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 Mariner
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 |
|---|---|---|---|---|---|
| Thomas Neal O'Connor | Mariner independent RIA | Msi Financial Services, Inc. other | Other | Jun 15, 2026 | Jan 2, 2015 |
| Guido Mogatti Sarcione | Mariner independent RIA | Msi Financial Services, Inc. other | Other | Feb 10, 2020 | Jan 2, 2015 |
| John Thomas Lian | Mariner independent RIA | Msi Financial Services, Inc. other | Other | Feb 10, 2020 | Jan 2, 2015 |
| Gregory Jude Pinto | Mariner independent RIA | Msi Financial Services, Inc. other | Other | Jan 31, 2020 | Jan 2, 2015 |
| Philip Stanley Barnes | Mariner independent RIA | New England Securities Corporation other | Other | Jan 31, 2020 | May 12, 2011 |
| Jill Christine Ledgewood | Mariner independent RIA | Ameriprise Financial Services, LLC national BD | RIA to affiliated broker-dealer or bank | Oct 9, 2019 | Jan 6, 2026 (2281 d) |
| Tom Alex Goodman | Mariner independent RIA | Msi Financial Services, Inc. other | Other | Apr 6, 2018 | Jan 2, 2015 |
| James Stephen Wolfson | Mariner independent RIA | MML Investors Services, LLC other | Other | Apr 5, 2018 | Jun 13, 2017 |
| Bobette Gilpatric Scribner | Mariner independent RIA | Msi Financial Services, Inc. other | Other | Apr 5, 2018 | Jan 2, 2015 |
| Ronald Paul Kashmanian | Mariner independent RIA | Msi Financial Services, Inc. other | Other | Apr 5, 2018 | Jan 2, 2015 |
| Alan Lee Silverman | Mariner independent RIA | MML Investors Services, LLC other | Other | Apr 5, 2018 | Jun 13, 2017 |
| Janice Virginia Berner | Mariner independent RIA | Msi Financial Services, Inc. other | Other | Apr 5, 2018 | Jan 2, 2015 |
| Scott Peter Barker | Mariner independent RIA | Msi Financial Services, Inc. other | Other | Apr 5, 2018 | Jan 2, 2015 |
| Stephen Edward Napier | Mariner independent RIA | Msi Financial Services, Inc. other | Other | Apr 5, 2018 | Jan 2, 2015 |
| Stephen Michael Cunha | Mariner independent RIA | New England Securities Corporation other | Other | Apr 5, 2018 | Jan 31, 2014 |
| Maura Rose Laudone | Mariner independent RIA | Msi Financial Services, Inc. other | Other | Apr 5, 2018 | Jan 2, 2015 |
| Anthony Thomas Nofi | Mariner independent RIA | MML Investors Services, LLC other | Other | Apr 5, 2018 | Mar 25, 2017 |
| Elaine Marie Carvelli | Mariner independent RIA | Msi Financial Services, Inc. other | Other | Apr 5, 2018 | Jan 2, 2015 |
| Heidi Lydia Hanson | Mariner independent RIA | MML Investors Services, LLC other | Other | Apr 5, 2018 | Nov 9, 2017 |
| Jerald Paul Facey | Mariner independent RIA | MML Investors Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Apr 5, 2018 | Jan 29, 2021 (1030 d) |
| Charles H. Krahmer | Mariner independent RIA | MML Investors Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Apr 5, 2018 | Dec 16, 2022 (1716 d) |
| Andrew J Blanchard | Mariner independent RIA | MML Investors Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Apr 5, 2018 | Nov 25, 2024 (2426 d) |
| John Joseph Serrecchia | Mariner independent RIA | Msi Financial Services, Inc. other | Other | Apr 5, 2018 | Jan 2, 2015 |
| Sara Gayle Enos | Mariner independent RIA | MML Investors Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Apr 5, 2018 | Dec 18, 2020 (988 d) |
| Coley Brennan Odonnell | Mariner independent RIA | MML Investors Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Apr 5, 2018 | Aug 8, 2018 (125 d) |
| Christopher Martin Williams | Mariner independent RIA | Msi Financial Services, Inc. other | Other | Apr 5, 2018 | Jan 2, 2015 |
| Christopher Michael Riffle | Mariner independent RIA | Msi Financial Services, Inc. other | Other | Apr 5, 2018 | Jan 2, 2015 |
| John Charles Navien | Mariner independent RIA | MML Investors Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Apr 5, 2018 | Apr 30, 2025 (2582 d) |
| Joseph Parker Davies | Mariner independent RIA | MML Investors Services, LLC other | Other | Apr 5, 2018 | May 15, 2017 |
