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 Transamerica Financial Advisors, 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 |
|---|---|---|---|---|---|
| Matthew Braun Taske | Transamerica Financial Advisors, LLC BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Jun 11, 2025 | Jul 21, 2025 (40 d) |
| Yang Su | Transamerica Financial Advisors, LLC BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 9, 2025 | Jul 30, 2025 (51 d) |
| Dominic Russo | Transamerica Financial Advisors, LLC BD affiliated | Gallagher Fiduciary Advisors, LLC institutional | Other | May 5, 2025 | May 19, 2025 |
| Denise Marie Daugherty | Transamerica Financial Advisors, LLC BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | May 1, 2025 | May 28, 2025 |
| Alexandra M Mickelson | Transamerica Financial Advisors, LLC BD affiliated | Lunea Wealth Management state registered | Affiliated broker-dealer or bank to a state-registered adviser | May 1, 2025 | May 29, 2025 |
| Shihua Chen | Transamerica Financial Advisors, LLC BD affiliated | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 30, 2025 | May 12, 2025 |
| Tammy Louise Borchers | Transamerica Financial Advisors, LLC BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 14, 2025 | May 5, 2025 |
| Devin Michael Mcgill | Transamerica Financial Advisors, LLC BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 4, 2025 | Apr 15, 2025 |
| Art John Dougan | Transamerica Financial Advisors, LLC BD affiliated | Assetmark, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 4, 2025 | Apr 24, 2025 |
| Mariano Cinardi | Transamerica Financial Advisors, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 3, 2025 | Apr 8, 2025 |
| Jamie Michael Johnson | Transamerica Financial Advisors, LLC BD affiliated | Global View Capital Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 13, 2025 | Mar 12, 2025 |
| Carlo Berti | Transamerica Financial Advisors, LLC BD affiliated | LPL Enterprise, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Mar 5, 2025 | Mar 24, 2025 |
| Xuejing Li | Transamerica Financial Advisors, LLC BD affiliated | American Independent Securities Group, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 19, 2025 | Feb 20, 2025 |
| Xiao Chen | Transamerica Financial Advisors, LLC BD affiliated | Lion Street Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 6, 2025 | Feb 5, 2025 |
| Richard Paul Schwab | Transamerica Financial Advisors, LLC BD affiliated | Thepartners Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 23, 2025 | May 2, 2025 (99 d) |
| Karena Zhu | Transamerica Financial Advisors, LLC BD affiliated | Destination Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 7, 2025 | Apr 4, 2025 (87 d) |
| Yohannes Worku | Transamerica Financial Advisors, LLC BD affiliated | Esi Financial Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 16, 2024 | Jan 31, 2025 (46 d) |
| Daniel Dinkins | Transamerica Financial Advisors, LLC BD affiliated | Pnc Wealth Management BD affiliated | Affiliated broker-dealer or bank to another | Dec 10, 2024 | Jul 24, 2025 (226 d) |
| Luis Young Kim | Transamerica Financial Advisors, LLC BD affiliated | Truist Advisory Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 10, 2024 | Jun 24, 2025 (196 d) |
| Avi Crane | Transamerica Financial Advisors, LLC BD affiliated | Infinity Financial Services Advisory independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 9, 2024 | Nov 25, 2025 (351 d) |
| Nicholas Mcgovern Raupp | Transamerica Financial Advisors, LLC BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Nov 22, 2024 | Nov 22, 2024 |
| Karen Major | Transamerica Financial Advisors, LLC BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 22, 2024 | Dec 9, 2024 |
| Orawicha Suraniwongse | Transamerica Financial Advisors, LLC BD affiliated | Encompass More Asset Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 14, 2024 | Feb 14, 2025 (92 d) |
| Kamel Paul Shaheen | Transamerica Financial Advisors, LLC BD affiliated | Farmers Asset Management, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Nov 6, 2024 | Sep 2, 2026 (665 d) |
| Michael A Scardaville | Transamerica Financial Advisors, LLC BD affiliated | Global View Capital Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 1, 2024 | Dec 9, 2024 (38 d) |
| Suzy X Zeng | Transamerica Financial Advisors, LLC BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 14, 2024 | Nov 11, 2024 |
| Nathan Dirk Sutherland | Transamerica Financial Advisors, LLC BD affiliated | The Ameriflex Group BD affiliated | Affiliated broker-dealer or bank to another | Oct 11, 2024 | Nov 27, 2024 (47 d) |
| Siyuan Zhang | Transamerica Financial Advisors, LLC BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 4, 2024 | Oct 4, 2024 |
| Patrick Thomas Calhan | Transamerica Financial Advisors, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 1, 2024 | Sep 30, 2024 |
| Donald W Cooley | Transamerica Financial Advisors, LLC BD affiliated | Global View Capital Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 27, 2024 | Oct 4, 2024 |
