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
Peter Timothy SimpsonInvestment Professionals, Inc. otherCuna Brokerage Services, Inc. otherOtherSep 23, 2016Oct 31, 2016 (38 d)
David Allen FinuiInvestment Professionals, Inc. otherLPL Financial LLC otherOtherSep 12, 2016Oct 14, 2016 (32 d)
Ernie G LewisInvestment Professionals, Inc. otherCuna Brokerage Services, Inc. otherOtherAug 30, 2016Dec 7, 2016 (99 d)
Maria Adriana ValenciaInvestment Professionals, Inc. otherTitleist Asset Management, LLC no RAUMOtherAug 26, 2016Mar 2, 2023 (2379 d)
Treston N TeagueInvestment Professionals, Inc. otherNorthwestern Mutual Investment Services,LLC no RAUMOtherAug 19, 2016Sep 19, 2016 (31 d)
Shannon Marlene SottileInvestment Professionals, Inc. otherOsaic Fa, Inc. otherOtherAug 10, 2016Aug 4, 2016
Charles Ross CampbellInvestment Professionals, Inc. otherU.S. Bancorp Investments, Inc. otherOtherAug 5, 2016Aug 11, 2016
Thomas Christian HallInvestment Professionals, Inc. otherCetera Investment Advisers LLC otherOtherAug 1, 2016Aug 10, 2016
Scott Dennis DillieInvestment Professionals, Inc. otherCapital Fiduciary Advisors, LLC otherOtherJul 2, 2016Jan 30, 2014
Jeffrey HoltmeierInvestment Professionals, Inc. otherWells Fargo Advisors wirehouseOtherJul 2, 2016Sep 12, 2016 (72 d)
Thomas BussoneInvestment Professionals, Inc. otherStifel, Nicolaus & Company, Incorporated national BDOtherJun 28, 2016Aug 24, 2022 (2248 d)
Michael AwwadInvestment Professionals, Inc. otherHuntington Financial Advisors otherOtherJun 1, 2016Jun 16, 2016
Joel JeffsonInvestment Professionals, Inc. otherStrategic Advisers LLC national BDOtherMay 17, 2016Jun 29, 2016 (43 d)
Denise Marie McgeeInvestment Professionals, Inc. otherCetera Advisor Networks LLC otherOtherApr 11, 2016Jan 31, 2017 (295 d)
Don Howard HartInvestment Professionals, Inc. otherOneamerica Securities, Inc. otherOtherApr 1, 2016Apr 18, 2016
Mark Andrew GuajardoInvestment Professionals, Inc. otherFrost Investment Services no RAUMOtherMar 24, 2016Feb 2, 2017 (315 d)
Christopher John MccarthyInvestment Professionals, Inc. otherTd Ameritrade, Inc. no RAUMOtherMar 11, 2016Mar 28, 2016
Joseph Yong YiInvestment Professionals, Inc. otherMML Investors Services, LLC otherOtherMar 1, 2016Apr 12, 2016 (42 d)
Candace J BurkettInvestment Professionals, Inc. otherSwbc Investment Company otherOtherFeb 16, 2016May 20, 2016 (94 d)
Michael Paul DionneInvestment Professionals, Inc. otherOsaic Fa, Inc. otherOtherDec 2, 2015Jan 11, 2016 (40 d)
Donald Glen BishopInvestment Professionals, Inc. otherInvest Financial Corporation otherOtherDec 1, 2015Dec 8, 2015
Michael Terry CandeeInvestment Professionals, Inc. otherInvest Financial Corporation otherOtherDec 1, 2015Dec 7, 2015
David Jeffrey HowardInvestment Professionals, Inc. otherInvestment Centers Of America, Inc. otherOtherNov 17, 2015Nov 2, 2015
William Marshall LooneyInvestment Professionals, Inc. otherWells Fargo Advisors wirehouseOtherNov 17, 2015Nov 3, 2015
Bryan C NeillInvestment Professionals, Inc. otherInvest Financial Corporation otherOtherNov 6, 2015Oct 20, 2015
Kyle ScottInvestment Professionals, Inc. otherWells Fargo Advisors wirehouseOtherSep 9, 2015Aug 28, 2015
Alfred FuentesInvestment Professionals, Inc. otherEdward Jones national BDOtherAug 20, 2015Oct 16, 2015 (57 d)
Christopher Jason BrownInvestment Professionals, Inc. otherPortfolio Capital Management Inc otherOtherAug 5, 2015Sep 15, 2015 (41 d)
Matthew Park BestInvestment Professionals, Inc. otherAmeriprise Financial Services, LLC national BDOtherAug 3, 2015Jul 17, 2015
Michael Edward FriedmanInvestment Professionals, Inc. otherAllstate Financial Advisors, LLC no RAUMOtherJul 31, 2015Apr 29, 2016 (273 d)