| Colin Hamilton Smith | Mariner independent RIA | Msi Financial Services, Inc. other | Other | Apr 5, 2018 | Jan 2, 2015 |
| Andrew Coe Cleary | Mariner independent RIA | MML Investors Services, LLC other | Other | Apr 5, 2018 | Oct 18, 2017 |
| Lucas Jon Noble | Mariner independent RIA | MML Investors Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Apr 5, 2018 | Sep 12, 2018 (160 d) |
| Joseph Nicholas Moore | Mariner independent RIA | MML Investors Services, LLC other | Other | Apr 5, 2018 | Mar 25, 2017 |
| Sean Francis Tucker | Mariner independent RIA | MML Investors Services, LLC other | Other | Apr 5, 2018 | Mar 25, 2017 |
| Russell Gary Demarest | Mariner independent RIA | Msi Financial Services, Inc. other | Other | Feb 1, 2018 | Jan 2, 2015 |
| Kristin Ann Nordahl | Mariner independent RIA | Msi Financial Services, Inc. other | Other | Feb 1, 2018 | Jan 21, 2016 |
| Janet Sue Cooper | Mariner independent RIA | Msi Financial Services, Inc. other | Other | Feb 1, 2018 | Jan 2, 2015 |
| Lawrence Joseph Perry | Mariner independent RIA | Msi Financial Services, Inc. other | Other | Feb 1, 2018 | Jan 2, 2015 |
| Barry Scott Wyman | Mariner independent RIA | Msi Financial Services, Inc. other | Other | Feb 1, 2018 | Jan 2, 2015 |
| Thomas Joseph Bottone | Mariner independent RIA | Msi Financial Services, Inc. other | Other | Feb 1, 2018 | Jan 2, 2015 |
| Robert Lester Porack | Mariner independent RIA | Msi Financial Services, Inc. other | Other | Feb 1, 2018 | Jan 2, 2015 |
| Susan Weidner Cooke | Mariner independent RIA | Msi Financial Services, Inc. other | Other | Feb 1, 2018 | Jan 2, 2015 |
| Roger Lane Webster | Mariner independent RIA | Msi Financial Services, Inc. other | Other | Feb 1, 2018 | Jan 2, 2015 |
| Andrew Marvin Rocco | Mariner independent RIA | Msi Financial Services, Inc. other | Other | Feb 1, 2018 | Jan 2, 2015 |
| Kenneth Charles Heiser | Mariner independent RIA | Msi Financial Services, Inc. other | Other | Feb 1, 2018 | Jan 2, 2015 |
| Robert Clayton Burns | Mariner independent RIA | Msi Financial Services, Inc. other | Other | Feb 1, 2018 | Jan 2, 2015 |
| Benjamin Cardinale | Mariner independent RIA | Msi Financial Services, Inc. other | Other | Feb 1, 2018 | Jan 2, 2015 |
| Mark Ralph Mcmanus | Mariner independent RIA | Msi Financial Services, Inc. other | Other | Feb 1, 2018 | Jan 2, 2015 |
| Daniel Patrick Dalton | Mariner independent RIA | Msi Financial Services, Inc. other | Other | Feb 1, 2018 | Jan 2, 2015 |
| Donald Francis Vendetti | Mariner independent RIA | Msi Financial Services, Inc. other | Other | Feb 1, 2018 | Jan 2, 2015 |
| Duston Ladieu | Mariner independent RIA | Msi Financial Services, Inc. other | Other | Feb 1, 2018 | Jan 2, 2015 |
| Bryan Douglas Becotte | Mariner independent RIA | Msi Financial Services, Inc. other | Other | Feb 1, 2018 | Jan 2, 2015 |
| Lee Ann Fatalo | Mariner independent RIA | New England Securities Corporation other | Other | Feb 1, 2018 | Jan 31, 2014 |
| Brad Lee Martin | Mariner independent RIA | Msi Financial Services, Inc. other | Other | Feb 1, 2018 | Jan 2, 2015 |
| John Jerome Buckley | Mariner independent RIA | Msi Financial Services, Inc. other | Other | Feb 1, 2018 | Jan 2, 2015 |
| Jonathan Wayne Hiltz | Mariner independent RIA | Msi Financial Services, Inc. other | Other | Feb 1, 2018 | Jan 2, 2015 |
| Donna Turcotte Caccia | Mariner independent RIA | Msi Financial Services, Inc. other | Other | Feb 1, 2018 | Jan 2, 2015 |
| Daniel J Cappucci | Mariner independent RIA | Msi Financial Services, Inc. other | Other | Feb 1, 2018 | Jan 2, 2015 |
| Louis Anthony Cardinale | Mariner independent RIA | Msi Financial Services, Inc. other | Other | Feb 1, 2018 | Jan 2, 2015 |
| Karen Melo Ticas | Mariner independent RIA | Msi Financial Services, Inc. other | Other | Feb 1, 2018 | Jan 2, 2015 |
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121 moves match.