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 Capital Analysts

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
Travis Matthew OconnorCapital Analysts BD affiliatedAmeriprise Financial Services, LLC national BDAffiliated broker-dealer or bank to anotherSep 29, 2020Sep 30, 2020
Brian FrambesCapital Analysts BD affiliatedMML Investors Services, LLC BD affiliatedAffiliated broker-dealer or bank to anotherSep 23, 2020Jun 23, 2021 (273 d)
Hayes Patrick GriffinCapital Analysts BD affiliatedAdvisors Asset Management, Inc. otherOtherSep 23, 2020Oct 6, 2020
Stephen James SchugCapital Analysts BD affiliatedOn Investment Management Co BD affiliatedAffiliated broker-dealer or bank to anotherSep 15, 2020Jun 16, 2021 (274 d)
Nathan Hatch BilleterCapital Analysts BD affiliatedLincoln Investment BD affiliatedAffiliated broker-dealer or bank to anotherAug 12, 2020Sep 4, 2019
Lawrence Wayne GrayCapital Analysts BD affiliatedGradient Advisors, LLC independent RIAAffiliated broker-dealer or bank to independent RIAAug 12, 2020Aug 21, 2020
Jonathan Kirk CarrollCapital Analysts BD affiliatedLincoln Investment BD affiliatedAffiliated broker-dealer or bank to anotherAug 12, 2020Jul 19, 2019
Earl Carl RobinsonCapital Analysts BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherJul 24, 2020Jun 30, 2020
Ryan Anthony WeberCapital Analysts BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherJul 24, 2020Jun 29, 2020
Giuseppe VitaleCapital Analysts BD affiliatedHudson Financial Advisors Inc state registeredAffiliated broker-dealer or bank to a state-registered adviserJul 24, 2020Jul 14, 2020
Matthew Eric StockburgerCapital Analysts BD affiliatedVanguard Advisers, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherJul 24, 2020Sep 24, 2020 (62 d)
Richard WenzelCapital Analysts BD affiliatedWells Fargo Advisors wirehouseAffiliated broker-dealer or bank to wirehouseJun 11, 2020Nov 3, 2023 (1240 d)
Andrew Todd BucksnerCapital Analysts BD affiliatedLincoln Investment BD affiliatedAffiliated broker-dealer or bank to anotherJun 10, 2020May 3, 2019
Richard William WassonCapital Analysts BD affiliatedLincoln Investment BD affiliatedAffiliated broker-dealer or bank to anotherMay 21, 2020Feb 15, 2019
Ioannis Kyriakos ProfylienosCapital Analysts BD affiliatedEquitable Advisors, LLC national BDAffiliated broker-dealer or bank to anotherMay 12, 2020May 11, 2020
Dean Michael MackeyCapital Analysts BD affiliatedEdward Jones national BDAffiliated broker-dealer or bank to anotherMay 12, 2020May 3, 2021 (356 d)
Sean Thomas MelicanCapital Analysts BD affiliatedKeystone Financial Group, LLC independent RIAAffiliated broker-dealer or bank to independent RIAMay 11, 2020Feb 4, 2025 (1730 d)
Graham John WilsonCapital Analysts BD affiliatedCommonwealth Financial Network national BDAffiliated broker-dealer or bank to anotherMay 1, 2020May 13, 2020
Duncan Graham WilsonCapital Analysts BD affiliatedCommonwealth Financial Network national BDAffiliated broker-dealer or bank to anotherMay 1, 2020May 1, 2020
Tyson Joseph AsayCapital Analysts BD affiliatedRaymond James & Associates, Inc. national BDAffiliated broker-dealer or bank to anotherMar 2, 2020Mar 4, 2020
Steven McintyreCapital Analysts BD affiliatedFbl Wealth Management, LLC no RAUMOtherJan 27, 2020Feb 14, 2020
Robert James BurdumyCapital Analysts BD affiliatedWealthcare Advisory Partners LLC independent RIAAffiliated broker-dealer or bank to independent RIAJan 10, 2020Feb 14, 2020 (35 d)
Robin S SpencerCapital Analysts BD affiliatedPruco Securities, LLC BD affiliatedAffiliated broker-dealer or bank to anotherDec 10, 2019Dec 2, 2019
Gregory Michael CecchiniCapital Analysts BD affiliatedPrimoris Wealth Advisors, LLC independent RIAAffiliated broker-dealer or bank to independent RIASep 24, 2019Mar 17, 2022 (905 d)
Alec SmithCapital Analysts BD affiliatedBrookstone Capital Management LLC independent RIAAffiliated broker-dealer or bank to independent RIASep 19, 2019Jan 13, 2020 (116 d)
William Elmer McguireCapital Analysts BD affiliatedTag Wealth Advisors state registeredAffiliated broker-dealer or bank to a state-registered adviserSep 13, 2019Sep 10, 2019
Nicole AndreCapital Analysts BD affiliatedLincoln Investment otherOtherSep 12, 2019Jul 20, 2017
Ian Thomas PrymakCapital Analysts BD affiliatedAmeriprise Financial Services, LLC national BDAffiliated broker-dealer or bank to anotherSep 6, 2019Oct 7, 2019 (31 d)
Michael S TarasCapital Analysts BD affiliatedUBS Financial Services Inc. wirehouseAffiliated broker-dealer or bank to wirehouseAug 29, 2019Sep 3, 2019
