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 Thrivent Advisor Network, LLC
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.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Benjamin Uphoff | Thrivent Advisor Network, LLC BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Aug 10, 2021 | Jan 1, 2026 (1605 d) |
| Michael Edwin Fleming | Thrivent Advisor Network, LLC BD affiliated | MML Investors Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 15, 2021 | Nov 15, 2021 (153 d) |
| Kevin P Ellis | Thrivent Advisor Network, LLC BD affiliated | Envision Financial LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jun 1, 2021 | Jun 1, 2021 |
| Eric Luan-Trong Nguyen | Thrivent Advisor Network, LLC BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Mar 26, 2021 | May 20, 2021 (55 d) |
| Tina Swanson | Thrivent Advisor Network, LLC BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Feb 24, 2021 | Mar 1, 2021 |
| Brien Johnson | Thrivent Advisor Network, LLC BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 14, 2021 | May 19, 2021 (125 d) |
| Jay Xavier Hitselberger | Thrivent Advisor Network, LLC BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Nov 5, 2020 | Nov 19, 2020 |
| Conner James Young | Thrivent Advisor Network, LLC BD affiliated | Tollefson And Company Investment Management LLC other | Other | Sep 23, 2020 | Sep 15, 2020 |
| Mira Dragisic | Thrivent Advisor Network, LLC BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 2, 2020 | Sep 16, 2021 (379 d) |
| Lukas Hubers | Thrivent Advisor Network, LLC independent RIA | Securities America Advisors, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | May 12, 2020 | Sep 22, 2020 (133 d) |
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130 moves match.