Clifton Scott Mc MillanInvestment Professionals, Inc. otherWhite Wing Wealth Management, LLC independent RIAOtherJul 30, 2015Jul 15, 2015
Dustin Tyler MeadInvestment Professionals, Inc. otherPruco Securities, LLC otherOtherJul 17, 2015Dec 15, 2015 (151 d)
Harvey William DashInvestment Professionals, Inc. otherNational Planning Corporation ("Npc Of America" In Fl & Ny) otherOtherJul 14, 2015Jun 26, 2015
Jeremiah Michael SensenigInvestment Professionals, Inc. otherMsi Financial Services, Inc. otherOtherJun 2, 2015May 29, 2015
William Henry CoxInvestment Professionals, Inc. otherFifth Third Securities, Inc. otherOtherMay 18, 2015May 6, 2015
Patrick Boyd BryantInvestment Professionals, Inc. otherNavy Federal Asset Management, LLC otherOtherMay 18, 2015Sep 3, 2015 (108 d)
Theodore Flood LeasureInvestment Professionals, Inc. otherCapital Fiduciary Advisors, LLC otherOtherApr 29, 2015Jan 30, 2015
Eliot Wayne ResterInvestment Professionals, Inc. otherState Farm Investment Management Corp. asset managerOtherApr 28, 2015Sep 12, 2018 (1233 d)
Steven Mack GrayInvestment Professionals, Inc. otherFeltl Advisors otherOtherApr 15, 2015May 19, 2015 (34 d)
Alberto TorresInvestment Professionals, Inc. otherWaddell & Reed otherOtherMar 11, 2015Feb 24, 2015
Michael Thomas SmithInvestment Professionals, Inc. otherLevel Four Advisory Services otherOtherMar 2, 2015Mar 31, 2015
Nicholas Alexander MunozInvestment Professionals, Inc. otherWells Fargo Advisors wirehouseOtherFeb 2, 2015Jan 15, 2015
Jonathan Craig LewisInvestment Professionals, Inc. otherLPL Financial LLC otherOtherDec 31, 2014Dec 19, 2014
Steven Paul LeachInvestment Professionals, Inc. otherInvestacorp Advisory Services Inc otherOtherDec 24, 2014Jan 28, 2015 (35 d)
James Moyer MillsInvestment Professionals, Inc. otherAmeriprise Financial Services, LLC national BDOtherDec 24, 2014Dec 12, 2014
Matthew Paul MorinInvestment Professionals, Inc. otherEaton Vance Management otherOtherNov 17, 2014Jul 20, 2015 (245 d)
Guy Lamar JamesInvestment Professionals, Inc. otherInvestment Centers Of America, Inc. otherOtherOct 14, 2014Oct 1, 2014
Timothy R WagenknechtInvestment Professionals, Inc. otherWoodbury Financial Services, Inc. otherOtherOct 6, 2014Sep 26, 2014
Teresa Ann MagawInvestment Professionals, Inc. otherOsaic Fa, Inc. otherOtherSep 2, 2014Aug 18, 2014
Rodney N BrownInvestment Professionals, Inc. otherNational Planning Corporation ("Npc Of America" In Fl & Ny) otherOtherAug 15, 2014Aug 1, 2014
Ellis Gerald MitchellInvestment Professionals, Inc. otherVoya Financial Advisors, Inc. otherOtherAug 8, 2014Aug 15, 2014
David BoyersInvestment Professionals, Inc. otherUnited Capital Financial Advisors otherOtherMay 2, 2014Apr 17, 2014
Stephen Howard RiddleInvestment Professionals, Inc. otherMorgan Stanley wirehouseOtherMar 13, 2014Feb 27, 2014
Samuel T MortonInvestment Professionals, Inc. otherInvestment Centers Of America, Inc. otherOtherMar 4, 2014Feb 27, 2014
Heather BranchInvestment Professionals, Inc. otherRaymond James & Associates, Inc. national BDOtherFeb 21, 2014Feb 13, 2014
Malcolm Bradley CainInvestment Professionals, Inc. otherCapital One Financial Advisors LLC unclassifiedOtherFeb 18, 2014Feb 18, 2014
Rozanne McmanusInvestment Professionals, Inc. otherSensus Wealth Management Group LLC state registeredOtherDec 31, 2013Feb 25, 2014 (56 d)
Jason Michael StephensInvestment Professionals, Inc. otherLPL Financial LLC otherOtherDec 20, 2013Dec 18, 2013
Jessie Anthony FabianoInvestment Professionals, Inc. otherMoney Concepts Advisory Service otherOtherDec 17, 2013Jan 15, 2014
Anay Kumar SrivastavaInvestment Professionals, Inc. otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherDec 6, 2013Jan 8, 2015 (398 d)
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242 moves match.