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 Investment Professionals, 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
Brian Keith SurovikInvestment Professionals, Inc. BD affiliatedCetera Investment Services LLC otherOtherOct 8, 2018May 30, 2007
Kimberly Sue TinholtInvestment Professionals, Inc. BD affiliatedOsaic Institutions, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherSep 13, 2018Sep 11, 2018
Jaime Lynn WynsmaInvestment Professionals, Inc. BD affiliatedOsaic Institutions, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherSep 13, 2018Sep 11, 2018
Luis Justo GonzalezInvestment Professionals, Inc. BD affiliatedOsaic Institutions, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherAug 29, 2018Aug 27, 2018
Kathy Burnett BartonInvestment Professionals, Inc. BD affiliatedLPL Financial LLC independent RIAAffiliated broker-dealer or bank to independent RIAAug 3, 2018Jul 31, 2018
Donald David TomlinInvestment Professionals, Inc. BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherAug 3, 2018Aug 3, 2020 (731 d)
Robert Thomas MastersInvestment Professionals, Inc. BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherAug 3, 2018Aug 3, 2020 (731 d)
Pamela MalaraInvestment Professionals, Inc. BD affiliatedCetera Investment Advisers LLC BD affiliatedAffiliated broker-dealer or bank to anotherAug 2, 2018Aug 1, 2018
Arthur Joseph SmithInvestment Professionals, Inc. BD affiliatedLPL Financial LLC independent RIAAffiliated broker-dealer or bank to independent RIAAug 2, 2018Jul 30, 2018
Brian James SmithInvestment Professionals, Inc. BD affiliatedLPL Financial LLC independent RIAAffiliated broker-dealer or bank to independent RIAAug 2, 2018Jul 30, 2018
Joseph Dominick MalaraInvestment Professionals, Inc. BD affiliatedCetera Investment Advisers LLC BD affiliatedAffiliated broker-dealer or bank to anotherAug 2, 2018Aug 1, 2018
Ryan Dean BuckInvestment Professionals, Inc. BD affiliatedOn Investment Management Co BD affiliatedAffiliated broker-dealer or bank to anotherJul 31, 2018Jul 30, 2018
Nicholas Justin DickinsonInvestment Professionals, Inc. BD affiliatedAllstate Financial Advisors, LLC BD affiliatedAffiliated broker-dealer or bank to anotherJul 11, 2018Jul 13, 2018
Timothy Kenneth MeyersInvestment Professionals, Inc. BD affiliatedLPL Financial LLC independent RIAAffiliated broker-dealer or bank to independent RIAJul 10, 2018Jul 6, 2018
Sarah Kathryn LindellInvestment Professionals, Inc. BD affiliatedLPL Financial LLC independent RIAAffiliated broker-dealer or bank to independent RIAJul 10, 2018Jul 6, 2018
Alexander Oakman DehaanInvestment Professionals, Inc. BD affiliatedVoya Financial Advisors, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherJul 5, 2018Jul 11, 2018
Robert Aubrey HartInvestment Professionals, Inc. BD affiliatedCetera Investment Advisers LLC BD affiliatedAffiliated broker-dealer or bank to anotherMay 4, 2018May 9, 2018
Aaron Scott HarveyInvestment Professionals, Inc. BD affiliatedSchwab Wealth Advisory, Inc. no RAUMOtherApr 16, 2018Jul 16, 2025 (2648 d)
John ValkenaarInvestment Professionals, Inc. otherSignator Investors, Inc. otherOtherMar 23, 2018Mar 23, 2018
Robert Steven RansdellInvestment Professionals, Inc. otherStephens BD affiliatedOtherMar 6, 2018Mar 2, 2018
Fernando PosadaInvestment Professionals, Inc. otherBb&T Securities, LLC otherOtherMar 5, 2018Mar 6, 2018
Robert P ColettaInvestment Professionals, Inc. otherLPL Financial LLC independent RIAOtherFeb 2, 2018Feb 1, 2018
Martyn Joseph BallesteroInvestment Professionals, Inc. otherAvantax Advisory Services otherOtherDec 26, 2017Jan 5, 2018
Marcus Craig CarpenterInvestment Professionals, Inc. otherLPL Financial LLC independent RIAOtherDec 8, 2017Dec 7, 2017
James Bowles PenderInvestment Professionals, Inc. otherLPL Financial LLC otherOtherNov 3, 2017Nov 3, 2017
Thurston SpauldingInvestment Professionals, Inc. otherAtegra Capital Management, LLC independent RIAOtherNov 3, 2017May 8, 2019 (551 d)
Craig Scott SabloskyInvestment Professionals, Inc. otherLPL Financial LLC otherOtherNov 3, 2017Nov 3, 2017
