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 Kovack Advisors, 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
Jose Ivan Acosta JordanKovack Advisors, Inc. BD affiliatedIpi Wealth Management, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherJul 20, 2023Aug 17, 2023
Jeffrey Verdura GuyKovack Advisors, Inc. BD affiliatedVerdura Wealth Management, LLC state registeredAffiliated broker-dealer or bank to a state-registered adviserJun 21, 2023Jun 15, 2023
Ramon Alberto Rivera-RamosKovack Advisors, Inc. BD affiliated4/26 Retirement Income Planning & Wealth Management, LLC state registeredAffiliated broker-dealer or bank to a state-registered adviserJun 20, 2023Jun 16, 2021
Jack Joseph MangiaficoKovack Advisors, Inc. BD affiliatedRaymond James Financial Services Advisors, Inc BD affiliatedAffiliated broker-dealer or bank to anotherJun 20, 2023Feb 11, 2025 (602 d)
Richard Wayne SlavikKovack Advisors, Inc. BD affiliatedNfsg Corporation BD affiliatedAffiliated broker-dealer or bank to anotherJun 14, 2023Nov 28, 2023 (167 d)
Michael Clarence FerrinKovack Advisors, Inc. BD affiliatedCompass Financial Management LLC independent RIAAffiliated broker-dealer or bank to independent RIAJun 7, 2023Jun 7, 2023
Dalas Lee GundersenKovack Advisors, Inc. BD affiliatedLPL Financial LLC independent RIAAffiliated broker-dealer or bank to independent RIAFeb 10, 2023Feb 10, 2023
Raymundo Gutierrez ValenciaKovack Advisors, Inc. BD affiliatedPruco Securities, LLC BD affiliatedAffiliated broker-dealer or bank to anotherDec 16, 2022Dec 15, 2022
Jeffrey Guy LabelleKovack Advisors, Inc. BD affiliatedInternational Assets Investment Management, LLC BD affiliatedAffiliated broker-dealer or bank to anotherSep 30, 2022Oct 31, 2022 (31 d)
Steven Randal WrightKovack Advisors, Inc. BD affiliatedIndependent Financial Partners BD affiliatedAffiliated broker-dealer or bank to anotherSep 9, 2022Sep 22, 2022
Steven Randal WrightKovack Advisors, Inc. BD affiliatedIndependent Financial Partners BD affiliatedAffiliated broker-dealer or bank to anotherSep 9, 2022Sep 22, 2022
Sylvia RhekerKovack Advisors, Inc. BD affiliatedKey Investment Services LLC BD affiliatedAffiliated broker-dealer or bank to anotherSep 2, 2022Jan 23, 2023 (143 d)
Alan Paul NeeseKovack Advisors, Inc. BD affiliatedRetirement Income Strategies Inc. state registeredAffiliated broker-dealer or bank to a state-registered adviserAug 31, 2022Aug 31, 2022
Michael K De LuzKovack Advisors, Inc. BD affiliatedWilliams & Novak Wealth Management, LLC no RAUMAffiliated broker-dealer or bank to a newly registered adviserAug 15, 2022Aug 8, 2023 (358 d)
Valeria Carolina OrtegaKovack Advisors, Inc. BD affiliatedLwm Advisory Services, LLC independent RIAAffiliated broker-dealer or bank to independent RIAJul 29, 2022Aug 4, 2022
Kyle M HernandezKovack Advisors, Inc. BD affiliatedAmeriprise Financial Services, LLC national BDAffiliated broker-dealer or bank to anotherJul 19, 2022Jul 28, 2022
Edward A Ostrowski IIIKovack Advisors, Inc. BD affiliatedFidelity Personal And Workplace Advisors BD affiliatedAffiliated broker-dealer or bank to anotherMay 23, 2022Sep 14, 2022 (114 d)
Michael David WoodmanKovack Advisors, Inc. BD affiliatedLPL Financial LLC independent RIAAffiliated broker-dealer or bank to independent RIAMay 5, 2022May 10, 2022
Darren Blaine DownsKovack Advisors, Inc. BD affiliatedCetera Investment Advisers LLC BD affiliatedAffiliated broker-dealer or bank to anotherMay 3, 2022Jun 29, 2023 (422 d)
