, 2023
Robert William ClaytonIc Advisory Services, Inc. BD affiliatedMML Investors Services, LLC BD affiliatedAffiliated broker-dealer or bank to anotherJun 13, 2023Jun 5, 2023
Cari DriscollIc Advisory Services, Inc. BD affiliatedWells Fargo Advisors wirehouseAffiliated broker-dealer or bank to wirehouseSep 2, 2022Jan 27, 2023 (147 d)
Steven BrombergerIc Advisory Services, Inc. BD affiliatedEmpower Advisory Group, LLC BD affiliatedAffiliated broker-dealer or bank to anotherJul 22, 2022Aug 30, 2022 (39 d)
Christopher Casey FloydIc Advisory Services, Inc. BD affiliatedEdward Jones national BDAffiliated broker-dealer or bank to anotherApr 29, 2022May 2, 2022
Jessica Lara MerinoIc Advisory Services, Inc. BD affiliatedMerino Wealth Management state registeredAffiliated broker-dealer or bank to a state-registered adviserFeb 11, 2022Feb 14, 2022
Jeffrey Thomas GueIc Advisory Services, Inc. BD affiliatedEsi Financial Advisors BD affiliatedAffiliated broker-dealer or bank to anotherAug 30, 2021Sep 1, 2021
Gina Marie PortellesIc Advisory Services, Inc. BD affiliatedAlexander Capital Wealth Management LLC independent RIAAffiliated broker-dealer or bank to independent RIAJun 9, 2021Jan 1, 2025 (1302 d)
James Robert BarcombIc Advisory Services, Inc. BD affiliatedCantella & Co., Inc. BD affiliatedAffiliated broker-dealer or bank to anotherMar 11, 2021Apr 8, 2021
Adam J HandlerIc Advisory Services, Inc. BD affiliatedSpc BD affiliatedAffiliated broker-dealer or bank to anotherMar 11, 2021Mar 25, 2021
Donald N DaigleIc Advisory Services, Inc. BD affiliatedCharles Schwab & Co., Inc. national BDAffiliated broker-dealer or bank to anotherFeb 1, 2021Feb 2, 2021
Barry MichitschIc Advisory Services, Inc. BD affiliatedSecurities America Advisors, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherDec 31, 2020Jan 4, 2021
Timothy Ray SmithIc Advisory Services, Inc. BD affiliatedUSA Financial Securities LLC independent RIAAffiliated broker-dealer or bank to independent RIANov 11, 2020Nov 11, 2020
Mary Ann ErnetteIc Advisory Services, Inc. BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherJun 29, 2020Jul 27, 2020
Joseph R BrancaleoneIc Advisory Services, Inc. BD affiliatedPark Avenue Securities LLC BD affiliatedAffiliated broker-dealer or bank to anotherMay 15, 2020May 15, 2020
Rebecca FalcoIc Advisory Services, Inc. BD affiliatedMorgan Stanley wirehouseAffiliated broker-dealer or bank to wirehouseApr 30, 2020Jul 17, 2026 (2269 d)
William Martin GilmoreIc Advisory Services, Inc. BD affiliatedCambridge Investment Research Advisors, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherFeb 13, 2020Feb 13, 2020
Ryan P BouchardIc Advisory Services, Inc. BD affiliatedCambridge Investment Research Advisors, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherFeb 13, 2020Feb 13, 2020
Michael Ciro CollettiIc Advisory Services, Inc. BD affiliatedSovereign Global Advisors, LLC state registeredAffiliated broker-dealer or bank to a state-registered adviserJan 31, 2020Mar 3, 2020 (32 d)
Paul Victor CloughIc Advisory Services, Inc. BD affiliatedCetera Investment Advisers LLC BD affiliatedAffiliated broker-dealer or bank to anotherDec 31, 2019Jan 29, 2020
Joseph E StephensIc Advisory Services, Inc. BD affiliatedAllstate Financial Advisors, LLC BD affiliatedAffiliated broker-dealer or bank to anotherDec 31, 2019Mar 1, 2021 (426 d)
Thomas John ZignegoIc Advisory Services, Inc. BD affiliatedOsaic Wealth, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherDec 31, 2019Jan 2, 2020
Keith Lamor LatimerIc Advisory Services, Inc. BD affiliatedAmeriprise Financial Services, LLC national BDAffiliated broker-dealer or bank to anotherDec 5, 2019Dec 5, 2019
Aaron Matthew BuckIc Advisory Services, Inc. BD affiliatedBrogan Financial independent RIAAffiliated broker-dealer or bank to independent RIANov 14, 2018Dec 11, 2018
