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 |
|---|---|---|---|---|---|
| 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 |
| Jose Alexander Bonilla | Transamerica Financial Advisors, LLC BD affiliated | Gladstone Wealth Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 29, 2024 | Apr 30, 2024 |
| Kyle Alan Ruiter | Transamerica Financial Advisors, LLC BD affiliated | Hornor, Townsend & Kent, LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 19, 2024 | Apr 11, 2024 |
| Tiffany Rivera Delarosa | Transamerica Financial Advisors, LLC BD affiliated | Meridian Venture Partners, Inc state registered | Affiliated broker-dealer or bank to a state-registered adviser | Apr 18, 2024 | Nov 8, 2024 (204 d) |
| Victor Hugo Espino | Transamerica Financial Advisors, LLC BD affiliated | Encompass More Asset Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 17, 2024 | Apr 25, 2024 |
| Stephanie Leigh Hosier | Transamerica Financial Advisors, LLC BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Apr 16, 2024 | Apr 22, 2024 |
| Susan Elizabeth Olt | Transamerica Financial Advisors, LLC BD affiliated | Margo Park Financial state registered | Affiliated broker-dealer or bank to a state-registered adviser | Apr 10, 2024 | Jul 15, 2026 (826 d) |
| Kasinee Manee-In Meyer | Transamerica Financial Advisors, LLC BD affiliated | Encompass More Asset Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 4, 2024 | May 17, 2024 (43 d) |
| Matthew Joseph Campbell | Transamerica Financial Advisors, LLC BD affiliated | Equitable Advisors, LLC national BD | Affiliated broker-dealer or bank to another | Apr 3, 2024 | Apr 2, 2024 |
| Travis Ray Christiansen | Transamerica Financial Advisors, LLC BD affiliated | Summit Global Investments, LLC mixed wealth | Affiliated broker-dealer or bank to independent RIA | Apr 2, 2024 | Jul 15, 2024 (104 d) |
| Tyrone A Chaplin | Transamerica Financial Advisors, LLC BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 2, 2024 | Apr 2, 2024 |
| Tameron Peden | Transamerica Financial Advisors, LLC BD affiliated | Truist Advisory Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 28, 2024 | Apr 8, 2024 |
| David Alvin Brown | Transamerica Financial Advisors, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 25, 2024 | Mar 22, 2024 |
| Marla Valencia Isidro | Transamerica Financial Advisors, LLC BD affiliated | Encompass More Asset Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 22, 2024 | May 2, 2024 (41 d) |
| Jamel Evan Wright | Transamerica Financial Advisors, LLC BD affiliated | Primerica Advisors national BD | Affiliated broker-dealer or bank to another | Mar 14, 2024 | May 10, 2024 (57 d) |
| Lawrence Edwards | Transamerica Financial Advisors, LLC BD affiliated | Global View Capital Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 7, 2024 | Mar 14, 2024 |
| Naoko Moriya | Transamerica Financial Advisors, LLC BD affiliated | Encompass More Asset Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 4, 2024 | Mar 8, 2024 |
| Ryan Mills | Transamerica Financial Advisors, LLC BD affiliated | State Farm Investment Management Corp. asset manager | Other | Mar 1, 2024 | Nov 12, 2025 (621 d) |
| Shaun Michael Aguilar | Transamerica Financial Advisors, LLC BD affiliated | Trajan Wealth, L.L.C. independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 29, 2024 | Jan 20, 2026 (691 d) |
| Nicholas Larry | Transamerica Financial Advisors, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 26, 2024 | Aug 1, 2024 (157 d) |
| Marites De Leon Velena | Transamerica Financial Advisors, LLC BD affiliated | Gladstone Wealth Partners BD affiliated | Affiliated broker-dealer or bank to another | Feb 21, 2024 | Feb 14, 2024 |
| Joshua Williamson | Transamerica Financial Advisors, LLC BD affiliated | Brookstone Wealth Advisors, LLC no RAUM | Other | Feb 21, 2024 | Apr 11, 2024 (50 d) |
| David Williamson | Transamerica Financial Advisors, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 21, 2024 | Feb 13, 2024 |
| Patrio David Mckenzie | Transamerica Financial Advisors, LLC BD affiliated | Proper Money Management LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jan 4, 2024 | Feb 28, 2024 (55 d) |
| Lillian Sophia Realph | Transamerica Financial Advisors, LLC BD affiliated | Tucker Asset Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 31, 2023 | Aug 30, 2024 (243 d) |
| James Christopher Wachtel | Transamerica Financial Advisors, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2023 | Apr 2, 2026 (823 d) |
| Karen Marie Zicht | Transamerica Financial Advisors, LLC BD affiliated | Creativeone Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2023 | Jan 11, 2024 |
| Philip Chukwuezugo Onochie | Transamerica Financial Advisors, LLC BD affiliated | Hornor, Townsend & Kent, LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2023 | Mar 11, 2025 (436 d) |