Gregory Wade GobbleInvestment Professionals, Inc. otherCetera Investment Advisers LLC otherOtherOct 30, 2017Oct 30, 2017
Robert Allen WojcikInvestment Professionals, Inc. otherSpc otherOtherOct 23, 2017Oct 24, 2017
Christopher M MillerInvestment Professionals, Inc. otherJ.P. Morgan Securities LLC wirehouseOtherSep 25, 2017Oct 6, 2017
Christopher Owen MenserInvestment Professionals, Inc. otherEdward Jones national BDOtherSep 25, 2017Oct 23, 2017
John Joseph NooneInvestment Professionals, Inc. otherCitizens Securities, Inc. otherOtherAug 2, 2017Oct 24, 2017 (83 d)
Michael Louis DarbyInvestment Professionals, Inc. otherWells Fargo Advisors wirehouseOtherJul 26, 2017Jul 26, 2017
Srdjan BlumInvestment Professionals, Inc. otherTitleist Asset Management, LLC independent RIAOtherJul 26, 2017Apr 17, 2023 (2091 d)
Jeromy Austin WhiteInvestment Professionals, Inc. otherTitleist Asset Management, LLC independent RIAOtherJul 26, 2017Apr 17, 2023 (2091 d)
Christopher RawsonInvestment Professionals, Inc. otherTitleist Asset Management, LLC no RAUMOtherJul 25, 2017Mar 1, 2023 (2045 d)
Scott Allen BarnesInvestment Professionals, Inc. otherS.B. Value Partners, L.P. otherOtherJul 3, 2017Mar 21, 2007
Bryan Eric AbbottInvestment Professionals, Inc. otherS.B. Value Partners, L.P. otherOtherJul 3, 2017Jul 3, 2017
Christopher Ryan ThompsonInvestment Professionals, Inc. otherS.B. Value Partners, L.P. otherOtherJul 3, 2017Jul 3, 2017
Kevin Andrew CuddieInvestment Professionals, Inc. otherS.B. Value Partners, L.P. otherOtherJul 3, 2017Jul 5, 2017
John Vito SacchettiInvestment Professionals, Inc. otherS.B. Value Partners, L.P. otherOtherJul 3, 2017Jul 3, 2017
Jeremy Stephen PenningtonInvestment Professionals, Inc. otherS.B. Value Partners, L.P. otherOtherJul 3, 2017Jul 3, 2017
Timothy Steven FlaniganInvestment Professionals, Inc. otherWells Fargo Advisors wirehouseOtherJun 19, 2017Jun 19, 2017
Jennifer Alice HarrisInvestment Professionals, Inc. otherPnc Managed Account Solutions, Inc. otherOtherJun 7, 2017Jun 29, 2017
Jason Michael BurdineInvestment Professionals, Inc. otherInvestment Centers Of America, Inc. otherOtherMay 30, 2017May 2, 2017
Clifford Brian BurchInvestment Professionals, Inc. otherMcnally Financial Services Corporation state registeredOtherMay 30, 2017May 17, 2017
Brenda Brooks RocchioInvestment Professionals, Inc. otherLawing Financial Inc otherOtherMay 2, 2017May 8, 2017
Kevin DaleyInvestment Professionals, Inc. otherSantander Securities otherOtherMay 1, 2017Jun 2, 2017 (32 d)
Tony KangInvestment Professionals, Inc. otherB. Riley Wealth Advisors, Inc. otherOtherApr 24, 2017Apr 21, 2017
Jocelyn CatesInvestment Professionals, Inc. otherEdward Jones national BDOtherApr 4, 2017Apr 10, 2017
Alberto PuentesInvestment Professionals, Inc. otherJ.P. Morgan Securities LLC wirehouseOtherMar 28, 2017Apr 7, 2025 (2932 d)
Sam G GarrardInvestment Professionals, Inc. otherTruist Advisory Services, Inc. otherOtherMar 27, 2017Mar 29, 2017
Roger SuchyInvestment Professionals, Inc. otherAssociated Investment Services, Inc. otherOtherMar 20, 2017Mar 27, 2017
Adam GonzalesInvestment Professionals, Inc. otherJ.P. Morgan Securities LLC wirehouseOtherJan 19, 2017Feb 15, 2017
Paul HarneyInvestment Professionals, Inc. otherCondon Wealth Management, Inc. independent RIAOtherJan 5, 2017Feb 6, 2017 (32 d)
Aaron Keith UlrichInvestment Professionals, Inc. otherMercurio Wealth Advisors independent RIAOtherJan 4, 2017Nov 2, 2017 (302 d)
Adam Mark EisenhauerInvestment Professionals, Inc. otherAdvisors Asset Management, Inc. otherOtherJan 3, 2017Apr 5, 2017 (92 d)
Michelle Lee SearsInvestment Professionals, Inc. otherTrustmont Advisory Group, Inc. otherOtherDec 20, 2016Aug 1, 2017 (224 d)
Randy Allan OlfersInvestment Professionals, Inc. otherVerity Asset Management independent RIAOtherNov 29, 2016Jul 11, 2023 (2415 d)
Stefan RainerInvestment Professionals, Inc. otherPnc Wealth Management otherOtherNov 7, 2016Oct 25, 2016
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242 moves match.