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 Lucia Capital Group

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
Jill Ann LukehartLucia Capital Group independent RIALPL Financial LLC BD affiliatedRIA to affiliated broker-dealer or bankDec 31, 2020Sep 1, 2020
Tiy Lynn OnealLucia Capital Group independent RIALPL Financial LLC BD affiliatedRIA to affiliated broker-dealer or bankDec 31, 2020Sep 1, 2020
Lance William HelfertLucia Capital Group independent RIA15 Equity independent RIARIA to RIADec 31, 2020Jan 1, 2026 (1827 d)
Ryan Atticus LoweLucia Capital Group independent RIAPinhook Capital, LLC otherOtherDec 31, 2020Nov 3, 2014
Viktoria Irena PalermoLucia Capital Group independent RIALPL Financial LLC BD affiliatedRIA to affiliated broker-dealer or bankDec 31, 2020Sep 1, 2020
Jonathan Cabigas FerrerLucia Capital Group independent RIALPL Financial LLC BD affiliatedRIA to affiliated broker-dealer or bankDec 31, 2020Sep 1, 2020
Richard Bruce PlumLucia Capital Group independent RIALPL Financial LLC BD affiliatedRIA to affiliated broker-dealer or bankOct 9, 2020Sep 1, 2020
Terrance William KeyesLucia Capital Group independent RIALPL Financial LLC BD affiliatedRIA to affiliated broker-dealer or bankOct 5, 2020Sep 1, 2020
Sondra ForknerLucia Capital Group independent RIALPL Financial LLC BD affiliatedRIA to affiliated broker-dealer or bankOct 5, 2020Sep 1, 2020
John ProkosLucia Capital Group independent RIALPL Financial LLC BD affiliatedRIA to affiliated broker-dealer or bankOct 5, 2020Sep 1, 2020
Janean Evon StripeLucia Capital Group independent RIALPL Financial LLC BD affiliatedRIA to affiliated broker-dealer or bankOct 5, 2020Sep 1, 2020
Tracy Lynn MarlinLucia Capital Group independent RIALPL Financial LLC BD affiliatedRIA to affiliated broker-dealer or bankOct 5, 2020Sep 1, 2020
Timothy John SheaLucia Capital Group independent RIALPL Financial LLC BD affiliatedRIA to affiliated broker-dealer or bankOct 5, 2020Sep 1, 2020
Christopher Allen LloydLucia Capital Group independent RIALPL Financial LLC BD affiliatedRIA to affiliated broker-dealer or bankOct 5, 2020Sep 1, 2020
Ronnie Ray SanchezLucia Capital Group independent RIALPL Financial LLC BD affiliatedRIA to affiliated broker-dealer or bankOct 5, 2020Sep 1, 2020
Raymond Joseph LuciaLucia Capital Group independent RIAPinhook Capital, LLC otherOtherOct 5, 2020Apr 1, 2013
Preston W SchumacherLucia Capital Group independent RIALPL Financial LLC BD affiliatedRIA to affiliated broker-dealer or bankOct 5, 2020Sep 1, 2020
Joseph Paul LuciaLucia Capital Group independent RIAPinhook Capital, LLC otherOtherOct 5, 2020Apr 2, 2013
Sean P OconnorLucia Capital Group independent RIALPL Financial LLC BD affiliatedRIA to affiliated broker-dealer or bankOct 5, 2020Sep 1, 2020
Jonathan Paul SavonaLucia Capital Group independent RIALPL Financial LLC BD affiliatedRIA to affiliated broker-dealer or bankOct 5, 2020Sep 1, 2020
Brandon Mitchell HibdonLucia Capital Group independent RIALPL Financial LLC BD affiliatedRIA to affiliated broker-dealer or bankOct 5, 2020Sep 1, 2020
Rashard Jermaine CookLucia Capital Group independent RIALPL Financial LLC BD affiliatedRIA to affiliated broker-dealer or bankOct 5, 2020Sep 1, 2020
Thomas A WyckoffLucia Capital Group independent RIAPinhook Capital, LLC asset managerOtherOct 5, 2020Jun 14, 2018
Ara FreedmanLucia Capital Group independent RIALPL Financial LLC BD affiliatedRIA to affiliated broker-dealer or bankOct 5, 2020Sep 1, 2020
Christopher Anthony PanagiotuLucia Capital Group independent RIALPL Financial LLC BD affiliatedRIA to affiliated broker-dealer or bankOct 5, 2020Sep 1, 2020
Hillary Dale MooreLucia Capital Group independent RIALPL Financial LLC BD affiliatedRIA to affiliated broker-dealer or bankOct 5, 2020Sep 1, 2020
Marisa FordLucia Capital Group independent RIALPL Financial LLC BD affiliatedRIA to affiliated broker-dealer or bankOct 5, 2020Sep 1, 2020
