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
Melissa Ann LongInvestment Professionals, Inc. otherMorgan Stanley wirehouseOtherNov 18, 2013Dec 11, 2013
Brandon Michael PrussInvestment Professionals, Inc. otherCharles Schwab & Co., Inc. national BDOtherNov 1, 2013Jul 14, 2015 (620 d)
Steven Michael DamianiInvestment Professionals, Inc. otherOsaic Institutions, Inc. otherOtherOct 21, 2013Oct 30, 2013
Daniel Eugene RodriguezInvestment Professionals, Inc. otherSensus Wealth Management Group LLC state registeredOtherOct 14, 2013Oct 7, 2013
Chad H KobesInvestment Professionals, Inc. otherAdvice And Planning Services otherOtherOct 7, 2013Oct 23, 2013
Peter Joseph CoulchinskyInvestment Professionals, Inc. otherTlwm Financial otherOtherAug 20, 2013Aug 6, 2013
Wesley Ray WhiteheadInvestment Professionals, Inc. otherLPL Financial LLC otherOtherJul 29, 2013Jul 10, 2013
Rick Frank LorenceInvestment Professionals, Inc. otherPks Advisory Services, LLC otherOtherJul 3, 2013Jul 3, 2013
Amanda Marie DuranInvestment Professionals, Inc. otherSecurian Financial Services, Inc. otherOtherJun 13, 2013Jul 26, 2013 (43 d)
Glenn Homer GriffinInvestment Professionals, Inc. otherInvestment Centers Of America, Inc. otherOtherJun 10, 2013May 13, 2013
Jason MarcieskiInvestment Professionals, Inc. otherVicus Capital, Inc. independent RIAOtherMar 19, 2013May 9, 2023 (3703 d)
Barry Russell BartlettInvestment Professionals, Inc. otherKnox Wealth Partners Advisory independent RIAOtherFeb 25, 2013Oct 30, 2020 (2804 d)
Bradley Clifton BatesInvestment Professionals, Inc. otherWaddell & Reed otherOtherFeb 21, 2013Jan 25, 2013
Daryl Durand BushInvestment Professionals, Inc. otherAmeritas Advisory Services otherOtherFeb 12, 2013Mar 11, 2013
Joseph Robert HerronInvestment Professionals, Inc. otherTd Ameritrade, Inc. no RAUMOtherJan 14, 2013Apr 7, 2015 (813 d)
Scott Douglas CoveyInvestment Professionals, Inc. otherWaddell & Reed otherOtherDec 31, 2012Dec 12, 2012
Jonathan PeytonInvestment Professionals, Inc. otherUsaa Financial Planning Services no RAUMOtherDec 19, 2012Jan 14, 2013
Robyn A YahnerInvestment Professionals, Inc. otherCetera Advisor Networks LLC BD affiliatedOtherDec 14, 2012Sep 8, 2022 (3555 d)
John David DanzerInvestment Professionals, Inc. otherWoodbury Financial Services, Inc. otherOtherNov 13, 2012Oct 30, 2012
Michael John FrediInvestment Professionals, Inc. otherFirst Tennessee Advisory Services, Inc. otherOtherNov 9, 2012Oct 25, 2012
Raymond Arthur DahlmanInvestment Professionals, Inc. otherCambridge Investment Research Advisors, Inc. otherOtherAug 31, 2012Aug 14, 2012
Jim Alan YockeyInvestment Professionals, Inc. otherInvestment Centers Of America, Inc. otherOtherAug 20, 2012Aug 6, 2012
Michael Martin FlahertyInvestment Professionals, Inc. otherValmark Advisers, Inc. otherOtherAug 8, 2012Aug 31, 2012
Ivana LotoshynskiInvestment Professionals, Inc. otherNext Financial Group, Inc. otherOtherMay 15, 2012Apr 27, 2012
Wendy Whiffen HarperInvestment Professionals, Inc. otherUsaa Financial Planning Services no RAUMOtherMay 9, 2012Jun 25, 2012 (47 d)
Todd EdmondsonInvestment Professionals, Inc. otherPnc Wealth Management otherOtherMar 26, 2012Mar 16, 2012
William Aquilla Allen IIInvestment Professionals, Inc. otherAncora Wealth Management LLC unclassifiedOtherMar 9, 2012Mar 14, 2012
William Arthur TylerInvestment Professionals, Inc. otherAspen Creek Wealth Management, LLC state registeredOtherFeb 27, 2012May 15, 2012 (78 d)
Nikolai KondraInvestment Professionals, Inc. otherEdward Jones national BDOtherFeb 27, 2012Mar 3, 2012
Lisa Anne PrezzanoInvestment Professionals, Inc. otherEmpower Advisory Group, LLC BD affiliatedOtherDec 22, 2011Mar 13, 2023 (4099 d)