Raymond Leslie HammockKovack Advisors, Inc. BD affiliatedIntegrity Alliance, LLC independent RIAAffiliated broker-dealer or bank to independent RIAMar 25, 2022Apr 22, 2022
Gary W LavalleeKovack Advisors, Inc. BD affiliatedSilver Oak Securities, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherMar 22, 2022Apr 1, 2022
Stephen Daniel OstrofskyKovack Advisors, Inc. BD affiliatedCambridge Investment Research Advisors, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherMar 8, 2022Mar 17, 2022
Ronald MercatanteKovack Advisors, Inc. BD affiliatedCambridge Investment Research Advisors, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherMar 8, 2022Mar 11, 2022
Samuel Paul LeeKovack Advisors, Inc. BD affiliatedHighpoint Planning Partners independent RIAAffiliated broker-dealer or bank to independent RIAFeb 18, 2022Feb 28, 2022
Brian Scott AllredKovack Advisors, Inc. BD affiliatedMoney Concepts Advisory Service BD affiliatedAffiliated broker-dealer or bank to anotherFeb 15, 2022Feb 16, 2022
Andrew Gerard HosseKovack Advisors, Inc. BD affiliatedEsi Financial Advisors BD affiliatedAffiliated broker-dealer or bank to anotherJan 18, 2022Jan 19, 2022
Eric Andre PettusKovack Advisors, Inc. BD affiliatedPettus & Dawkins Financial Group, LLC state registeredAffiliated broker-dealer or bank to a state-registered adviserDec 31, 2021May 16, 2022 (136 d)
Kristina Marie ZimmermanKovack Advisors, Inc. BD affiliatedLazari Capital Management, Inc. independent RIAAffiliated broker-dealer or bank to independent RIADec 1, 2021Feb 15, 2024 (806 d)
Scott Rossiter PerroneKovack Advisors, Inc. BD affiliatedAdvisory Services Network independent RIAAffiliated broker-dealer or bank to independent RIANov 2, 2021Nov 4, 2021
James A HenriquezKovack Advisors, Inc. BD affiliatedOsaic Institutions, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherAug 23, 2021Oct 18, 2021 (56 d)
Charles Willard JohnsonKovack Advisors, Inc. BD affiliatedCetera Investment Advisers LLC BD affiliatedAffiliated broker-dealer or bank to anotherAug 6, 2021Jun 29, 2023 (692 d)
Jose Eduardo CruzKovack Advisors, Inc. BD affiliatedCambridge Investment Research Advisors, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherJul 22, 2021Jul 28, 2021
Devika KambohKovack Advisors, Inc. BD affiliatedSohum Financial Planning, LLC state registeredAffiliated broker-dealer or bank to a state-registered adviserJul 21, 2021Jan 1, 2025 (1260 d)
Christopher Michael FurnoKovack Advisors, Inc. BD affiliatedAdvisory Services Network independent RIAAffiliated broker-dealer or bank to independent RIAJul 20, 2021Aug 19, 2021
Zachary S PinnauKovack Advisors, Inc. BD affiliatedMorgan Stanley wirehouseAffiliated broker-dealer or bank to wirehouseApr 29, 2021Jun 9, 2021 (41 d)
Tim Brooks SampsonKovack Advisors, Inc. BD affiliatedEsi Financial Advisors BD affiliatedAffiliated broker-dealer or bank to anotherMar 5, 2021Mar 8, 2021
Karmen Dwayne KingsmoreKovack Advisors, Inc. BD affiliatedKingsmore Wealth Management, LLC state registeredAffiliated broker-dealer or bank to a state-registered adviserJan 29, 2021Jan 6, 2021
Michael Alan AndrewsKovack Advisors, Inc. BD affiliatedKovack International Advisors Inc. no RAUMOtherOct 9, 2020Nov 21, 2019
Christopher KentimenosKovack Advisors, Inc. BD affiliatedSpearhead Administrative Services, LLC no RAUMAffiliated broker-dealer or bank to a newly registered adviserSep 29, 2020Jun 8, 2022 (617 d)
George James ZeckKovack Advisors, Inc. BD affiliatedHarbour Investments, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAAug 27, 2020Oct 20, 2023 (1149 d)
