DFX Intelligence
Advisor moves
Departures from Osaic Wealth, Inc.What a move isA 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.
2,282 moves
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| David Alan Ortiz | Osaic Wealth, Inc. BD affiliated | L&S Private Wealth, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Sep 16, 2024 | Jan 20, 2026 (491 d) |
| Marcus Shelby Woods | Osaic Wealth, Inc. BD affiliated | Csenge Advisory Group, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 13, 2024 | Dec 5, 2024 (83 d) |
| Shawn Emiko Hamada | Osaic Wealth, Inc. BD affiliated | Equitable Advisors, LLC national BD | Affiliated broker-dealer or bank to another | Sep 11, 2024 | Sep 6, 2024 |
| Anna Un Jung Kim | Osaic Wealth, Inc. BD affiliated | Equitable Advisors, LLC national BD | Affiliated broker-dealer or bank to another | Sep 11, 2024 | Jan 1, 2025 (112 d) |
| Sonnie Onaona Koko | Osaic Wealth, Inc. BD affiliated | Equitable Advisors, LLC national BD | Affiliated broker-dealer or bank to another | Sep 11, 2024 | Sep 6, 2024 |
| Thomas Leroy Deppe | Osaic Wealth, Inc. BD affiliated | Breakthru Advisory Services, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Sep 11, 2024 | Aug 8, 2024 |
| Sarah Jean Kempf Kopesky | Osaic Wealth, Inc. BD affiliated | Breakthru Advisory Services, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 11, 2024 | Jan 2, 2025 (113 d) |
| Coleman Cox | Osaic Wealth, Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Sep 11, 2024 | Jan 7, 2025 (118 d) |
| Bradley Michael Tinnin | Osaic Wealth, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 6, 2024 | Aug 28, 2024 |
| Michael I Guertin | Osaic Wealth, Inc. BD affiliated | Esi Financial Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 6, 2024 | Sep 4, 2024 |
| Irene Alexandria Grendel | Osaic Wealth, Inc. BD affiliated | Stifel, Nicolaus & Company, Incorporated national BD | Affiliated broker-dealer or bank to another | Sep 6, 2024 | Mar 7, 2025 (182 d) |
| Stephen Brent Moore | Osaic Wealth, Inc. BD affiliated | Oneascent Financial Services LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 5, 2024 | Sep 3, 2024 |
| Karen Nicole Blair | Osaic Wealth, Inc. BD affiliated | Cassaday & Company, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 5, 2024 | Jul 5, 2023 |
| Matthew John Kuhn | Osaic Wealth, Inc. BD affiliated | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 3, 2024 | Sep 30, 2024 |
| Todd Michael Bury | Osaic Wealth, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 1, 2024 | Aug 27, 2024 |
| Michael Keston Affinito | Osaic Wealth, Inc. BD affiliated | Wolf Pack Wealth state registered | Affiliated broker-dealer or bank to a state-registered adviser | Aug 30, 2024 | Oct 20, 2025 (416 d) |
| William Alexander Moir | Osaic Wealth, Inc. BD affiliated | Cassaday & Company, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 30, 2024 | Jul 2, 2024 |
| Cory Matthew Larmour | Osaic Wealth, Inc. BD affiliated | Vahanian & Associates Financial Planning Inc independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 30, 2024 | Jun 18, 2024 |
| Andrew Leland Semrau | Osaic Wealth, Inc. BD affiliated | Ausdal Financial Partners, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 29, 2024 | Aug 26, 2024 |
| Shari L Barker | Osaic Wealth, Inc. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 27, 2024 | Sep 5, 2024 |
| Daniel Lee Gilbert | Osaic Wealth, Inc. BD affiliated | First Heartland Consultants, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 20, 2024 | Aug 15, 2024 |
| Richard M Hoe | Osaic Wealth, Inc. BD affiliated | Oneamerica Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 19, 2024 | Mar 3, 2026 (561 d) |
| Paul Russell Cunningham | Osaic Wealth, Inc. BD affiliated | Regal Investment Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 9, 2024 | Jul 22, 2024 |
| Ryan Keith Gunn | Osaic Wealth, Inc. BD affiliated | Wealthcare Advisory Partners LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 8, 2024 | Aug 5, 2024 |
| Charles Keith Gunn | Osaic Wealth, Inc. BD affiliated | Wealthcare Advisory Partners LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 8, 2024 | Aug 5, 2024 |
| Pina Formicola | Osaic Wealth, Inc. BD affiliated | Independent Solutions Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 7, 2024 | Aug 14, 2024 |
| Hunter Gregory Shaw | Osaic Wealth, Inc. BD affiliated | Beacon Pointe Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 6, 2024 | Oct 9, 2024 (64 d) |
| Gabe Joseph Bowers | Osaic Wealth, Inc. BD affiliated | J. W. Cole Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 5, 2024 | Jul 29, 2024 |
