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 Private Advisor Group, LLC
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 |
|---|---|---|---|---|---|
| Michael Herbert Rosenthal | Private Advisor Group, LLC BD affiliated | Onepoint Bfg Wealth Partners no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jun 8, 2022 | Jun 1, 2022 |
| Mary Grace Lundstrom | Private Advisor Group, LLC BD affiliated | Onepoint Bfg Wealth Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 8, 2022 | Jun 15, 2022 |
| William Stark Mcneer | Private Advisor Group, LLC BD affiliated | Capasso Planning Partners LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 26, 2022 | May 26, 2022 |
| Gregory Vincent Mallia | Private Advisor Group, LLC BD affiliated | Fortitude Advisory Group L.L.C. independent RIA | Affiliated broker-dealer or bank to independent RIA | May 26, 2022 | Nov 4, 2021 |
| Marc Anthony Canovali | Private Advisor Group, LLC BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | May 9, 2022 | Mar 21, 2024 (682 d) |
| William James Luzzo | Private Advisor Group, LLC BD affiliated | Bcu Wealth Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 2, 2022 | Dec 16, 2021 |
| Sean Thomas Manos | Private Advisor Group, LLC BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | May 2, 2022 | Jun 14, 2022 (43 d) |
| Richard Lewis Zack | Private Advisor Group, LLC BD affiliated | Onepoint Bfg Wealth Partners no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Mar 25, 2022 | Mar 17, 2022 |
| Richard Michael Carr | Private Advisor Group, LLC BD affiliated | Lucey Advisory Group unclassified | Other | Mar 2, 2022 | May 12, 2017 |
| Christopher Paul Carelli | Private Advisor Group, LLC BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 2, 2022 | Jan 12, 2018 |
| Benjamin William Cauley | Private Advisor Group, LLC BD affiliated | Lucey Advisory Group unclassified | Other | Mar 2, 2022 | Jun 22, 2020 |
| Lynda Kommel-Browne | Private Advisor Group, LLC BD affiliated | Round Rock Advisors LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 31, 2022 | May 31, 2022 (120 d) |
| Julius Edwin Lord | Private Advisor Group, LLC BD affiliated | Good Life Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 28, 2022 | Jan 27, 2022 |
| Alexandra Fiona Babb | Private Advisor Group, LLC BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 28, 2022 | Jan 24, 2022 |
| Nolan Menachemson | Private Advisor Group, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 1, 2021 | Dec 1, 2021 |
| Mycha Morgan Marshall | Private Advisor Group, LLC BD affiliated | Bestgate Wealth Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 23, 2021 | Oct 27, 2021 |
| Paul C Impellizeri | Private Advisor Group, LLC BD affiliated | Cascio Wealth Management state registered | Affiliated broker-dealer or bank to a state-registered adviser | Sep 27, 2021 | Nov 9, 2021 (43 d) |
| Andrea Lynne Lucey | Private Advisor Group, LLC BD affiliated | Lucey Advisory Group unclassified | Other | Sep 27, 2021 | May 12, 2017 |
| David Allen Miller | Private Advisor Group, LLC BD affiliated | Rule72 Financial state registered | Affiliated broker-dealer or bank to a state-registered adviser | Sep 23, 2021 | Oct 19, 2021 |
| Kathleen Wilson Tillman | Private Advisor Group, LLC BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Aug 27, 2021 | Sep 17, 2021 |
| Jordan L Botvinik | Private Advisor Group, LLC BD affiliated | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 22, 2021 | Jul 1, 2021 |
| Ryan Bartels | Private Advisor Group, LLC BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jun 8, 2021 | Aug 12, 2021 (65 d) |
| Gregory George Calderaro | Private Advisor Group, LLC BD affiliated | Garden State Investment Advisory Services, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 3, 2021 | May 19, 2021 |
| Elizabeth Ann Burney | Private Advisor Group, LLC BD affiliated | Onedigital institutional | Other | May 14, 2021 | Apr 6, 2021 |
| Daniel Zlotnick | Private Advisor Group, LLC BD affiliated | Onedigital institutional | Other | May 13, 2021 | May 3, 2021 |
| Victor Solis | Private Advisor Group, LLC BD affiliated | Onedigital institutional | Other | May 13, 2021 | Apr 1, 2021 |
| Antoine Troy Williams | Private Advisor Group, LLC BD affiliated | Antoine Williams & Associates Wealth Management, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | May 12, 2021 | Mar 24, 2021 |
| Randall Carroll Gillespie | Private Advisor Group, LLC BD affiliated | Intrua Financial independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 12, 2021 | Jan 9, 2021 |
| Daniel Martin Ciez | Private Advisor Group, LLC BD affiliated | Jacksonville Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 12, 2021 | Jan 6, 2023 (634 d) |
| Ana Maria Salas | Private Advisor Group, LLC BD affiliated | Intrua Financial independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 12, 2021 | Jan 5, 2021 |
