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
Sarah M Zirbel NowakSii Investments, Inc. BD affiliatedMML Investors Services, LLC BD affiliatedAffiliated broker-dealer or bank to anotherDec 31, 2017Dec 3, 2019 (702 d)
Jason Daniel JohnsonSii Investments, Inc. BD affiliatedNicolet Wealth Management no RAUMOtherDec 31, 2017Aug 8, 2016
Jeffrey Michael CardozoSii Investments, Inc. BD affiliatedScarborough Capital Management independent RIAAffiliated broker-dealer or bank to independent RIADec 31, 2017Aug 28, 2018 (240 d)
Ryan Michael O'LearySii Investments, Inc. BD affiliatedNicolet Wealth Management no RAUMOtherDec 31, 2017Aug 8, 2016
William Jonathan AndrewSii Investments, Inc. BD affiliatedWoodbury Financial Services, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherDec 31, 2017Jan 2, 2018
Amy Ellen ZellnerSii Investments, Inc. BD affiliatedNicolet Wealth Management independent RIAAffiliated broker-dealer or bank to independent RIADec 31, 2017Sep 24, 2018 (267 d)
Samantha Christine HarrisSii Investments, Inc. BD affiliatedScarborough Capital Management independent RIAAffiliated broker-dealer or bank to independent RIADec 31, 2017Jul 6, 2018 (187 d)
Michael ChalleSii Investments, Inc. BD affiliatedNicolet Wealth Management independent RIAAffiliated broker-dealer or bank to independent RIADec 31, 2017Mar 20, 2018 (79 d)
Donald Phillip HafnerSii Investments, Inc. BD affiliatedForty North Wealth no RAUMAffiliated broker-dealer or bank to a newly registered adviserDec 21, 2017Dec 20, 2017
Alan Donald CooperSii Investments, Inc. BD affiliatedKovack Advisors, Inc. otherOtherDec 21, 2017Dec 21, 2017
Michael Allan DavisSii Investments, Inc. BD affiliatedForty North Wealth no RAUMAffiliated broker-dealer or bank to a newly registered adviserDec 21, 2017Dec 19, 2017
Edgar Marvin HawkinsSii Investments, Inc. BD affiliatedKovack Advisors, Inc. otherOtherDec 21, 2017Dec 22, 2017
Carl Dorsey CornagliaSii Investments, Inc. BD affiliatedKovack Advisors, Inc. otherOtherDec 21, 2017Jan 12, 2018
Peter Arnold HundtSii Investments, Inc. BD affiliatedCommonwealth Financial Network national BDAffiliated broker-dealer or bank to anotherDec 21, 2017Dec 18, 2017
Lisa Kae AdamsSii Investments, Inc. BD affiliatedCommonwealth Financial Network national BDAffiliated broker-dealer or bank to anotherDec 19, 2017Dec 19, 2017
David Gerald AdamsSii Investments, Inc. BD affiliatedCommonwealth Financial Network national BDAffiliated broker-dealer or bank to anotherDec 19, 2017Dec 19, 2017
William Paul TannerSii Investments, Inc. BD affiliatedForty North Wealth no RAUMAffiliated broker-dealer or bank to a newly registered adviserDec 19, 2017Dec 19, 2017
John FraustoSii Investments, Inc. BD affiliatedCuna Brokerage Services, Inc. mixed wealthAffiliated broker-dealer or bank to independent RIADec 19, 2017Sep 25, 2018 (280 d)
Jane Marie SnyderSii Investments, Inc. BD affiliatedWoodbury Financial Services, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherDec 18, 2017Dec 18, 2017
Michael Edward HallaSii Investments, Inc. BD affiliatedTcfg Investment Advisors, LLC independent RIAAffiliated broker-dealer or bank to independent RIADec 18, 2017Dec 5, 2018 (352 d)
Thomas Allen WittkopfSii Investments, Inc. BD affiliatedSagepoint Financial, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherDec 15, 2017Dec 15, 2017
Kevin E RustSii Investments, Inc. BD affiliatedWoodbury Financial Services, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherDec 15, 2017Dec 15, 2017
Jeremy WebbSii Investments, Inc. BD affiliatedIndependent Financial Group, LLC otherOtherDec 15, 2017Dec 15, 2017
Robert KenonSii Investments, Inc. BD affiliatedEle Advisory Services, Inc independent RIAAffiliated broker-dealer or bank to independent RIADec 15, 2017Jan 9, 2018
Richard Scott RamsaySii Investments, Inc. BD affiliatedJ. W. Cole Advisors, Inc. otherOtherDec 14, 2017Dec 14, 2017
Donald Eugene BaxterSii Investments, Inc. BD affiliatedSagepoint Financial, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherDec 13, 2017Nov 30, 2017
