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
Cam Joel MaderSii Investments, Inc. otherCambridge Investment Research Advisors, Inc. otherOtherNov 29, 2017Nov 29, 2017
Thomas Frank KarnerSii Investments, Inc. otherSecurities America Advisors, Inc. otherOtherNov 29, 2017Nov 29, 2017
Andrew Charles FrazierSii Investments, Inc. otherSecurities America Advisors, Inc. otherOtherNov 29, 2017Nov 27, 2017
Jason BatistaSii Investments, Inc. otherSagepoint Financial, Inc. BD affiliatedOtherNov 29, 2017Nov 28, 2017
Jessica Lynn ColeSii Investments, Inc. otherSagepoint Financial, Inc. BD affiliatedOtherNov 29, 2017Nov 28, 2017
Thomas David FisherSii Investments, Inc. otherSagepoint Financial, Inc. BD affiliatedOtherNov 28, 2017Nov 28, 2017
Denise Elaine IarrobinoSii Investments, Inc. otherSagepoint Financial, Inc. BD affiliatedOtherNov 28, 2017Dec 5, 2017
Edward Lawrence KiernanSii Investments, Inc. otherSagepoint Financial, Inc. BD affiliatedOtherNov 28, 2017Nov 28, 2017
Margaret Ellen GreenSii Investments, Inc. otherSagepoint Financial, Inc. BD affiliatedOtherNov 28, 2017Nov 28, 2017
James Dale PetersSii Investments, Inc. otherSecurities America Advisors, Inc. otherOtherNov 28, 2017Nov 27, 2017
Phillip Stephen DedinskySii Investments, Inc. otherSecurities America Advisors, Inc. otherOtherNov 28, 2017Nov 27, 2017
William Lee GrossmanSii Investments, Inc. otherWoodbury Financial Services, Inc. BD affiliatedOtherNov 27, 2017Nov 28, 2017
Jacqueline Morin FrazeeSii Investments, Inc. otherCommonwealth Financial Network national BDOtherNov 27, 2017Nov 27, 2017
Anthony J PochowskiSii Investments, Inc. otherCommonwealth Financial Network national BDOtherNov 27, 2017Nov 27, 2017
Matthew Mark CuplinSii Investments, Inc. otherCommonwealth Financial Network national BDOtherNov 27, 2017Nov 27, 2017
Brandon James MasbruchSii Investments, Inc. otherCommonwealth Financial Network national BDOtherNov 27, 2017Nov 27, 2017
Patricia Elizabeth MonatSii Investments, Inc. otherWoodbury Financial Services, Inc. BD affiliatedOtherNov 24, 2017Nov 22, 2017
Kathleen Ann KennicottSii Investments, Inc. otherWoodbury Financial Services, Inc. BD affiliatedOtherNov 24, 2017Nov 22, 2017
Adam Dean SteenblockSii Investments, Inc. otherWoodbury Financial Services, Inc. BD affiliatedOtherNov 24, 2017Nov 22, 2017
Robbie Joseph HayesSii Investments, Inc. otherN.E.W. Advisory Services, LLC no RAUMOtherNov 24, 2017Nov 28, 2017
Andrew Robert HermsenSii Investments, Inc. otherN.E.W. Advisory Services, LLC no RAUMOtherNov 22, 2017Nov 22, 2017
Christopher M. KilmerSii Investments, Inc. otherUnited Planners' Financial Services Of America A Limited Partner otherOtherNov 22, 2017Nov 21, 2017
Todd Mckinley CherrySii Investments, Inc. otherSsn Advisory, Inc. otherOtherNov 21, 2017Nov 22, 2017
Nathan James VanstippenSii Investments, Inc. otherSsn Advisory, Inc. otherOtherNov 21, 2017Nov 22, 2017
Brandon Guy MartinekSii Investments, Inc. otherSsn Advisory, Inc. otherOtherNov 21, 2017Nov 22, 2017
Christopher Michael CollinsSii Investments, Inc. otherSecurities America Advisors, Inc. otherOtherNov 20, 2017Nov 22, 2017
Phillip Scott WoodSii Investments, Inc. otherAmeriprise Financial Services, LLC national BDOtherNov 17, 2017Nov 17, 2017
Randall Charles RhodesSii Investments, Inc. otherAmeriprise Financial Services, LLC national BDOtherNov 17, 2017Dec 1, 2017
Eric Jon MunkebySii Investments, Inc. otherUnited Planners' Financial Services Of America A Limited Partner otherOtherNov 17, 2017Nov 16, 2017
Thomas Edward KrautSii Investments, Inc. otherCambridge Investment Research Advisors, Inc. otherOtherNov 17, 2017Nov 17, 2017
Kenneth John KramerSii Investments, Inc. otherUnited Planners' Financial Services Of America A Limited Partner otherOtherNov 17, 2017Nov 16, 2017
