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
Christopher John PicciurroSii Investments, Inc. otherWoodbury Financial Services, Inc. BD affiliatedOtherNov 10, 2017Jan 16, 2018 (67 d)
Paul Joseph FerrignoSii Investments, Inc. otherFsc Securities Corporation BD affiliatedOtherNov 10, 2017Nov 10, 2017
Gregory Steven CasperSii Investments, Inc. otherWoodbury Financial Services, Inc. BD affiliatedOtherNov 10, 2017Nov 10, 2017
Nicolette Joan HarneySii Investments, Inc. otherFsc Securities Corporation BD affiliatedOtherNov 10, 2017Nov 10, 2017
Patrick William HorwitzSii Investments, Inc. otherSsn Advisory, Inc. otherOtherNov 7, 2017Nov 8, 2017
Dennis R DercksSii Investments, Inc. otherSsn Advisory, Inc. otherOtherNov 6, 2017Nov 6, 2017
Ryan Christopher EngelsSii Investments, Inc. otherSsn Advisory, Inc. otherOtherNov 6, 2017Nov 6, 2017
Steven James LautenschlagerSii Investments, Inc. otherSsn Advisory, Inc. otherOtherNov 6, 2017Nov 6, 2017
Christopher Robert BrickheimerSii Investments, Inc. otherWoodbury Financial Services, Inc. BD affiliatedOtherNov 3, 2017Nov 3, 2017
Michelle BergmannSii Investments, Inc. otherWoodbury Financial Services, Inc. BD affiliatedOtherNov 3, 2017Nov 3, 2017
Steven Matthew BroughtonSii Investments, Inc. otherKestra Advisory Services, LLC otherOtherNov 2, 2017Nov 7, 2017
Greg Alan SchroederSii Investments, Inc. otherWoodbury Financial Services, Inc. BD affiliatedOtherNov 2, 2017Nov 1, 2017
William Chris DavisSii Investments, Inc. otherKestra Advisory Services, LLC otherOtherNov 2, 2017Nov 2, 2017
Melody Marie GressickSii Investments, Inc. otherWoodbury Financial Services, Inc. BD affiliatedOtherNov 2, 2017Nov 1, 2017
Pamela Sue EspinosaSii Investments, Inc. otherKestra Advisory Services, LLC otherOtherNov 2, 2017Nov 1, 2017
Cynthia Jean Storm FischerSii Investments, Inc. otherAnnex Wealth Management, LLC otherOtherNov 1, 2017Dec 3, 2004
Cynthia Jean O'MearaSii Investments, Inc. otherCambridge Investment Research Advisors, Inc. otherOtherNov 1, 2017Nov 1, 2017
Steven Charles JohnsonSii Investments, Inc. otherWoodbury Financial Services, Inc. BD affiliatedOtherNov 1, 2017Oct 31, 2017
Gregory Lee LukenSii Investments, Inc. otherLuken Investment Analytics, LLC independent RIAOtherNov 1, 2017Nov 1, 2017
Ann Margaret BoydSii Investments, Inc. otherSecurities America Advisors, Inc. otherOtherNov 1, 2017Dec 7, 2017 (36 d)
Richard Wayne RamsaySii Investments, Inc. otherJ. W. Cole Advisors, Inc. otherOtherNov 1, 2017Nov 2, 2017
Eric James PelnarSii Investments, Inc. otherWoodbury Financial Services, Inc. BD affiliatedOtherNov 1, 2017Oct 31, 2017
Julie Ann CoombsSii Investments, Inc. otherArbor Point Advisors otherOtherNov 1, 2017Nov 1, 2017
Sandra J. WagnerSii Investments, Inc. otherKms Financial Services, Inc otherOtherNov 1, 2017Nov 1, 2017
David James TassoulSii Investments, Inc. otherWoodbury Financial Services, Inc. BD affiliatedOtherNov 1, 2017Oct 31, 2017
Craig Eldon SchnuelleSii Investments, Inc. otherWoodbury Financial Services, Inc. BD affiliatedOtherNov 1, 2017Nov 1, 2017
James Marvin ScholljegerdesSii Investments, Inc. otherCambridge Investment Research Advisors, Inc. otherOtherNov 1, 2017Nov 1, 2017
Jason Lee OpieSii Investments, Inc. otherWoodbury Financial Services, Inc. BD affiliatedOtherNov 1, 2017Nov 1, 2017
Michael Randolph FeredaySii Investments, Inc. otherSecurities America Advisors, Inc. otherOtherOct 31, 2017Oct 31, 2017
Steven David KurlandSii Investments, Inc. otherJ. W. Cole Advisors, Inc. otherOtherOct 31, 2017Nov 3, 2017