Michael George MartinSii Investments, Inc. otherIndependent Financial Group, LLC otherOtherDec 12, 2017Dec 12, 2017
Todd G PiontekSii Investments, Inc. otherWoodbury Financial Services, Inc. BD affiliatedOtherDec 11, 2017Dec 8, 2017
Kenneth Allan UlrichSii Investments, Inc. otherOsaic Fa, Inc. otherOtherDec 8, 2017Jan 9, 2018 (32 d)
Lee Alan RosenblumSii Investments, Inc. otherLPL Financial LLC independent RIAOtherDec 8, 2017Dec 8, 2017
John AriolaSii Investments, Inc. otherOsaic Fa, Inc. otherOtherDec 8, 2017Dec 11, 2017
George Paul CumbestSii Investments, Inc. otherSecurities America Advisors, Inc. otherOtherDec 8, 2017Dec 7, 2017
Debbi Friedman-PetersSii Investments, Inc. otherLPL Financial LLC independent RIAOtherDec 8, 2017Dec 11, 2017
Douglas James WaelchliSii Investments, Inc. otherHarbour Investments, Inc. otherOtherDec 8, 2017Dec 11, 2017
Kathryn Marie RamosSii Investments, Inc. otherLPL Financial LLC independent RIAOtherDec 8, 2017Dec 12, 2017
Frank Augustine CuencaSii Investments, Inc. otherInternational Assets Investment Management, LLC otherOtherDec 7, 2017Jan 10, 2018 (34 d)
Michael Basilio CalcoSii Investments, Inc. otherExodus Wealth, LLC otherOtherDec 7, 2017Dec 12, 2017
Jeffrey Kistler JonesSii Investments, Inc. otherFsc Securities Corporation BD affiliatedOtherDec 6, 2017Dec 5, 2017
Shawn Thomas HigginbothamSii Investments, Inc. otherFsc Securities Corporation BD affiliatedOtherDec 6, 2017Dec 12, 2017
Michael Joseph LondreSii Investments, Inc. otherN.E.W. Advisory Services, LLC no RAUMOtherDec 5, 2017Jan 12, 2018 (38 d)
Wendy J PyneSii Investments, Inc. otherGradient Advisors, LLC otherOtherDec 4, 2017Jan 23, 2018 (50 d)
Scott Edward BrownSii Investments, Inc. otherSagepoint Financial, Inc. BD affiliatedOtherDec 1, 2017Dec 6, 2017
Jason Bradley ScarcellaSii Investments, Inc. otherThe Advisory Resource Group, LLC no RAUMOtherDec 1, 2017Dec 4, 2017
Casey Charles WolffSii Investments, Inc. otherThe Advisory Resource Group, LLC independent RIAOtherDec 1, 2017Feb 28, 2018 (89 d)
Gregory Norio KimuraSii Investments, Inc. otherSecurities America Advisors, Inc. otherOtherDec 1, 2017Dec 1, 2017
Christopher Grant BrownSii Investments, Inc. otherThe Advisory Resource Group, LLC independent RIAOtherDec 1, 2017Jan 1, 2025 (2588 d)
Benjamin Randal SteeleSii Investments, Inc. otherThe Advisory Resource Group, LLC no RAUMOtherDec 1, 2017Dec 4, 2017
Andrew Maxwell AldredgeSii Investments, Inc. otherThe Advisory Resource Group, LLC no RAUMOtherDec 1, 2017Dec 6, 2017
Christina M AldredgeSii Investments, Inc. otherThe Advisory Resource Group, LLC independent RIAOtherDec 1, 2017Dec 18, 2025 (2939 d)
Aaron D PruittSii Investments, Inc. otherThe Advisory Resource Group, LLC independent RIAOtherDec 1, 2017Jan 1, 2025 (2588 d)
Justin Paul BaxterSii Investments, Inc. otherSagepoint Financial, Inc. BD affiliatedOtherDec 1, 2017Dec 6, 2017
Andrew Martin JonesSii Investments, Inc. otherThe Advisory Resource Group, LLC independent RIAOtherDec 1, 2017Feb 28, 2018 (89 d)
Kevin Paul SeegertSii Investments, Inc. otherWoodbury Financial Services, Inc. BD affiliatedOtherNov 30, 2017Nov 30, 2017
Michael Lee ErvinSii Investments, Inc. otherCambridge Investment Research Advisors, Inc. otherOtherNov 30, 2017Dec 1, 2017
Michael Gerald WhitehouseSii Investments, Inc. otherN.E.W. Advisory Services, LLC no RAUMOtherNov 30, 2017Dec 7, 2017
Larry Alan MengerinkSii Investments, Inc. otherCambridge Investment Research Advisors, Inc. otherOtherNov 30, 2017Dec 1, 2017
Christopher P NickelSii Investments, Inc. otherCambridge Investment Research Advisors, Inc. otherOtherNov 30, 2017Dec 1, 2017
Jordan Michael SeegertSii Investments, Inc. otherWoodbury Financial Services, Inc. BD affiliatedOtherNov 30, 2017Nov 30, 2017
Abbey Gail BissellSii Investments, Inc. otherCambridge Investment Research Advisors, Inc. otherOtherNov 30, 2017Dec 1, 2017
Antonio BetancourtSii Investments, Inc. otherSagepoint Financial, Inc. BD affiliatedOtherNov 29, 2017Nov 28, 2017
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488 moves match.