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 Sii Investments, Inc.

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
Ryan Joseph ArmockSii Investments, Inc. no RAUMPrivate Client Services, LLC BD affiliatedOtherJun 25, 2018Jul 19, 2018
Angela R ReseburgSii Investments, Inc. no RAUMMorgan Stanley wirehouseOtherApr 24, 2018Jul 24, 2019 (456 d)
Danielle Marie McclenahanSii Investments, Inc. no RAUMSecurities America Advisors, Inc. BD affiliatedOtherApr 24, 2018Jun 5, 2018 (42 d)
Ronald CrydermanSii Investments, Inc. no RAUMInvestment Centers Of America, Inc. otherOtherApr 24, 2018Aug 4, 2014
Beth Ann MengertSii Investments, Inc. BD affiliatedSagepoint Financial, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherMar 19, 2018Feb 28, 2020 (711 d)
Leah Jean FinkSii Investments, Inc. BD affiliatedLPL Financial LLC independent RIAAffiliated broker-dealer or bank to independent RIAMar 19, 2018Sep 17, 2018 (182 d)
Jeremy Richard GirardSii Investments, Inc. BD affiliatedSecurities America Advisors, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherFeb 20, 2018Aug 27, 2018 (188 d)
Jesse David WagnerSii Investments, Inc. BD affiliatedInvestment Centers Of America, Inc. otherOtherFeb 20, 2018Nov 4, 2014
Cynthia Eileen VanceSii Investments, Inc. BD affiliatedSterling Investment Counsel, LLC no RAUMOtherFeb 15, 2018Jun 8, 2016
Phillip Kenneth VanceSii Investments, Inc. BD affiliatedSterling Investment Counsel, LLC no RAUMOtherFeb 15, 2018Jun 8, 2016
David Joseph PtacekSii Investments, Inc. BD affiliatedTa-Check Financial Ltd. state registeredAffiliated broker-dealer or bank to a state-registered adviserFeb 15, 2018Nov 29, 2017
Christopher Michael MarksSii Investments, Inc. BD affiliatedSterling Investment Counsel, LLC no RAUMOtherFeb 15, 2018Apr 6, 2016
Murray Floyd KosminSii Investments, Inc. BD affiliatedTa-Check Financial Ltd. state registeredAffiliated broker-dealer or bank to a state-registered adviserFeb 15, 2018Dec 7, 2017
John Lawrence LangerSii Investments, Inc. BD affiliatedSterling Investment Counsel, LLC no RAUMOtherFeb 15, 2018Jun 13, 2016
Justin Scott DumkeSii Investments, Inc. BD affiliatedGranite Financial Group otherOtherFeb 15, 2018Nov 26, 2018 (284 d)
James Henry ClarkSii Investments, Inc. BD affiliatedPrivate Advisor Group, LLC otherOtherFeb 15, 2018Feb 22, 2018
Anthony John MercuriSii Investments, Inc. BD affiliatedTa-Check Financial Ltd. state registeredAffiliated broker-dealer or bank to a state-registered adviserFeb 14, 2018Nov 30, 2017
Marlene Michelle MuscovichSii Investments, Inc. BD affiliatedTa-Check Financial Ltd. state registeredAffiliated broker-dealer or bank to a state-registered adviserFeb 14, 2018Dec 7, 2017
Edward Paul GiacoSii Investments, Inc. BD affiliatedTa-Check Financial Ltd. state registeredAffiliated broker-dealer or bank to a state-registered adviserFeb 14, 2018Dec 7, 2017
Jeffrey John SaplakSii Investments, Inc. BD affiliatedTa-Check Financial Ltd. state registeredAffiliated broker-dealer or bank to a state-registered adviserFeb 14, 2018Dec 7, 2017
James Jay PersonSii Investments, Inc. BD affiliatedSynergy Financial Partners, LLC no RAUMAffiliated broker-dealer or bank to a newly registered adviserFeb 14, 2018Oct 7, 2019 (600 d)
David Edward PentekSii Investments, Inc. BD affiliatedGateway Wealth Partners, LLC independent RIAAffiliated broker-dealer or bank to independent RIAFeb 14, 2018Jul 7, 2023 (1969 d)
Daniel William RuminskiSii Investments, Inc. BD affiliatedTa-Check Financial Ltd. state registeredAffiliated broker-dealer or bank to a state-registered adviserFeb 14, 2018Dec 7, 2017
Jason Robert YuhasSii Investments, Inc. BD affiliatedTa-Check Financial Ltd. state registeredAffiliated broker-dealer or bank to a state-registered adviserFeb 14, 2018Dec 7, 2017
Sean Alan SargentSii Investments, Inc. BD affiliatedTa-Check Financial Ltd. state registeredAffiliated broker-dealer or bank to a state-registered adviserFeb 14, 2018Dec 7, 2017
Eric Dale HallSii Investments, Inc. BD affiliatedAdvisors' Pride Inc. otherOtherFeb 14, 2018Feb 23, 2018
Chad Clayton MelloSii Investments, Inc. BD affiliatedCcm Investment Management, LLC state registeredAffiliated broker-dealer or bank to a state-registered adviserFeb 14, 2018Mar 14, 2018
Christopher Lowell NowackSii Investments, Inc. BD affiliatedTa-Check Financial Ltd. state registeredAffiliated broker-dealer or bank to a state-registered adviserFeb 14, 2018Dec 7, 2017
