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 Dfpg Investments, 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 |
|---|---|---|---|---|---|
| Janice Marie Powell | Dfpg Investments, LLC no RAUM | Diversify Advisory Services, LLC BD affiliated | Other | Jul 12, 2024 | Sep 15, 2023 |
| Daniel Gerald Gomez | Dfpg Investments, LLC independent RIA | Diversify Advisory Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Feb 9, 2024 | Jan 12, 2024 |
| Eric Scott Koford | Dfpg Investments, LLC independent RIA | Diversify Advisory Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Feb 9, 2024 | Sep 15, 2023 |
| Charles Elmer Sorensen | Dfpg Investments, LLC independent RIA | Diversify Advisory Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Feb 9, 2024 | Sep 15, 2023 |
| Daniel Allan Teague | Dfpg Investments, LLC independent RIA | Diversify Advisory Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Feb 9, 2024 | Sep 15, 2023 |
| Charles Chadwick Campbell | Dfpg Investments, LLC independent RIA | Diversify Advisory Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Feb 8, 2024 | Sep 26, 2023 |
| Peter R Burnham | Dfpg Investments, LLC independent RIA | Diversify Advisory Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Feb 8, 2024 | Jan 2, 2024 |
| Christopher Layton Claridge | Dfpg Investments, LLC independent RIA | Diversify Advisory Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Feb 8, 2024 | Dec 18, 2023 |
| Eddie Ghabour | Dfpg Investments, LLC independent RIA | Diversify Advisory Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jan 2, 2024 | Sep 27, 2023 |
| Michael Thomas Redmond | Dfpg Investments, LLC independent RIA | Diversify Advisory Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jan 2, 2024 | Oct 3, 2023 |
| Breanne Nicole Polonia | Dfpg Investments, LLC independent RIA | Diversify Advisory Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jan 2, 2024 | Dec 7, 2023 |
| Joseph Albert Ghabour | Dfpg Investments, LLC independent RIA | Diversify Advisory Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jan 2, 2024 | Sep 26, 2023 |
| Anthony Angelo Cipolla | Dfpg Investments, LLC independent RIA | Diversify Advisory Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jan 2, 2024 | Oct 3, 2023 |
| David Jay Wrigley | Dfpg Investments, LLC independent RIA | Diversify Advisory Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jan 2, 2024 | Sep 15, 2023 |
| Bryan Sonderby | Dfpg Investments, LLC independent RIA | Diversify Advisory Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jan 2, 2024 | Dec 8, 2023 |
| Haddy Alexander Homampour | Dfpg Investments, LLC independent RIA | Diversify Advisory Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jan 2, 2024 | Dec 7, 2023 |
| Noah Kamuela Beecher | Dfpg Investments, LLC independent RIA | Diversify Advisory Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jan 2, 2024 | Jan 1, 2025 (365 d) |
| Laura Elizabeth Balback | Dfpg Investments, LLC independent RIA | Diversify Advisory Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jan 2, 2024 | Sep 25, 2023 |
| David J Ali | Dfpg Investments, LLC independent RIA | Diversify Advisory Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jan 2, 2024 | Sep 25, 2023 |
| Leon Chang Soo Kim | Dfpg Investments, LLC independent RIA | Diversify Advisory Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jan 2, 2024 | Sep 13, 2023 |
| Moriah Ranade | Dfpg Investments, LLC independent RIA | Diversify Advisory Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jan 2, 2024 | Jan 2, 2024 |
| Robin Leon Andersen | Dfpg Investments, LLC independent RIA | Diversify Advisory Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jan 2, 2024 | Sep 15, 2023 |
| Michael Mccabe | Dfpg Investments, LLC independent RIA | Diversify Advisory Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jan 2, 2024 | Oct 12, 2023 |
| Richard Kim | Dfpg Investments, LLC independent RIA | Diversify Advisory Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jan 2, 2024 | Sep 13, 2023 |
| Tyler Haskell | Dfpg Investments, LLC independent RIA | Diversify Advisory Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jan 2, 2024 | Sep 15, 2023 |
| Hyung Jin Kim | Dfpg Investments, LLC independent RIA | Diversify Advisory Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Dec 31, 2023 | Sep 13, 2023 |
| James Anthony Serratelli | Dfpg Investments, LLC independent RIA | Diversify Advisory Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Dec 31, 2023 | Dec 8, 2023 |