Lance Taylor PetersLucia Capital Group independent RIALPL Financial LLC BD affiliatedRIA to affiliated broker-dealer or bankOct 5, 2020Sep 1, 2020
Darren Joseph PolandLucia Capital Group independent RIALPL Financial LLC BD affiliatedRIA to affiliated broker-dealer or bankOct 5, 2020Sep 1, 2020
Catherine Ann FordLucia Capital Group independent RIALPL Financial LLC BD affiliatedRIA to affiliated broker-dealer or bankSep 14, 2020Sep 1, 2020
Scot Samuel FairchildLucia Capital Group independent RIALPL Financial LLC BD affiliatedRIA to affiliated broker-dealer or bankSep 4, 2020Sep 10, 2020
Brenda Jo KnudsenLucia Capital Group independent RIAFidelity Personal And Workplace Advisors BD affiliatedRIA to affiliated broker-dealer or bankDec 13, 2019Feb 3, 2020 (52 d)
Tyler Christopher WebbLucia Capital Group independent RIAUBS Financial Services Inc. wirehouseRIA to wirehouseFeb 4, 2019Aug 7, 2019 (184 d)
Nicole Marie EnglishLucia Capital Group independent RIAKingswood Wealth Advisors, LLC independent RIARIA to RIASep 13, 2018Jan 31, 2019 (140 d)
John J EllisLucia Capital Group independent RIALPL Financial LLC independent RIARIA to RIAJun 7, 2018May 16, 2018
Theresa Jean OchsLucia Capital Group independent RIAPinhook Capital, LLC otherOtherApr 4, 2018Apr 1, 2013
Michele L HerzbergLucia Capital Group independent RIAUsaa Investment Services Company BD affiliatedRIA to affiliated broker-dealer or bankMar 19, 2018Aug 21, 2018 (155 d)
Amber Lavon Reed ChristopherLucia Capital Group otherKeel Point, LLC independent RIAOtherFeb 5, 2018Jul 29, 2022 (1635 d)
Casey Daniel Camacho-JonesLucia Capital Group otherUBS Financial Services Inc. wirehouseOtherSep 12, 2016Sep 9, 2016
Shelsey Megan RobertsonLucia Capital Group otherPinhook Capital, LLC otherOtherDec 31, 2015Jan 4, 2016
Robert Andrew BradfordLucia Capital Group otherIntrua Financial otherOtherSep 24, 2015Feb 18, 2016 (147 d)
Randall Scott KarlLucia Capital Group otherPlatinum Wealth Partners otherOtherSep 24, 2015Oct 15, 2015
Kyle Gregory UtheLucia Capital Group otherUBS Financial Services Inc. wirehouseOtherAug 12, 2015Aug 12, 2015
Michele Mariko FullerLucia Capital Group otherWaddell & Reed otherOtherAug 3, 2015Sep 3, 2015 (31 d)
Matthew Michael HansenLucia Capital Group otherUBS Financial Services Inc. wirehouseOtherJul 28, 2015Jul 28, 2015
Mitchell Steven AvnetLucia Capital Group otherPinhook Capital, LLC asset managerOtherApr 29, 2015Apr 25, 2018 (1092 d)
Robert Christopher BinkowskiLucia Capital Group otherAxxcess Wealth Management, LLC otherOtherApr 2, 2015Mar 10, 2015
Jodie L HallLucia Capital Group otherAmeriprise Financial Services, LLC national BDOtherMar 30, 2015Apr 13, 2015
Raymond George SeifritzLucia Capital Group otherSagepoint Financial, Inc. otherOtherJul 10, 2014Aug 12, 2014 (33 d)
Jenica Maureen BertalanLucia Capital Group otherEdward Jones national BDOtherMay 15, 2014May 22, 2014
Craig Robert NettLucia Capital Group otherLPL Financial LLC otherOtherDec 2, 2013Dec 9, 2013
Daniel Allen DoughtyLucia Capital Group otherAvidian Wealth Solutions otherOtherJan 8, 2013Jan 9, 2013
Brent Lee HoneaLucia Capital Group otherJ. W. Cole Advisors, Inc. otherOtherDec 18, 2012Jan 22, 2014 (400 d)
Nicole Karen ChoiLucia Capital Group otherLPL Financial LLC otherOtherDec 7, 2012Jan 30, 2013 (54 d)
Jesse StarrLucia Capital Group otherJ.P. Morgan Securities LLC wirehouseOtherDec 4, 2012Dec 12, 2012
Mark RonsiniLucia Capital Group otherLincoln Investment otherOtherNov 19, 2012Jan 22, 2013 (64 d)
Clayton Robert BenwayLucia Capital Group otherOsaic Institutions, Inc. BD affiliatedOtherOct 4, 2012Oct 31, 2022 (3679 d)
Angel P NguyenLucia Capital Group otherMorgan Stanley wirehouseOtherAug 28, 2012Oct 23, 2012 (56 d)
Andrew TomlinsonLucia Capital Group otherStrategic Advisers LLC national BDOtherAug 8, 2012Nov 9, 2012 (93 d)
David Michael CookLucia Capital Group otherPure Financial Advisors, LLC otherOtherApr 24, 2012May 18, 2012
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69 moves match.