| Christopher David Cox | Private Advisor Group, LLC BD affiliated | Jacksonville Wealth Management no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Apr 12, 2021 | Mar 29, 2021 |
| Nicholas Joseph Pinelli | Private Advisor Group, LLC BD affiliated | Jacksonville Wealth Management no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Apr 12, 2021 | Mar 29, 2021 |
| Brian Michael Schultz | Private Advisor Group, LLC BD affiliated | Pinnacle Investments, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 6, 2021 | Apr 12, 2021 |
| James Faraci | Private Advisor Group, LLC BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Feb 19, 2021 | Feb 17, 2021 |
| Bryan Gilbert Kelly | Private Advisor Group, LLC BD affiliated | Hodos Wealth Group, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Feb 18, 2021 | Jan 20, 2021 |
| Rebecca Louise Hafer | Private Advisor Group, LLC BD affiliated | Mma Securities LLC no RAUM | Other | Feb 4, 2021 | Jan 13, 2021 |
| Chad Lee Schneider | Private Advisor Group, LLC BD affiliated | Hodos Wealth Group, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jan 21, 2021 | Feb 7, 2021 |
| William Scott Thompson | Private Advisor Group, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 15, 2021 | Jul 14, 2020 |
| Brian Ashley Mullins | Private Advisor Group, LLC BD affiliated | Mpwm Advisory Solutions LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 11, 2021 | Jan 12, 2021 |
| Mathew Christopher Lepak | Private Advisor Group, LLC BD affiliated | Flaharty Asset Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 11, 2020 | Dec 14, 2020 |
| Matthew John Macek | Private Advisor Group, LLC BD affiliated | Flaharty Asset Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 11, 2020 | Dec 14, 2020 |
| Stephen Michael Cash | Private Advisor Group, LLC BD affiliated | Advisors Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 4, 2020 | Dec 9, 2020 |
| Mackenzie Thomas Swartz | Private Advisor Group, LLC BD affiliated | Citizens Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 4, 2020 | Sep 30, 2022 (665 d) |
| Ian Stuart Baker | Private Advisor Group, LLC BD affiliated | Iht Wealth Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 14, 2020 | Mar 19, 2021 (156 d) |
| Ralph John Hochuli | Private Advisor Group, LLC BD affiliated | Iht Wealth Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 14, 2020 | Feb 23, 2021 (132 d) |
| Paul Howard Etra | Private Advisor Group, LLC BD affiliated | Iht Wealth Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 14, 2020 | Dec 1, 2020 (48 d) |
| Marc Charles Harary | Private Advisor Group, LLC BD affiliated | Iht Wealth Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 14, 2020 | Feb 23, 2021 (132 d) |
| Denzil Dias | Private Advisor Group, LLC BD affiliated | Iht Wealth Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 14, 2020 | Feb 23, 2021 (132 d) |
| Timothy David Richardson | Private Advisor Group, LLC BD affiliated | Avantax Advisory Services BD affiliated | Affiliated broker-dealer or bank to another | Sep 21, 2020 | Sep 18, 2020 |
| Paul Loren Feinstein | Private Advisor Group, LLC independent RIA | Audent Global Asset Management, LLC no RAUM | RIA to a newly registered adviser | Sep 1, 2020 | Aug 18, 2020 |
| David Wayne Verhille | Private Advisor Group, LLC independent RIA | LPL Financial LLC other | Other | Aug 28, 2020 | Apr 28, 2017 |
| Daniel Scott Cohen | Private Advisor Group, LLC independent RIA | Redblack Advisers, Inc. asset manager | Other | Aug 14, 2020 | Aug 4, 2022 (720 d) |
| Brian Sniffen | Private Advisor Group, LLC independent RIA | Vanguard Advisers, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jul 16, 2020 | Sep 18, 2020 (64 d) |
| Aaron Michael Stine | Private Advisor Group, LLC independent RIA | Osaic Wealth, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jul 7, 2020 | Jan 26, 2021 (203 d) |
| Michael Ray Skibbe | Private Advisor Group, LLC independent RIA | LPL Financial LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jun 10, 2020 | Jun 15, 2020 |
| Christopher Eldren Pierce Nalley | Private Advisor Group, LLC independent RIA | Cs Advisors Inc. other | Other | Jun 3, 2020 | Jun 8, 2020 |
| Walter Fred Munoz | Private Advisor Group, LLC independent RIA | LPL Financial LLC BD affiliated | RIA to affiliated broker-dealer or bank | May 20, 2020 | Jun 15, 2020 |
| Michael William Coffey | Private Advisor Group, LLC independent RIA | Citizens Securities, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | May 1, 2020 | Jul 17, 2020 (77 d) |
| Peter Anthony Baldini | Private Advisor Group, LLC independent RIA | LPL Financial LLC BD affiliated | RIA to affiliated broker-dealer or bank | Apr 3, 2020 | Dec 18, 2019 |
| Raymond Eugene Gay | Private Advisor Group, LLC independent RIA | Fiduciary Wealth Management, LLC mixed wealth | RIA to RIA | Apr 2, 2020 | Mar 27, 2019 |
375 moves match.