Louis TranquilliIc Advisory Services, Inc. BD affiliatedTranquilli Financial Advisor, LLC no RAUMAffiliated broker-dealer or bank to a newly registered adviserOct 5, 2018Oct 5, 2018
Donna Lynn MulvihillIc Advisory Services, Inc. BD affiliatedTd Ameritrade, Inc. no RAUMOtherJul 9, 2018Aug 20, 2018 (42 d)
James Gerard WilliamsIc Advisory Services, Inc. BD affiliatedPlanmember Securities Corporation independent RIAAffiliated broker-dealer or bank to independent RIAJun 11, 2018Jun 12, 2018
Michael C DepertoIc Advisory Services, Inc. BD affiliatedKovack Advisors, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherMay 30, 2018Jun 1, 2018
Daniel Joseph SullivanIc Advisory Services, Inc. BD affiliatedSullivan Retirement Resources, LLC state registeredAffiliated broker-dealer or bank to a state-registered adviserMay 10, 2018Jul 17, 2018 (68 d)
James Richard ReimIc Advisory Services, Inc. BD affiliatedRegal Investment Advisors LLC BD affiliatedAffiliated broker-dealer or bank to anotherApr 17, 2018Apr 18, 2018
Jeffrey Lloyd GibbensIc Advisory Services, Inc. BD affiliatedRegal Investment Advisors LLC BD affiliatedAffiliated broker-dealer or bank to anotherApr 17, 2018Apr 18, 2018
Micheal Fred MillerIc Advisory Services, Inc. otherValic Financial Advisors, Inc. otherOtherMar 23, 2018Mar 26, 2018
Nathan R DerksIc Advisory Services, Inc. otherLandolt Securities, Inc. independent RIAOtherSep 6, 2017Sep 7, 2017
George KhalsaIc Advisory Services, Inc. otherAmeriprise Financial Services, LLC national BDOtherJul 24, 2017Jul 21, 2017
Thomas Ohearn EiflerIc Advisory Services, Inc. otherJ.J.B. Hilliard, W.L. Lyons, LLC otherOtherMar 7, 2017Feb 28, 2017
Royce Leonard WinstenIc Advisory Services, Inc. otherStrategic Advisers LLC national BDOtherFeb 17, 2017Aug 26, 2025 (3112 d)
Valerie M. DownsIc Advisory Services, Inc. otherMagnate Advisory Services, LLC independent RIAOtherFeb 13, 2017May 18, 2017 (94 d)
Thomas Bastiano ScarpaciIc Advisory Services, Inc. otherCreativeone Securities, LLC BD affiliatedOtherDec 31, 2016Jan 13, 2022 (1839 d)
Thomas Ohearn EiflerIc Advisory Services, Inc. otherValiant Wealth Management unclassifiedOtherDec 31, 2016Oct 23, 2017 (296 d)
Justin Derrick JonesIc Advisory Services, Inc. otherAe Wealth Management, LLC otherOtherOct 27, 2016Feb 27, 2017 (123 d)
Philip Arthur GleasonIc Advisory Services, Inc. otherHayden Royal otherOtherSep 1, 2016Sep 1, 2016
John Mccreary SusinIc Advisory Services, Inc. otherHayden Royal otherOtherAug 9, 2016Aug 10, 2016
Gabriella Clapp MilleyIc Advisory Services, Inc. otherNpa Asset Management, LLC otherOtherApr 5, 2016Apr 5, 2016
Anthony Allen MogleIc Advisory Services, Inc. otherNext Financial Group, Inc. otherOtherDec 31, 2015Jan 5, 2016
Gregg Gerard ReutterIc Advisory Services, Inc. otherOsaic Wealth, Inc. BD affiliatedOtherNov 4, 2015Apr 26, 2021 (2000 d)
Robert James BurdumyIc Advisory Services, Inc. otherOsaic Fa, Inc. otherOtherOct 5, 2015Oct 2, 2015
Thomas Ketchin McdonaldIc Advisory Services, Inc. otherUnited Capital Financial Advisors BD affiliatedOtherJul 22, 2015Mar 17, 2021 (2065 d)
James CharbonneauIc Advisory Services, Inc. otherUnited Capital Financial Advisors otherOtherJul 21, 2015Jul 23, 2015
Arthur Millwee KlughIc Advisory Services, Inc. otherUnited Capital Financial Advisors otherOtherJul 21, 2015Jul 17, 2015
Thomas Brandon CoxIc Advisory Services, Inc. otherUnited Capital Financial Advisors otherOtherJul 21, 2015Jul 17, 2015
William Taber BrownIc Advisory Services, Inc. otherUnited Capital Financial Advisors otherOtherJul 21, 2015Jul 17, 2015
Randall Patrick FaulkIc Advisory Services, Inc. otherMorgan Stanley wirehouseOtherJun 10, 2015Jul 19, 2016 (405 d)
Timothy Brian KenyonIc Advisory Services, Inc. otherGwn Securities Inc. otherOtherDec 12, 2014Nov 14, 2014
Peter Steven FrancoIc Advisory Services, Inc. otherGwn Securities Inc. otherOtherDec 10, 2014Nov 17, 2014
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182 moves match.