| Terry Alan Pigeon | Transamerica Financial Advisors, LLC BD affiliated | Gradient Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 19, 2023 | Jan 26, 2024 (38 d) |
| Henry Anthony Portillo | Transamerica Financial Advisors, LLC BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Dec 18, 2023 | May 22, 2024 (156 d) |
| Tammy Rose Taylor | Transamerica Financial Advisors, LLC BD affiliated | Vanderbilt Advisory Services BD affiliated | Affiliated broker-dealer or bank to another | Dec 15, 2023 | Nov 29, 2023 |
| Sean Michael Facey | Transamerica Financial Advisors, LLC BD affiliated | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 14, 2023 | Mar 20, 2024 (97 d) |
| Norbert Mandalupe Garcia | Transamerica Financial Advisors, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 11, 2023 | Dec 8, 2023 |
| Jason Gregory Miller | Transamerica Financial Advisors, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 11, 2023 | Dec 5, 2023 |
| George Eugene Calton | Transamerica Financial Advisors, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 11, 2023 | Dec 7, 2023 |
| Tiffany Schrader | Transamerica Financial Advisors, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 7, 2023 | Nov 20, 2023 |
| Stanley William Smrke | Transamerica Financial Advisors, LLC BD affiliated | Realta Investment Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Dec 7, 2023 | Mar 10, 2025 (459 d) |
| Heather Ukena | Transamerica Financial Advisors, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 5, 2023 | Nov 20, 2023 |
| David George Hohl | Transamerica Financial Advisors, LLC BD affiliated | Gradient Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 4, 2023 | Jun 6, 2024 (185 d) |
| Lionel Dwayne Brock | Transamerica Financial Advisors, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 4, 2023 | Dec 2, 2023 |
| Sathaporn Sathaporn Nguapha | Transamerica Financial Advisors, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 4, 2023 | Dec 5, 2023 |
| Brandt J Landin | Transamerica Financial Advisors, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 4, 2023 | Dec 2, 2023 |
| Shubh L Sethi | Transamerica Financial Advisors, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 4, 2023 | Nov 27, 2023 |
| Kimberly A. Grandinetti | Transamerica Financial Advisors, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 30, 2023 | Nov 30, 2023 |
| Trang Minh Hoang | Transamerica Financial Advisors, LLC BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 22, 2023 | Jul 9, 2024 (230 d) |
| Cynthia Lynn Hall | Transamerica Financial Advisors, LLC BD affiliated | Universal Wealth Management LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Nov 15, 2023 | Apr 30, 2025 (532 d) |
| Brian Tim Mccurdy | Transamerica Financial Advisors, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 14, 2023 | Nov 15, 2023 |
| Christopher Richard Coyer | Transamerica Financial Advisors, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 10, 2023 | Nov 14, 2023 |
| Timothy Moreno | Transamerica Financial Advisors, LLC BD affiliated | Vanderbilt Advisory Services BD affiliated | Affiliated broker-dealer or bank to another | Nov 6, 2023 | Nov 3, 2023 |
| Deanna Lynn O'Neal | Transamerica Financial Advisors, LLC BD affiliated | Vanderbilt Advisory Services BD affiliated | Affiliated broker-dealer or bank to another | Nov 2, 2023 | Nov 15, 2023 |
| Jennifer Anne Desimone | Transamerica Financial Advisors, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 2, 2023 | Oct 31, 2023 |
| Mayu Nakagawa Daley | Transamerica Financial Advisors, LLC BD affiliated | Avantax Advisory Services BD affiliated | Affiliated broker-dealer or bank to another | Nov 1, 2023 | Oct 25, 2023 |
| Andrew Stephen Hudak | Transamerica Financial Advisors, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 1, 2023 | Nov 1, 2023 |
| Gretchen Ricker | Transamerica Financial Advisors, LLC BD affiliated | Summit Global Investments, LLC mixed wealth | Affiliated broker-dealer or bank to independent RIA | Oct 31, 2023 | Jan 1, 2026 (793 d) |
| Melissa L Kahler | Transamerica Financial Advisors, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 19, 2023 | Oct 12, 2023 |
| Michael Anthony Bajorek | Transamerica Financial Advisors, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 19, 2023 | Oct 12, 2023 |
| Trevor Robert Kengle | Transamerica Financial Advisors, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 19, 2023 | Oct 16, 2023 |
| David Sean Barkholz | Transamerica Financial Advisors, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 17, 2023 | Oct 12, 2023 |
| Kelly Anne Sauder | Transamerica Financial Advisors, LLC BD affiliated | Summit Global Investments, LLC mixed wealth | Affiliated broker-dealer or bank to independent RIA | Oct 17, 2023 | Jan 5, 2024 (80 d) |
| Julie Luther | Transamerica Financial Advisors, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 17, 2023 | Oct 12, 2023 |
1,165 moves match.