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 Novem 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
Daniel Stephen DipaolaNovem Group independent RIAOsaic Wealth, Inc. BD affiliatedRIA to affiliated broker-dealer or bankOct 4, 2024Oct 11, 2024
Torry WhitcherNovem Group independent RIARfg Advisory, LLC independent RIARIA to RIAMay 31, 2024Jun 4, 2024
Chad Ross AllenNovem Group independent RIAOsaic Wealth, Inc. BD affiliatedRIA to affiliated broker-dealer or bankJan 2, 2024Aug 25, 2025 (601 d)
Alec John QuaidNovem Group independent RIAPrivate Advisor Group, LLC BD affiliatedRIA to affiliated broker-dealer or bankNov 1, 2023Nov 7, 2023
Stephen Thomas MitchellNovem Group independent RIAAlesco Advisors LLC mixed wealthRIA to RIAJan 2, 2023Feb 7, 2023 (36 d)
Robert C HayesNovem Group independent RIABright Futures Wealth Management, LLC independent RIARIA to RIASep 14, 2022Aug 13, 2022
Charles Edward RuffNovem Group independent RIACobblestone Capital Advisors, LLC independent RIARIA to RIAJul 21, 2022Aug 5, 2022
Thomas K LyonsNovem Group independent RIAHorizon Investments LLC asset managerOtherJun 22, 2022Jun 6, 2022
Allison Marie HorakNovem Group independent RIAAllen Capital Group, LLC independent RIARIA to RIAApr 19, 2021May 13, 2021
Angelo Anthony CostanzaNovem Group independent RIALPL Financial LLC independent RIARIA to RIAJul 2, 2019Jul 5, 2019
John William PoseyNovem Group independent RIAPlains Advisory LLC state registeredRIA to a state-registered adviserJan 4, 2019Jan 22, 2019
Shane Tyler WissmannNovem Group independent RIAAllen Capital Group, LLC independent RIARIA to RIAJan 4, 2019Jan 9, 2019
Calvin John KlemmerNovem Group independent RIAMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseRIA to wirehouseDec 4, 2018Dec 19, 2018
Alexander Mcdowell GarfieldNovem Group independent RIATd Ameritrade, Inc. no RAUMOtherJul 27, 2018Oct 23, 2018 (88 d)
Thomas K QueriNovem Group otherMML Investors Services, LLC otherOtherApr 27, 2017Jan 10, 2018 (258 d)
Teresa Ann HemannNovem Group otherLegend Advisory, LLC otherOtherMay 20, 2016Mar 1, 2018 (650 d)
Sharla EnglerthNovem Group otherFidelity Personal And Workplace Advisors BD affiliatedOtherAug 4, 2014Jul 8, 2021 (2530 d)
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17 moves match.