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 Pfg 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
Brian Christopher LockPfg Advisors independent RIAUniversal Financial Advisors, LLC no RAUMRIA to a newly registered adviserAug 10, 2022May 11, 2022
Justin C JollyPfg Advisors independent RIAMutual Advisors, LLC BD affiliatedRIA to affiliated broker-dealer or bankAug 1, 2022Aug 11, 2022
Ryan Michael GrahamPfg Advisors independent RIAFidelity Personal And Workplace Advisors BD affiliatedRIA to affiliated broker-dealer or bankMay 25, 2022Aug 4, 2022 (71 d)
Peter Joseph SmegielskiPfg Advisors independent RIAArbor Point Advisors BD affiliatedRIA to affiliated broker-dealer or bankMar 1, 2022Feb 17, 2022
Abraham CecenaPfg Advisors independent RIAAmeriprise Financial Services, LLC national BDRIA to affiliated broker-dealer or bankJan 31, 2022Feb 2, 2022
Robert John BarnesPfg Advisors independent RIAMariner BD affiliatedRIA to affiliated broker-dealer or bankDec 10, 2021Jan 21, 2022 (42 d)
Brian E OrrPfg Advisors independent RIACetera Investment Advisers LLC BD affiliatedRIA to affiliated broker-dealer or bankDec 9, 2021Feb 9, 2022 (62 d)
Andres Antonio FavelaPfg Advisors independent RIAContinuum Advisory, LLC independent RIARIA to RIADec 4, 2021Dec 16, 2021
Jenny Lynn OlsonedwardsPfg Advisors independent RIAAcorns independent RIARIA to RIAMay 14, 2021Jun 15, 2021 (32 d)
Phil McnultyPfg Advisors independent RIAVerus Capital Partners, LLC independent RIARIA to RIAJan 6, 2021Jan 11, 2021
Grant Robert GermscheidPfg Advisors independent RIALPL Financial LLC BD affiliatedRIA to affiliated broker-dealer or bankJan 6, 2021Jan 4, 2021
Brett M GattaPfg Advisors independent RIAIndependent Financial Group, LLC BD affiliatedRIA to affiliated broker-dealer or bankJul 31, 2020Dec 24, 2025 (1972 d)
Charles Knapp RandallPfg Advisors independent RIAContinuum Advisory, LLC independent RIARIA to RIAJul 21, 2020Jul 27, 2020
Tracie M ReithmannPfg Advisors independent RIAOneamerica Securities, Inc. BD affiliatedRIA to affiliated broker-dealer or bankMar 6, 2020Feb 19, 2020
Keith Terrence KleinPfg Advisors independent RIAThe Ameriflex Group no RAUMRIA to a newly registered adviserJan 31, 2020Feb 1, 2020
Mark John FaberPfg Advisors independent RIAAllstate Financial Advisors, LLC BD affiliatedRIA to affiliated broker-dealer or bankJan 22, 2020Apr 5, 2021 (439 d)
Ronny InnigerPfg Advisors independent RIAU.S. Bancorp Investments, Inc. BD affiliatedRIA to affiliated broker-dealer or bankJan 3, 2020May 11, 2020 (129 d)
Terry GravelyPfg Advisors independent RIAMorgan Stanley wirehouseRIA to wirehouseDec 9, 2019Jan 12, 2021 (400 d)
Larisa HolidayPfg Advisors independent RIACommonwealth Financial Network national BDRIA to affiliated broker-dealer or bankNov 29, 2019Dec 4, 2019
Nicholas Curran KolataPfg Advisors independent RIAMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseRIA to wirehouseJul 24, 2019Jul 22, 2019
Joseph Frank KroleskiPfg Advisors independent RIAUnited Planners' Financial Services Of America A Limited Partner independent RIARIA to RIADec 31, 2018Jun 4, 2019 (155 d)
Kevin Jay AguasPfg Advisors independent RIACross State Financial Group LLC independent RIARIA to RIADec 10, 2018Dec 20, 2018
Gregory Michael LinneburPfg Advisors independent RIACuso Financial Services, L.P. BD affiliatedRIA to affiliated broker-dealer or bankNov 19, 2018Oct 3, 2018
Patrick ThorPfg Advisors independent RIAComerica Securities bank affiliatedOtherApr 19, 2018Oct 30, 2019 (559 d)
James Howard AllenPfg Advisors otherLPL Financial LLC otherOtherNov 6, 2017Jul 6, 2017
Aaron LampertPfg Advisors otherJ.P. Morgan Securities LLC wirehouseOtherOct 26, 2017Nov 13, 2017
Ellen E CoppingerPfg Advisors otherCetera Investment Advisers LLC otherOtherOct 18, 2017Oct 18, 2017
Kailen H CookPfg Advisors otherAk Financial Group independent RIAOtherOct 17, 2017Oct 20, 2017
Rodd Robert MillerPfg Advisors otherGolden State Wealth Management, LLC otherOtherOct 13, 2017Sep 13, 2017
Johnpaul LonardoPfg Advisors otherMariner Advisor Network otherOtherOct 11, 2017Jul 18, 2017
Hector GarzaPfg Advisors otherMariner Advisor Network otherOtherOct 11, 2017Jul 18, 2017
Brennan Michael KurtelaPfg Advisors otherMariner Advisor Network otherOtherOct 11, 2017Jul 17, 2017
Andrew PerceleanuPfg Advisors otherCitigroup Global Markets Inc. otherOtherOct 2, 2017Aug 18, 2017
Eric Scott MaslowskyPfg Advisors otherAlden Investment Group independent RIAOtherOct 2, 2017Mar 17, 2023 (1992 d)
Benn J SmithPfg Advisors otherCuso Financial Services, L.P. BD affiliatedOtherSep 5, 2017Jan 8, 2018 (125 d)
Ferdinand Perez PerniaPfg Advisors otherIndependent Financial Partners otherOtherJul 24, 2017May 11, 2017
Ryan Christian FuehrerPfg Advisors otherEquitable Advisors, LLC national BDOtherSep 16, 2016Sep 19, 2016
Daniel Montese BrownPfg Advisors otherMiles Brown Asset Management state registeredOtherAug 12, 2016Jul 26, 2016
Jackie Lou Daclan D'Avolio-RaquidanPfg Advisors otherU.S. Bancorp Advisors, LLC otherOtherMar 11, 2016Apr 20, 2016 (40 d)
Robin Donahue BechtelPfg Advisors otherIndependent Financial Group, LLC otherOtherDec 9, 2015Aug 8, 2016 (243 d)
Douglas Jay SattlerPfg Advisors otherCambridge Investment Research Advisors, Inc. otherOtherApr 20, 2015Jun 30, 2016 (437 d)
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101 moves match.