| Ikechukwu M. Ezugwu | Transamerica Financial Advisors, LLC BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Sep 25, 2024 | Oct 10, 2024 |
| Sonny Thi Hoang | Transamerica Financial Advisors, LLC BD affiliated | Equitable Advisors, LLC national BD | Affiliated broker-dealer or bank to another | Sep 20, 2024 | Oct 7, 2024 |
| Anthony Franco Dimiele | Transamerica Financial Advisors, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 10, 2024 | Sep 4, 2024 |
| Arthur Edward Feather | Transamerica Financial Advisors, LLC BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 5, 2024 | Sep 12, 2024 |
| Dante Crosa | Transamerica Financial Advisors, LLC BD affiliated | Global View Capital Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 26, 2024 | Mar 28, 2025 (214 d) |
| Theresa Ayers | Transamerica Financial Advisors, LLC BD affiliated | Hub Investment Partners, LLC mixed wealth | Affiliated broker-dealer or bank to independent RIA | Jul 16, 2024 | Jul 19, 2024 |
| Li Dong | Transamerica Financial Advisors, LLC BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 16, 2024 | Jul 17, 2024 |
| Raghu Thota | Transamerica Financial Advisors, LLC BD affiliated | Integrity Alliance, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 16, 2024 | Jul 12, 2024 |
| Datta Prasad Janamanchi | Transamerica Financial Advisors, LLC BD affiliated | Integrity Alliance, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 12, 2024 | Jul 12, 2024 |
| Chad Michael Tacia | Transamerica Financial Advisors, LLC BD affiliated | Your Ia, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jul 11, 2024 | Dec 11, 2025 (518 d) |
| Robbie Leo Perry | Transamerica Financial Advisors, LLC BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 11, 2024 | Jul 9, 2024 |
| Artur Garcia Engler-Pinto | Transamerica Financial Advisors, LLC BD affiliated | Prostatis Financial Advisors Group independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 9, 2024 | Mar 4, 2026 (603 d) |
| Reginald Lamont Venson | Transamerica Financial Advisors, LLC BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 2, 2024 | Jul 23, 2024 |
| William Charles Richards | Transamerica Financial Advisors, LLC BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 2, 2024 | Jul 8, 2024 |
| James Anthony Mirabile | Transamerica Financial Advisors, LLC BD affiliated | Esi Financial Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 28, 2024 | Jul 10, 2024 |
| Usha Monique Cervantes | Transamerica Financial Advisors, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 21, 2024 | Jun 21, 2024 |
| Wanchira Disyaboot | Transamerica Financial Advisors, LLC BD affiliated | Encompass More Asset Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 13, 2024 | Jun 25, 2024 |
| Lucy Elizabeth Matsumoto | Transamerica Financial Advisors, LLC BD affiliated | Encompass More Asset Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 13, 2024 | Jun 18, 2024 |
| Deborah Ann Handley-Cordova | Transamerica Financial Advisors, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 31, 2024 | Jun 3, 2024 |
| David William Peck | Transamerica Financial Advisors, LLC BD affiliated | Summit Global Investments, LLC mixed wealth | Affiliated broker-dealer or bank to independent RIA | May 29, 2024 | Mar 27, 2025 (302 d) |
| Vicki Landry | Transamerica Financial Advisors, LLC BD affiliated | Encompass More Asset Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 29, 2024 | Nov 15, 2024 (170 d) |
| Elizabeth Anne Ley | Transamerica Financial Advisors, LLC BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 21, 2024 | Jun 27, 2024 (37 d) |
| Ayelet Bisson | Transamerica Financial Advisors, LLC BD affiliated | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 13, 2024 | Aug 14, 2024 (93 d) |
| Donna Mae Nagel | Transamerica Financial Advisors, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 10, 2024 | May 9, 2024 |
| Dylan T Hanson | Transamerica Financial Advisors, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 10, 2024 | May 7, 2024 |
| Arthur Dell Eggman | Transamerica Financial Advisors, LLC BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 9, 2024 | Nov 12, 2024 (187 d) |
| Terry Lecompte | Transamerica Financial Advisors, LLC BD affiliated | Primerica Advisors national BD | Affiliated broker-dealer or bank to another | May 3, 2024 | Oct 25, 2024 (175 d) |
| Regina V Frias | Transamerica Financial Advisors, LLC BD affiliated | Vanderbilt Advisory Services BD affiliated | Affiliated broker-dealer or bank to another | May 2, 2024 | May 24, 2024 |
| Matthew Todd Chambers | Transamerica Financial Advisors, LLC BD affiliated | Private Advisory independent RIA | Affiliated broker-dealer or bank to independent RIA | May 2, 2024 | May 14, 2024 |
| Suzy Giorgio | Transamerica Financial Advisors, LLC BD affiliated | Summit Global Investments, LLC mixed wealth | Affiliated broker-dealer or bank to independent RIA | Apr 30, 2024 | May 14, 2024 |
1,164 moves match.