| Layne Curtis Jensen | Dfpg Investments, LLC independent RIA | Diversify Advisory Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Dec 31, 2023 | Dec 18, 2023 |
| Robert Anthony Sale | Dfpg Investments, LLC independent RIA | Diversify Advisory Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Dec 31, 2023 | Dec 14, 2023 |
| Matthew Robert Argyle | Dfpg Investments, LLC independent RIA | Diversify Advisory Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Dec 31, 2023 | Dec 19, 2023 |
| Anthony Al Nasser | Dfpg Investments, LLC independent RIA | Diversify Advisory Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Dec 31, 2023 | Dec 22, 2023 |
| Adilene Calixtro | Dfpg Investments, LLC independent RIA | Diversify Advisory Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Dec 31, 2023 | Oct 3, 2023 |
| Tommy Call Jensen | Dfpg Investments, LLC independent RIA | Diversify Advisory Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Dec 31, 2023 | Dec 18, 2023 |
| Conor James Gum | Dfpg Investments, LLC independent RIA | Diversify Advisory Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Dec 31, 2023 | Dec 8, 2023 |
| Dorian Michael Grady | Dfpg Investments, LLC independent RIA | Diversify Advisory Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Dec 22, 2023 | Dec 22, 2023 |
| Keith Larsen | Dfpg Investments, LLC independent RIA | Diversify Advisory Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Oct 6, 2023 | Sep 15, 2023 |
| Jonathan Reid Rowland | Dfpg Investments, LLC independent RIA | LPL Financial LLC independent RIA | RIA to RIA | Feb 27, 2023 | Feb 28, 2023 |
| Jerry Marlin Toombs | Dfpg Investments, LLC independent RIA | Connect Financial Advisors state registered | RIA to a state-registered adviser | Aug 15, 2022 | Aug 18, 2022 |
| Timothy Michael Murphy | Dfpg Investments, LLC independent RIA | Connect Financial Advisors state registered | RIA to a state-registered adviser | Aug 15, 2022 | Aug 30, 2022 |
| William Travis Snider | Dfpg Investments, LLC independent RIA | Portside Wealth Group, LLC no RAUM | RIA to a newly registered adviser | Oct 27, 2021 | Mar 28, 2023 (517 d) |
| John William Homer | Dfpg Investments, LLC independent RIA | Townsquare Capital, LLC mixed wealth | RIA to RIA | Oct 25, 2021 | Oct 27, 2021 |
| Brent Alan Reed | Dfpg Investments, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 6, 2021 | Jan 4, 2021 |
| Marcus Blanchard | Dfpg Investments, LLC BD affiliated | Focal Point Financial Planning, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Dec 11, 2020 | Jan 2, 2021 |
| Jason Lee Mcmurtry | Dfpg Investments, LLC BD affiliated | Concorde Asset Management, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 4, 2020 | May 4, 2020 |
| Richard Douglas Gann | Dfpg Investments, LLC BD affiliated | Concorde Asset Management, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 4, 2020 | May 4, 2020 |
| Joan Duquette | Dfpg Investments, LLC independent RIA | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | RIA to wirehouse | Jul 2, 2019 | Sep 5, 2019 (65 d) |
| Ben Brackett | Dfpg Investments, LLC independent RIA | Sowell Management independent RIA | RIA to RIA | May 29, 2019 | Jun 4, 2019 |
| Zachary Todd Staheli | Dfpg Investments, LLC independent RIA | Vanguard Advisers, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | May 3, 2019 | Nov 15, 2019 (196 d) |
| Naghmeh Melody Mossayi | Dfpg Investments, LLC independent RIA | J.P. Morgan Securities LLC wirehouse | RIA to wirehouse | Jul 20, 2018 | Aug 20, 2018 (31 d) |
| Jerry Leon Gruber | Dfpg Investments, LLC independent RIA | Ameriprise Financial Services, LLC national BD | RIA to affiliated broker-dealer or bank | May 25, 2018 | May 25, 2018 |
| Samuel David Pond | Dfpg Investments, LLC independent RIA | Raymond James Financial Services Advisors, Inc BD affiliated | RIA to affiliated broker-dealer or bank | Feb 15, 2018 | Jun 3, 2019 (473 d) |
| Paul Woodson Abele | Dfpg Investments, LLC independent RIA | Innovation Partners LLC other | Other | Nov 30, 2017 | Jan 18, 2018 (49 d) |
| Robert Holcomb | Dfpg Investments, LLC independent RIA | Cuso Financial Services, L.P. BD affiliated | RIA to affiliated broker-dealer or bank | Nov 16, 2017 | May 31, 2019 (561 d) |
| Steven Lamar Nielsen | Dfpg Investments, LLC other | Centaurus Financial, Inc. other | Other | Aug 2, 2017 | Aug 8, 2017 |
| Dillon Dee Hall | Dfpg Investments, LLC other | Centaurus Financial, Inc. other | Other | Aug 2, 2017 | Aug 11, 2017 |
| Susan Denise Vargason | Dfpg Investments, LLC other | Cambridge Investment Research Advisors, Inc. other | Other | Jun 28, 2017 | Jul 10, 2017 |
Page 1 of 1
56 moves match.