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
Mark Andrew Uzzell	Mariner independent RIA	Msi Financial Services, Inc. other	Other	Feb 1, 2018	Jan 2, 2015
David J Macdonald	Mariner independent RIA	Msi Financial Services, Inc. other	Other	Feb 1, 2018	Jan 2, 2015
Christopher R. Perry	Mariner independent RIA	Msi Financial Services, Inc. other	Other	Feb 1, 2018	Jan 2, 2015
Alexander Aldrich Krisak	Mariner independent RIA	Msi Financial Services, Inc. other	Other	Feb 1, 2018	Jan 2, 2015
Jeffrey Leonard Allison	Mariner independent RIA	Msi Financial Services, Inc. other	Other	Jan 25, 2018	Jan 2, 2015
Jeffrey John Bannon	Mariner independent RIA	MML Investors Services, LLC other	Other	Jan 25, 2018	Mar 25, 2017
Anthony J Depinto	Mariner independent RIA	MML Investors Services, LLC other	Other	Jan 25, 2018	Jun 19, 2017
Troy Allen Aarthun	Mariner independent RIA	Msi Financial Services, Inc. other	Other	Jan 25, 2018	Jan 2, 2015
James Theocharis Dimos	Mariner independent RIA	MML Investors Services, LLC other	Other	Jan 25, 2018	Mar 25, 2017
Guillermo Alberto	Mariner independent RIA	LPL Financial LLC BD affiliated	RIA to affiliated broker-dealer or bank	Jan 25, 2018	Sep 29, 2020 (978 d)
Michael I Guertin	Mariner independent RIA	Msi Financial Services, Inc. other	Other	Jan 25, 2018	Jan 2, 2015
Anthony Randall Bartlett	Mariner other	MML Investors Services, LLC other	Other	Nov 16, 2017	Mar 25, 2017
Kelly Allen Woerdeman	Mariner other	MML Investors Services, LLC other	Other	Nov 16, 2017	Mar 25, 2017
Michael L Caputo	Mariner other	MML Investors Services, LLC other	Other	Sep 7, 2017	Mar 25, 2017
David Michael Medick	Mariner other	MML Investors Services, LLC other	Other	Jul 18, 2017	Mar 25, 2017
Carl Kaliszewski	Mariner other	Msi Financial Services, Inc. other	Other	Jul 18, 2017	Jan 2, 2015
Michael James Dimaggio	Mariner other	Msi Financial Services, Inc. other	Other	Dec 8, 2016	Jan 2, 2015
Matthew Sean Donovan	Mariner other	Integrated Wealth Concepts LLC no RAUM	Other	Aug 1, 2016	Aug 22, 2016
John Richard Pratti	Mariner other	Commonwealth Financial Network national BD	Other	Aug 1, 2016	Aug 1, 2016
Herbert Karl Daroff	Mariner other	Msi Financial Services, Inc. other	Other	Jul 28, 2016	Jan 2, 2015
Paul Richard Buckley	Mariner other	Msi Financial Services, Inc. other	Other	Jul 28, 2016	Jan 2, 2015
Daniel Wagner	Mariner other	Commonwealth Financial Network national BD	Other	Jul 28, 2016	Jul 27, 2020 (1460 d)
Kareen Ietta Blake	Mariner other	MML Investors Services, LLC BD affiliated	Other	Jul 28, 2016	Jul 11, 2025 (3270 d)
Joseph R D'Amore	Mariner other	MML Investors Services, LLC BD affiliated	Other	Jul 28, 2016	May 16, 2022 (2118 d)
Seth Raynor Waltz	Mariner other	MML Investors Services, LLC BD affiliated	Other	Jul 28, 2016	Jan 14, 2020 (1265 d)
Scott Dana Gordon-Macey	Mariner other	MML Investors Services, LLC other	Other	Jul 28, 2016	Mar 25, 2017 (240 d)
William Ryan	Mariner other	Msi Financial Services, Inc. other	Other	Jul 28, 2016	Jan 2, 2015
John Hoogenboom	Mariner other	Msi Financial Services, Inc. other	Other	Jul 28, 2016	Jan 2, 2015
Mark Timothy Linnane	Mariner other	LPL Financial LLC other	Other	Jul 28, 2016	Oct 27, 2016 (91 d)
Michael Everett Genetti	Mariner other	Msi Financial Services, Inc. other	Other	Jul 28, 2016	Jan 2, 2015