John D BerkleySii Investments, Inc. otherUncommon Cents Investing no RAUMOtherOct 31, 2017Oct 31, 2017
Scott Wayne HamerslySii Investments, Inc. otherSecurities America Advisors, Inc. otherOtherOct 30, 2017Oct 30, 2017
Juli Yvonne McneelySii Investments, Inc. otherWoodbury Financial Services, Inc. BD affiliatedOtherOct 30, 2017Oct 27, 2017
Patrick Robert MacgrathSii Investments, Inc. otherWoodbury Financial Services, Inc. BD affiliatedOtherOct 30, 2017Oct 27, 2017
Rebecca Jo GonzalezSii Investments, Inc. otherWoodbury Financial Services, Inc. BD affiliatedOtherOct 30, 2017Oct 27, 2017
Kevin Allan KrugerSii Investments, Inc. otherKruger Wealth Management, Inc. state registeredOtherOct 27, 2017Jan 16, 2018 (81 d)
Scott T FlemingSii Investments, Inc. otherCambridge Investment Research Advisors, Inc. otherOtherOct 27, 2017Oct 27, 2017
Kassie Ann SoulekSii Investments, Inc. otherWoodbury Financial Services, Inc. BD affiliatedOtherOct 27, 2017Oct 27, 2017
John Darren TuttSii Investments, Inc. otherCambridge Investment Research Advisors, Inc. otherOtherOct 27, 2017Oct 27, 2017
Scott Comee SoulekSii Investments, Inc. otherWoodbury Financial Services, Inc. BD affiliatedOtherOct 27, 2017Oct 27, 2017
John E EhrenfeldSii Investments, Inc. otherCambridge Investment Research Advisors, Inc. otherOtherOct 27, 2017Oct 27, 2017
Dustin Scott SoulekSii Investments, Inc. otherWoodbury Financial Services, Inc. BD affiliatedOtherOct 27, 2017Oct 27, 2017
Kyla MechuraSii Investments, Inc. otherCambridge Investment Research Advisors, Inc. otherOtherOct 27, 2017Oct 27, 2017
Gerald Paul GillespieSii Investments, Inc. otherWoodbury Financial Services, Inc. otherOtherOct 26, 2017Oct 25, 2017
Michael Lawrence SavoltSii Investments, Inc. otherWoodbury Financial Services, Inc. otherOtherOct 26, 2017Oct 25, 2017
Daniel James WeberSii Investments, Inc. otherWoodbury Financial Services, Inc. otherOtherOct 26, 2017Oct 26, 2017
Dominic A ReinerioSii Investments, Inc. otherWoodbury Financial Services, Inc. otherOtherOct 26, 2017Oct 25, 2017
Bryan Larry GrantSii Investments, Inc. otherWoodbury Financial Services, Inc. otherOtherOct 26, 2017Oct 25, 2017
Chase Anthony Vande YachtSii Investments, Inc. otherWoodbury Financial Services, Inc. otherOtherOct 26, 2017Oct 25, 2017
Karen Lynne WeberSii Investments, Inc. otherWoodbury Financial Services, Inc. otherOtherOct 26, 2017Oct 26, 2017
Julie J WoelfelSii Investments, Inc. otherWoodbury Financial Services, Inc. otherOtherOct 26, 2017Oct 26, 2017
Debra Anne DeleersSii Investments, Inc. otherN.E.W. Advisory Services, LLC no RAUMOtherOct 24, 2017Nov 15, 2017
Russell Eugene KenitzerSii Investments, Inc. otherWoodbury Financial Services, Inc. otherOtherOct 23, 2017Oct 20, 2017
John Patrick WhiteSii Investments, Inc. otherGeneos Wealth Management, Inc. otherOtherOct 23, 2017Oct 23, 2017
Tom Vincent BrattainSii Investments, Inc. otherSecurities America Advisors, Inc. otherOtherOct 20, 2017Oct 23, 2017
Michael Stephen MyersSii Investments, Inc. otherSecurities America Advisors, Inc. otherOtherOct 20, 2017Oct 20, 2017
Michael W PattersonSii Investments, Inc. otherSecurities America Advisors, Inc. otherOtherOct 20, 2017Oct 23, 2017
Steven Wayne CramSii Investments, Inc. otherSecurities America Advisors, Inc. otherOtherOct 19, 2017Oct 18, 2017
George Edward MillerSii Investments, Inc. otherWoodbury Financial Services, Inc. otherOtherOct 19, 2017Oct 19, 2017
Dustin AbelsSii Investments, Inc. otherSecurities America Advisors, Inc. otherOtherOct 19, 2017Oct 19, 2017
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488 moves match.