Chelsea Lynn BlaschSii Investments, Inc. BD affiliatedSterling Investment Counsel, LLC independent RIAAffiliated broker-dealer or bank to independent RIAFeb 14, 2018Aug 16, 2021 (1279 d)
Erik Eldor BrennSii Investments, Inc. BD affiliatedGateway Wealth Partners, LLC independent RIAAffiliated broker-dealer or bank to independent RIAFeb 14, 2018Jun 2, 2025 (2665 d)
Todd Michael GerbigSii Investments, Inc. BD affiliatedWoodbury Financial Services, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherFeb 13, 2018Feb 13, 2018
Sharon GreenSii Investments, Inc. BD affiliatedAnnex Wealth Management, LLC otherOtherJan 16, 2018Jan 25, 2005
Charles Thomas PuccioSii Investments, Inc. BD affiliatedWealth Advisors Group, LLC no RAUMAffiliated broker-dealer or bank to a newly registered adviserJan 16, 2018Jan 17, 2018
Ruth Ann TsakonasSii Investments, Inc. BD affiliatedWoodbury Financial Services, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherJan 16, 2018Jan 12, 2018
Jason Alan DumontSii Investments, Inc. BD affiliatedWealth Advisors Group, LLC no RAUMAffiliated broker-dealer or bank to a newly registered adviserJan 12, 2018Jan 18, 2018
Carl Pultz FlanaganSii Investments, Inc. BD affiliatedKestra Advisory Services, LLC otherOtherJan 3, 2018Jan 4, 2018
Kittredge Lee GriffinSii Investments, Inc. BD affiliatedKestra Advisory Services, LLC otherOtherJan 3, 2018Jan 3, 2018
Steven Harris LivitzSii Investments, Inc. BD affiliatedKestra Advisory Services, LLC otherOtherJan 3, 2018Jan 3, 2018
Anthony Scott CariniSii Investments, Inc. BD affiliatedWoodbury Financial Services, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherJan 2, 2018Jan 2, 2018
Nicholas LenskiSii Investments, Inc. BD affiliatedWoodbury Financial Services, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherJan 2, 2018Jan 2, 2018
Daniel Philip HylandSii Investments, Inc. BD affiliatedFinancial Planning Services, Inc unclassifiedOtherDec 31, 2017Jun 13, 2006
Kathleen Sue DennisSii Investments, Inc. BD affiliatedIpi Wealth Management, Inc. otherOtherDec 31, 2017Jan 2, 2018
Brian HartlSii Investments, Inc. BD affiliatedNicolet Wealth Management no RAUMOtherDec 31, 2017Aug 8, 2016
Darren Lee GraysonSii Investments, Inc. BD affiliatedNicolet Wealth Management no RAUMOtherDec 31, 2017Aug 8, 2016
John Malone ChurchillSii Investments, Inc. BD affiliatedWoodbury Financial Services, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherDec 31, 2017Jan 2, 2018
Frank Anthony PerellaSii Investments, Inc. BD affiliatedWoodbury Financial Services, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherDec 31, 2017Jan 2, 2018
Michael Andrew CoracySii Investments, Inc. BD affiliatedWoodbury Financial Services, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherDec 31, 2017Jan 8, 2018
Denise M. LiddiardSii Investments, Inc. BD affiliatedJ.P. Morgan Securities LLC wirehouseAffiliated broker-dealer or bank to wirehouseDec 31, 2017Sep 28, 2018 (271 d)
Steve S FaroneSii Investments, Inc. BD affiliatedNicolet Wealth Management otherOtherDec 31, 2017Dec 23, 2016
Patrick Joseph MadsonSii Investments, Inc. BD affiliatedNicolet Wealth Management otherOtherDec 31, 2017Dec 19, 2017
Alison Ann WalkerSii Investments, Inc. BD affiliatedNicolet Wealth Management no RAUMOtherDec 31, 2017Aug 8, 2016
Nadine TarabishiSii Investments, Inc. BD affiliatedNicolet Wealth Management otherOtherDec 31, 2017Dec 27, 2016
Corey G SherfSii Investments, Inc. BD affiliatedNicolet Wealth Management no RAUMOtherDec 31, 2017Aug 8, 2016
Darrick Edward MunschSii Investments, Inc. BD affiliatedNicolet Wealth Management no RAUMOtherDec 31, 2017Aug 8, 2016
Kyle Steven AschlimanSii Investments, Inc. BD affiliatedSpc otherOtherDec 31, 2017Jan 2, 2018
Adam Michael MadsonSii Investments, Inc. BD affiliatedNicolet Wealth Management no RAUMOtherDec 31, 2017Aug 8, 2016
David Allen SizemoreSii Investments, Inc. BD affiliatedScarborough Capital Management, Inc. otherOtherDec 31, 2017Jul 19, 2011
Kyle HylandSii Investments, Inc. BD affiliatedFinancial Wealth Management, LLC otherOtherDec 31, 2017Feb 24, 2015
Anthony T WilhelmsSii Investments, Inc. BD affiliatedNicolet Wealth Management no RAUMOtherDec 31, 2017Aug 8, 2016
Danny Lee HansonSii Investments, Inc. BD affiliatedNicolet Wealth Management otherOtherDec 31, 2017Jun 12, 2017
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488 moves match.