Chad Everett StaskalSii Investments, Inc. otherMy Legacy Advisors, LLC no RAUMOtherNov 17, 2017Nov 17, 2017
Jonathan James GilfrySii Investments, Inc. otherAmeriprise Financial Services, LLC national BDOtherNov 17, 2017Nov 17, 2017
Mathew W HunnicuttSii Investments, Inc. otherMy Legacy Advisors, LLC no RAUMOtherNov 17, 2017Nov 22, 2017
Matthew A HobsonSii Investments, Inc. otherUnited Planners' Financial Services Of America A Limited Partner otherOtherNov 17, 2017Nov 17, 2017
Alexander Louis BushSii Investments, Inc. otherUnited Planners' Financial Services Of America A Limited Partner otherOtherNov 17, 2017Nov 16, 2017
Suzanne Lynn DanielSii Investments, Inc. otherMy Legacy Advisors, LLC no RAUMOtherNov 17, 2017Nov 22, 2017
Richard James HavenridgeSii Investments, Inc. otherAmeriprise Financial Services, LLC national BDOtherNov 17, 2017Nov 22, 2017
Eric John BurrSii Investments, Inc. otherAmeriprise Financial Services, LLC national BDOtherNov 17, 2017Nov 22, 2017
Timothy Alan KunkelSii Investments, Inc. otherSecurities America Advisors, Inc. otherOtherNov 16, 2017Nov 16, 2017
Erin Louise GunnellSii Investments, Inc. otherWoodbury Financial Services, Inc. BD affiliatedOtherNov 16, 2017Nov 16, 2017
Peter John MolesaSii Investments, Inc. otherWoodbury Financial Services, Inc. BD affiliatedOtherNov 16, 2017Nov 16, 2017
David Robert DemoreSii Investments, Inc. otherWoodbury Financial Services, Inc. BD affiliatedOtherNov 16, 2017Nov 15, 2017
Donald Michael DenstaedtSii Investments, Inc. otherWoodbury Financial Services, Inc. BD affiliatedOtherNov 16, 2017Nov 16, 2017
Jeffrey Richard HoenleSii Investments, Inc. otherWoodbury Financial Services, Inc. BD affiliatedOtherNov 16, 2017Nov 16, 2017
Gregory William HoenleSii Investments, Inc. otherWoodbury Financial Services, Inc. BD affiliatedOtherNov 16, 2017Nov 16, 2017
Mark Thomas WiseSii Investments, Inc. otherWoodbury Financial Services, Inc. BD affiliatedOtherNov 16, 2017Nov 16, 2017
Jeffrey Mark MarciniakSii Investments, Inc. otherCambridge Investment Research Advisors, Inc. otherOtherNov 15, 2017Nov 16, 2017
William Edward SnowSii Investments, Inc. otherWoodbury Financial Services, Inc. BD affiliatedOtherNov 15, 2017Nov 15, 2017
Cynthia D O'ConnellSii Investments, Inc. otherWoodbury Financial Services, Inc. BD affiliatedOtherNov 15, 2017Nov 15, 2017
Jason Michael KendallSii Investments, Inc. otherWoodbury Financial Services, Inc. BD affiliatedOtherNov 15, 2017Nov 15, 2017
Eric D IwanskiSii Investments, Inc. otherWoodbury Financial Services, Inc. BD affiliatedOtherNov 15, 2017Nov 15, 2017
Lee Thomas StoerzingerSii Investments, Inc. otherUnited Planners' Financial Services Of America A Limited Partner otherOtherNov 14, 2017Nov 13, 2017
Matthew Richard BensonSii Investments, Inc. otherUnited Planners' Financial Services Of America A Limited Partner otherOtherNov 14, 2017Nov 13, 2017
David Gordon MonkelienSii Investments, Inc. otherKms Financial Services, Inc otherOtherNov 13, 2017Nov 13, 2017
Shawn Michael McelderrySii Investments, Inc. otherSagepoint Financial, Inc. BD affiliatedOtherNov 13, 2017Nov 13, 2017
Joseph David MonkelienSii Investments, Inc. otherKms Financial Services, Inc BD affiliatedOtherNov 13, 2017Jan 8, 2019 (421 d)
Julie Ann GawareckiSii Investments, Inc. otherKms Financial Services, Inc otherOtherNov 10, 2017Nov 13, 2017
Patrick M FerrignoSii Investments, Inc. otherFsc Securities Corporation BD affiliatedOtherNov 10, 2017Nov 10, 2017
Brooke A Crane-AcreSii Investments, Inc. otherWoodbury Financial Services, Inc. BD affiliatedOtherNov 10, 2017Nov 10, 2017
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488 moves match.