Stephen Belsanti	Mariner other	Msi Financial Services, Inc. other	Other	Jul 13, 2016	Jan 2, 2015
Glen Patrick Martin	Mariner other	F L Putnam Investment Management Co. other	Other	Jul 5, 2016	Aug 22, 2016 (48 d)
Michael Thomas Meehan	Mariner other	Msi Financial Services, Inc. other	Other	Jun 15, 2016	Jan 2, 2015
Neil Douglas Blicher	Mariner other	Choreo, LLC other	Other	Mar 22, 2016	May 2, 2016 (41 d)
David Norton Tinsley	Mariner other	Commonwealth Financial Network national BD	Other	Feb 9, 2016	Feb 10, 2016
Tracy Teng	Mariner other	MML Investors Services, LLC BD affiliated	Other	Jan 25, 2016	Mar 29, 2021 (1890 d)
James Harold Ross	Mariner other	Msi Financial Services, Inc. other	Other	Nov 20, 2015	Jan 2, 2015
Christopher L. Eklund	Mariner other	Msi Financial Services, Inc. other	Other	Sep 23, 2015	Jan 2, 2015
John Vincent Blanchard	Mariner other	Gwn Securities Inc. other	Other	Sep 22, 2015	Oct 18, 2016 (392 d)
William Benton Pyles	Mariner other	Msi Financial Services, Inc. other	Other	Jul 28, 2015	Jan 2, 2015
Troy V Zerveskes	Mariner other	Msi Financial Services, Inc. other	Other	Apr 21, 2015	Jan 2, 2015
Kerri A Melley	Mariner other	Msi Financial Services, Inc. other	Other	Feb 18, 2015	Jan 2, 2015
Gino P Molettieri	Mariner other	Commonwealth Financial Network national BD	Other	Oct 6, 2014	Oct 17, 2014
Erik Matthew Potts	Mariner other	Cambridge Investment Research Advisors, Inc. other	Other	Aug 28, 2014	Aug 27, 2014
Mark Daniel Krupkowski	Mariner other	Msi Financial Services, Inc. other	Other	Feb 21, 2014	Jan 2, 2015 (315 d)
Daniel Connelly	Mariner other	Strategic Advisers LLC national BD	Other	Nov 20, 2013	Apr 7, 2016 (869 d)
Joseph Anthony Latona	Mariner other	LPL Financial LLC other	Other	Nov 1, 2013	Nov 4, 2013
Abigail Hurlburt	Mariner other	Cambridge Investment Research Advisors, Inc. other	Other	Oct 1, 2013	Sep 30, 2013
Janet Marie Goulart	Mariner other	Cambridge Investment Research Advisors, Inc. other	Other	Sep 3, 2013	Aug 30, 2013
Edick Antonio Lucas	Mariner other	Osaic Fa, Inc. other	Other	May 6, 2013	May 15, 2013
Christopher David Campbell	Mariner other	Voya Financial Advisors, Inc. other	Other	Apr 29, 2013	May 6, 2013
James Edward Carlson	Mariner other	Msi Financial Services, Inc. other	Other	Apr 8, 2013	Mar 20, 2015 (711 d)
Linden Everett Gould	Mariner other	Global Financial Private Capital, Inc. other	Other	Mar 13, 2013	Jul 23, 2013 (132 d)
David Brawley	Mariner other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Jan 17, 2013	Jun 13, 2014 (512 d)
Shaun David Erickson	Mariner other	Single Point Partners independent RIA	Other	Jun 14, 2012	Oct 1, 2012 (109 d)
Jason M Platt	Mariner other	LPL Financial LLC other	Other	Apr 17, 2012	Jul 3, 2012 (77 d)
Andrew R Shuster	Mariner other	Ameriprise Financial Services, LLC national BD	Other	Oct 3, 2011	Aug 7, 2013 (674 d)
Ami Kitner Howes	Mariner other	MML Investors Services, LLC other	Other	Jul 18, 2011	Mar 16, 2016 (1703 d)
Eric Lee Spindt	Mariner other	MML Investors Services, LLC other	Other	Jul 11, 2011	Apr 30, 2013 (659 d)
Marc Normand Paquette	Mariner other	The Patriot Financial Group, LLC no RAUM	Other	Jun 21, 2011	Oct 3, 2014 (1200 d)

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121 moves match.