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 Prosperity Capital Advisors

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
Philip Jeffrey LeeProsperity Capital Advisors independent RIACas Wealth Strategies LLC unclassifiedOtherJan 10, 2020Jan 8, 2020
Sean Alan SunderlageProsperity Capital Advisors independent RIAPrincipal Securities, Inc. BD affiliatedRIA to affiliated broker-dealer or bankSep 23, 2019Oct 16, 2019
Christopher James BerryProsperity Capital Advisors independent RIAAe Wealth Management, LLC independent RIARIA to RIAApr 4, 2019Apr 3, 2019
Michael Mark McgregorProsperity Capital Advisors independent RIABrookstone Wealth Advisors, LLC independent RIARIA to RIAMar 14, 2019Mar 18, 2019
Michael Christopher PooleProsperity Capital Advisors independent RIALifetyme Financial Advisors, LLC state registeredRIA to a state-registered adviserAug 23, 2018Feb 4, 2019 (165 d)
Dana G HastingsProsperity Capital Advisors independent RIAHightower Advisors, LLC BD affiliatedRIA to affiliated broker-dealer or bankApr 5, 2018Jun 19, 2019 (440 d)
William SchuetteProsperity Capital Advisors otherUSA Financial Securities LLC otherOtherFeb 1, 2018Feb 1, 2018
Kevin Neil RobertsProsperity Capital Advisors otherLifetime Wealth Design LLC state registeredOtherDec 14, 2017Aug 23, 2026 (3174 d)
Kimberly Sue StrosniderProsperity Capital Advisors otherSgl Financial, LLC otherOtherMay 2, 2016Dec 18, 2015
Yvonne M MarshProsperity Capital Advisors otherMarsh Wealth Management, LLC independent RIAOtherApr 14, 2016Feb 2, 2016
Anthony Edward LocascioProsperity Capital Advisors otherKovack Advisors, Inc. otherOtherFeb 3, 2016Jun 3, 2015
Todd Aaron SchneiderProsperity Capital Advisors otherVann Equity Management LLC no RAUMOtherSep 22, 2015Sep 22, 2015
Edward Gerard SiddellProsperity Capital Advisors otherEgsi Investment Management independent RIAOtherJul 10, 2015Jul 11, 2014
Steven Patrick CarlsonProsperity Capital Advisors otherValmark Advisers, Inc. otherOtherAug 29, 2014Aug 15, 2014
Robert Lawrence FreitasProsperity Capital Advisors otherStratos Wealth Partners, Ltd otherOtherMar 17, 2014Mar 21, 2014
Timothy Peter MarcinekProsperity Capital Advisors otherWestshore Financial unclassifiedOtherJan 29, 2014Jan 24, 2014
Nora Lake HartquistProsperity Capital Advisors otherBrookstone Capital Management LLC otherOtherDec 3, 2013Nov 13, 2013
Patti L LerchProsperity Capital Advisors otherBrookstone Capital Management LLC otherOtherDec 3, 2013Nov 13, 2013
Michael David LeistProsperity Capital Advisors otherNext Financial Group, Inc. otherOtherJul 19, 2013Jul 5, 2013
Steven Michael MartinezProsperity Capital Advisors otherBrookstone Wealth Advisors, LLC otherOtherMar 20, 2013Jan 27, 2014 (313 d)
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80 moves match.