Jeffrey Navarra TomanengCapital Analysts BD affiliatedLion Street Advisors, LLC BD affiliatedAffiliated broker-dealer or bank to anotherAug 14, 2019Sep 12, 2019
Philip LennoxCapital Analysts BD affiliatedAllstate Financial Advisors, LLC BD affiliatedAffiliated broker-dealer or bank to anotherJul 15, 2019Dec 24, 2019 (162 d)
Domini Marie AllisonCapital Analysts BD affiliatedCambridge Investment Research Advisors, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherJul 2, 2019Jun 28, 2019
Joseph Corey HowardCapital Analysts BD affiliatedLincoln Investment otherOtherJun 27, 2019Jan 19, 2017
Neil Christopher GuarniereCapital Analysts BD affiliatedLion Street Advisors, LLC BD affiliatedAffiliated broker-dealer or bank to anotherJun 25, 2019Sep 17, 2019 (84 d)
Michael Joseph MasilunasCapital Analysts BD affiliatedSolid Oak Advisory state registeredAffiliated broker-dealer or bank to a state-registered adviserJun 20, 2019Jun 18, 2019
Kevin Michael WilliamsCapital Analysts BD affiliatedWh Cornerstone Investments Inc. independent RIAAffiliated broker-dealer or bank to independent RIAJun 7, 2019Jul 2, 2019
Robert Allan PalmaCapital Analysts BD affiliatedRegal Investment Advisors LLC BD affiliatedAffiliated broker-dealer or bank to anotherJun 7, 2019Jun 6, 2019
Rommel GarciaCapital Analysts BD affiliatedMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseAffiliated broker-dealer or bank to wirehouseJun 6, 2019Aug 21, 2019 (76 d)
Jessica Kenney DreicerCapital Analysts BD affiliatedLincoln Investment BD affiliatedAffiliated broker-dealer or bank to anotherMay 30, 2019May 14, 2018
Christopher Anthony LundCapital Analysts BD affiliatedCwm, LLC independent RIAAffiliated broker-dealer or bank to independent RIAApr 25, 2019Apr 30, 2019
Ricky Lawson CarrollCapital Analysts BD affiliatedGwn Securities Inc. BD affiliatedAffiliated broker-dealer or bank to anotherApr 18, 2019May 14, 2019
David Leon ShellyCapital Analysts BD affiliatedCharles Schwab & Co., Inc. national BDAffiliated broker-dealer or bank to anotherApr 16, 2019Apr 22, 2019
William J. TeagueCapital Analysts BD affiliatedOsaic Wealth, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherApr 2, 2019Mar 29, 2019
William Jesse TeagueCapital Analysts BD affiliatedOsaic Wealth, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherApr 2, 2019Mar 29, 2019
Robert Merrill SeamanCapital Analysts BD affiliatedCambridge Investment Research Advisors, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherMar 1, 2019Mar 5, 2019
Ralph Philip LebkuecherCapital Analysts BD affiliatedShadowridge Asset Management, LLC independent RIAAffiliated broker-dealer or bank to independent RIAFeb 5, 2019Jan 28, 2019
Christopher Robert HousenCapital Analysts BD affiliatedMariner Wealth Advisors otherOtherJan 10, 2019Jul 22, 2014
Paul Jude ConfortiCapital Analysts BD affiliatedMariner Wealth Advisors otherOtherJan 10, 2019Jul 22, 2014
Christopher Alan LukasCapital Analysts BD affiliatedMariner Wealth Advisors otherOtherJan 10, 2019Jul 22, 2014
George M. SteinerCapital Analysts BD affiliatedMariner Wealth Advisors otherOtherJan 10, 2019Jul 22, 2014
Ian Marcello AguilarCapital Analysts BD affiliatedB&C Financial Advisors independent RIAAffiliated broker-dealer or bank to independent RIANov 20, 2018Feb 7, 2019 (79 d)
Peter Francis PabonCapital Analysts BD affiliatedCetera Investment Advisers LLC BD affiliatedAffiliated broker-dealer or bank to anotherOct 29, 2018Mar 21, 2024 (1970 d)
Angela GordonCapital Analysts BD affiliatedHornor, Townsend & Kent, LLC BD affiliatedAffiliated broker-dealer or bank to anotherOct 15, 2018Dec 3, 2018 (49 d)
Marney SkinnerCapital Analysts BD affiliatedEagle Strategies LLC BD affiliatedAffiliated broker-dealer or bank to anotherOct 5, 2018Feb 25, 2019 (143 d)
Patrick Joseph KnoxCapital Analysts BD affiliatedLPL Financial LLC independent RIAAffiliated broker-dealer or bank to independent RIAJul 1, 2018Jun 29, 2018
Patrick Robert HousenCapital Analysts BD affiliatedHousen Financial Group, Inc. otherOtherMay 25, 2018Jul 25, 2012
Brett William OrvietoCapital Analysts BD affiliatedDakota Wealth, LLC independent RIAAffiliated broker-dealer or bank to independent RIAMay 8, 2018Jun 13, 2018 (36 d)
Randy Lee SwopeCapital Analysts BD affiliatedPrimerica Advisors national BDAffiliated broker-dealer or bank to anotherMay 7, 2018Mar 5, 2020 (668 d)
Randall Kent RinderknechtCapital Analysts BD affiliatedGradient Wealth Management BD affiliatedAffiliated broker-dealer or bank to anotherApr 13, 2018Apr 13, 2018
Gordon Jay ForgioneCapital Analysts BD affiliatedLincoln Investment otherOtherApr 10, 2018Jul 12, 2017
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371 moves match.