Donald SadaInvestment Professionals, Inc. otherMsi Financial Services, Inc. otherOtherDec 16, 2011Sep 21, 2012 (280 d)
Yancey Williams MackeyInvestment Professionals, Inc. otherEastover Capital Management otherOtherNov 17, 2011Nov 17, 2011
Douglas Antony GibsonInvestment Professionals, Inc. otherEquitable Advisors, LLC national BDOtherNov 17, 2011Nov 9, 2011
Keith Charles PiscitelloInvestment Professionals, Inc. otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherAug 16, 2011Aug 17, 2011
David M LiebermanInvestment Professionals, Inc. otherOsaic Fa, Inc. otherOtherJul 20, 2011Oct 11, 2011 (83 d)
Brad Edward ThompsonInvestment Professionals, Inc. otherAmeriprise Financial Services, LLC national BDOtherJul 6, 2011Jun 10, 2011
Tammy Lynn SwannInvestment Professionals, Inc. otherAmeriprise Financial Services, LLC national BDOtherJul 6, 2011Jun 29, 2011
Neil Leon FergusonInvestment Professionals, Inc. otherU.S. Bancorp Investments, Inc. otherOtherJul 1, 2011Jun 20, 2011
Robert Lawrence BohliInvestment Professionals, Inc. otherAvantax Advisory Services otherOtherJun 2, 2011Jan 11, 2013 (589 d)
Joseph Francis ZancaInvestment Professionals, Inc. otherCitizens Securities, Inc. otherOtherApr 27, 2011Apr 18, 2011
Robert Michael LoveInvestment Professionals, Inc. otherLPL Financial LLC otherOtherApr 21, 2011Apr 26, 2011
Justin Alexander PonchakInvestment Professionals, Inc. otherAmeriprise Financial Services, LLC national BDOtherMar 30, 2011Mar 11, 2011
Tracy Lynn HelmerInvestment Professionals, Inc. otherLPL Financial LLC otherOtherMar 15, 2011Nov 13, 2012 (609 d)
Joseph Donald OchoaInvestment Professionals, Inc. otherUsaa Financial Planning Services no RAUMOtherFeb 22, 2011Sep 13, 2011 (203 d)
Garrett Thomas MaddoxInvestment Professionals, Inc. otherEdward Jones national BDOtherFeb 22, 2011Feb 4, 2011
Margaret Rose DoverInvestment Professionals, Inc. otherBlackrock Investment Management, LLC otherOtherFeb 10, 2011May 4, 2018 (2640 d)
Christopher Michael SheehanInvestment Professionals, Inc. otherPeople'S Securities, Inc. otherOtherDec 31, 2010Jan 8, 2013 (739 d)
Leanne Atencio MartinInvestment Professionals, Inc. otherArete Wealth Advisors, LLC otherOtherDec 31, 2010Mar 9, 2012 (434 d)
Jerry Edward GuidoInvestment Professionals, Inc. otherRaymond James Financial Services Advisors, Inc otherOtherDec 31, 2010Feb 24, 2011 (55 d)
John Anthony MachongaInvestment Professionals, Inc. otherCitizens Securities, Inc. otherOtherDec 22, 2010Jan 10, 2011
Shannon Renee NealInvestment Professionals, Inc. otherInvest Financial Corporation otherOtherDec 22, 2010Dec 7, 2010
Jason William NealInvestment Professionals, Inc. otherInvest Financial Corporation otherOtherDec 22, 2010Dec 8, 2010
Sara B OrtizInvestment Professionals, Inc. otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherDec 20, 2010Sep 29, 2011 (283 d)
Mark Robert SchubertInvestment Professionals, Inc. otherPrincipal Securities, Inc. otherOtherNov 29, 2010Dec 22, 2010
Thomas Michael BurkeInvestment Professionals, Inc. otherOsaic Institutions, Inc. otherOtherNov 17, 2010Nov 18, 2010
William Joseph HannanInvestment Professionals, Inc. otherRaymond James Financial Services Advisors, Inc otherOtherNov 12, 2010Oct 29, 2010
Mary Lauren SantiniInvestment Professionals, Inc. otherAmeriprise Financial Services, LLC national BDOtherOct 4, 2010Oct 11, 2010
Gary Ryan PeckhamInvestment Professionals, Inc. otherRydar Equities, Inc. independent RIAOtherSep 21, 2010Sep 21, 2011 (365 d)
James R RayInvestment Professionals, Inc. otherFifth Third Securities, Inc. otherOtherSep 17, 2010Oct 7, 2010
William O BaumbergerInvestment Professionals, Inc. otherLPL Financial LLC otherOtherSep 16, 2010Sep 23, 2010
Page 3 of 5PreviousNext
242 moves match.