Christian Dietrich SearcyKovack Advisors, Inc. BD affiliatedPursuit Wealth Managment LLC no RAUMAffiliated broker-dealer or bank to a newly registered adviserJun 22, 2020Jun 26, 2020
Melanie Martinez McdonaldKovack Advisors, Inc. BD affiliatedPursuit Wealth Managment LLC no RAUMAffiliated broker-dealer or bank to a newly registered adviserJun 22, 2020Jul 7, 2020
Katrina B TimmonsKovack Advisors, Inc. BD affiliatedPursuit Wealth Managment LLC independent RIAAffiliated broker-dealer or bank to independent RIAJun 22, 2020Apr 30, 2021 (312 d)
Ryan Nickolas PatnoeKovack Advisors, Inc. BD affiliatedSchwan Financial Advisors, LLC otherOtherApr 13, 2020Apr 14, 2020
Thomas Wayne ChandlerKovack Advisors, Inc. BD affiliatedKerr Wealth Management independent RIAAffiliated broker-dealer or bank to independent RIAApr 3, 2020Apr 7, 2020
Andrew Raymond ScheirerKovack Advisors, Inc. BD affiliatedApi Financial Advisors, LLC no RAUMAffiliated broker-dealer or bank to a newly registered adviserMar 9, 2020Apr 14, 2020 (36 d)
Warren Charles SpencerKovack Advisors, Inc. BD affiliatedAmeriprise Financial Services, LLC national BDAffiliated broker-dealer or bank to anotherMar 6, 2020Feb 24, 2020
Douglas Bradley PetersonKovack Advisors, Inc. BD affiliatedAdams Wealth Advisors independent RIAAffiliated broker-dealer or bank to independent RIAJan 31, 2020Aug 28, 2020 (210 d)
James Thomas MarshKovack Advisors, Inc. BD affiliatedTavco Financial Advisory, Inc state registeredAffiliated broker-dealer or bank to a state-registered adviserJan 9, 2020Mar 16, 2020 (67 d)
Anthony Edward LocascioKovack Advisors, Inc. BD affiliatedInvestment Capital Advisors state registeredAffiliated broker-dealer or bank to a state-registered adviserOct 31, 2019Nov 9, 2018
David Ta-Wai YuKovack Advisors, Inc. BD affiliatedIndependent Financial Partners BD affiliatedAffiliated broker-dealer or bank to anotherOct 25, 2019Nov 1, 2019
Javier Jose De ZengotitaKovack Advisors, Inc. BD affiliatedAton Financial LLC independent RIAAffiliated broker-dealer or bank to independent RIAOct 21, 2019Oct 29, 2019
Jorge Carlos GarridoKovack Advisors, Inc. BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherAug 22, 2019Aug 21, 2019
Ralph John FetrowKovack Advisors, Inc. BD affiliatedInsight Advisors, LLC independent RIAAffiliated broker-dealer or bank to independent RIAJul 30, 2019Jul 31, 2019
Richard A YemmKovack Advisors, Inc. BD affiliatedKms Financial Services, Inc BD affiliatedAffiliated broker-dealer or bank to anotherJul 2, 2019Jul 3, 2019
Hector A MartinezKovack Advisors, Inc. BD affiliatedFsam LLC independent RIAAffiliated broker-dealer or bank to independent RIAJun 17, 2019Jul 24, 2019 (37 d)
Daniel Norman DowdKovack Advisors, Inc. BD affiliatedInvestacorp Advisory Services Inc BD affiliatedAffiliated broker-dealer or bank to anotherMay 20, 2019May 22, 2019
Susanne VaishvilaKovack Advisors, Inc. BD affiliatedRaymond James Financial Services Advisors, Inc BD affiliatedAffiliated broker-dealer or bank to anotherApr 29, 2019Jan 3, 2020 (249 d)
Michelle L ReynoldsKovack Advisors, Inc. BD affiliatedSsn Advisory, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherApr 26, 2019Apr 25, 2019
Daniel Scott KarlsbergKovack Advisors, Inc. BD affiliatedCambridge Investment Research Advisors, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherApr 22, 2019Apr 24, 2019
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235 moves match.