| Thomas S Murray | Osaic Wealth, Inc. BD affiliated | MML Investors Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 1, 2024 | Aug 7, 2024 |
| Michael James Nichols | Osaic Wealth, Inc. BD affiliated | Independent Financial Partners BD affiliated | Affiliated broker-dealer or bank to another | Jul 29, 2024 | Jul 23, 2024 |
| Steven Cronin Castrello | Osaic Wealth, Inc. BD affiliated | Aegis Capital Corp. BD affiliated | Affiliated broker-dealer or bank to another | Jul 29, 2024 | Sep 9, 2024 (42 d) |
| Eugene John Flock | Osaic Wealth, Inc. BD affiliated | Independent Financial Partners BD affiliated | Affiliated broker-dealer or bank to another | Jul 26, 2024 | Jul 23, 2024 |
| Daniel Elliott Gryp | Osaic Wealth, Inc. BD affiliated | Independent Financial Partners BD affiliated | Affiliated broker-dealer or bank to another | Jul 26, 2024 | Jul 23, 2024 |
| David Andrew Fingerhut | Osaic Wealth, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Jul 25, 2024 | Jul 26, 2024 |
| Jerry Devon Johnson | Osaic Wealth, Inc. BD affiliated | Sequent Planning, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 22, 2024 | Nov 18, 2025 (484 d) |
| Tyler James Hartman | Osaic Wealth, Inc. BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Jul 19, 2024 | Sep 11, 2024 (54 d) |
| Stephen Neal Karp | Osaic Wealth, Inc. BD affiliated | Hornor, Townsend & Kent, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 16, 2024 | Jul 11, 2024 |
| Gerard Thomas Quinn | Osaic Wealth, Inc. BD affiliated | Prairieview Wealth & Tax Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 16, 2024 | Oct 29, 2024 (105 d) |
| Douglas Lyndon Fuqua | Osaic Wealth, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 15, 2024 | Jul 10, 2024 |
| James Francis Fergola | Osaic Wealth, Inc. BD affiliated | MML Investors Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 12, 2024 | Aug 1, 2024 |
| Brayden Kelly | Osaic Wealth, Inc. BD affiliated | Birchwood Financial Partners, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 11, 2024 | Jul 1, 2024 |
| Katelyn Alexis Cerullo | Osaic Wealth, Inc. BD affiliated | D.A. Davidson & Co. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 10, 2024 | Jul 8, 2024 |
| Logan Bailey | Osaic Wealth, Inc. BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Jul 9, 2024 | Jan 31, 2025 (206 d) |
| Jennifer Anne Rushing | Osaic Wealth, Inc. BD affiliated | Silver Oak Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 8, 2024 | Jul 9, 2024 |
| Kimberly Anne Krueger | Osaic Wealth, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Jul 7, 2024 | Jul 2, 2024 |
| Timothy Daniel Hill | Osaic Wealth, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Jul 5, 2024 | Jul 2, 2024 |
| Steven Schlegel | Osaic Wealth, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Jul 5, 2024 | Jul 2, 2024 |
| Adam Robert Crittenden | Osaic Wealth, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Jul 5, 2024 | Jul 2, 2024 |
| Eric John Krueger | Osaic Wealth, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Jul 5, 2024 | Jul 2, 2024 |
| Melissa Ann Lamarche | Osaic Wealth, Inc. BD affiliated | Johnson Bixby independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 4, 2024 | Dec 24, 2024 (173 d) |
| Philip John Petersen | Osaic Wealth, Inc. BD affiliated | Mpwm Advisory Solutions LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 2, 2024 | Jul 2, 2024 |
| Jon Robert Jarvill | Osaic Wealth, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 30, 2024 | Jun 25, 2024 |
| Gerard Rizza | Osaic Wealth, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 27, 2024 | Jun 24, 2024 |
| James Claude Kresge | Osaic Wealth, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 27, 2024 | Jun 24, 2024 |
| Alexis Schumann | Osaic Wealth, Inc. BD affiliated | Cadaret Grant & Co Inc BD affiliated | Affiliated broker-dealer or bank to another | Jun 27, 2024 | Jun 24, 2024 |
| Raymond George Seifritz | Osaic Wealth, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 27, 2024 | Jun 24, 2024 |
| Bradley Alan Warner | Osaic Wealth, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Jun 26, 2024 | Jun 24, 2024 |
| Thomas Paul Jones | Osaic Wealth, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 26, 2024 | Jun 24, 2024 |
| James Anthony Valentino | Osaic Wealth, Inc. BD affiliated | Mesirow Financial Investment Management, Inc. mixed wealth | Affiliated broker-dealer or bank to independent RIA | Jun 26, 2024 | Jul 9, 2024 |
| Alexander Kanellopoulos | Osaic Wealth, Inc. BD affiliated | Dreamvision Capital state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jun 26, 2024 | Sep 26, 2024 (92 d) |