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 Investors Capital Advisory

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
Mark Joseph Quercio	Investors Capital Advisory other	Voya Financial Advisors, Inc. other	Other	Jul 23, 2016	Jul 12, 2016
Elliott Arthur Peigen	Investors Capital Advisory other	Infinity Financial Services Advisory independent RIA	Other	Jul 23, 2016	Apr 29, 2020 (1376 d)
David Michael Brunelle	Investors Capital Advisory other	Voya Financial Advisors, Inc. other	Other	Jul 23, 2016	Jul 12, 2016
Kathryn Marie Cataldo	Investors Capital Advisory other	Voya Financial Advisors, Inc. other	Other	Jul 23, 2016	Jul 12, 2016
Brian David Pelczarski	Investors Capital Advisory other	Voya Financial Advisors, Inc. other	Other	Jul 23, 2016	Jul 12, 2016
Keith Allen Reardon	Investors Capital Advisory other	Voya Financial Advisors, Inc. other	Other	Jul 23, 2016	Jul 12, 2016
Brian Francis	Investors Capital Advisory other	Wells Fargo Advisors wirehouse	Other	Jun 28, 2016	Jul 11, 2016
William Adolph Steih	Investors Capital Advisory other	Lawing Financial Inc other	Other	May 23, 2016	May 16, 2016
James Joseph Kelble	Investors Capital Advisory other	Voya Financial Advisors, Inc. other	Other	May 12, 2016	May 2, 2016
Henry Gallardo	Investors Capital Advisory other	M Holdings Securities, Inc. other	Other	May 3, 2016	Apr 15, 2016
Roberto Alexandro Blanco	Investors Capital Advisory other	M Holdings Securities, Inc. other	Other	May 3, 2016	Apr 15, 2016
Monica Salaiz Narvaez	Investors Capital Advisory other	M Holdings Securities, Inc. other	Other	May 2, 2016	Apr 15, 2016
Edward James Waldron	Investors Capital Advisory other	Osaic Fa, Inc. other	Other	Mar 17, 2016	Feb 29, 2016
Mark Alan Harris	Investors Capital Advisory other	Ameriprise Financial Services, LLC national BD	Other	Mar 17, 2016	Mar 2, 2016
Jason Adam Harris	Investors Capital Advisory other	Ameriprise Financial Services, LLC national BD	Other	Mar 14, 2016	Mar 1, 2016
Wendi Chrystina Cowdrey-Ragon	Investors Capital Advisory other	Voya Financial Advisors, Inc. other	Other	Mar 1, 2016	Mar 28, 2016
Nelvine Alfonso Ocampo	Investors Capital Advisory other	Voya Financial Advisors, Inc. other	Other	Feb 25, 2016	Feb 5, 2016
Robert John Worrell	Investors Capital Advisory other	Securities America Advisors, Inc. other	Other	Feb 17, 2016	Jan 27, 2016
David Raine	Investors Capital Advisory other	Voya Financial Advisors, Inc. other	Other	Feb 16, 2016	Apr 12, 2016 (56 d)
Gregg S Lentz	Investors Capital Advisory other	Triad Advisors, LLC other	Other	Feb 2, 2016	Jan 11, 2016
Matt Porter	Investors Capital Advisory other	Triad Advisors, LLC other	Other	Feb 2, 2016	Feb 3, 2016
Tony Earl Mcneill	Investors Capital Advisory other	Signator Investors, Inc. other	Other	Jan 30, 2016	Feb 1, 2016
Jeremy Scott Eaton	Investors Capital Advisory other	Investment Research Corp other	Other	Dec 31, 2015	Feb 14, 2017 (411 d)
Lawrence Paul Purcell	Investors Capital Advisory other	Sagepoint Financial, Inc. other	Other	Dec 28, 2015	Dec 17, 2015
James John Cronin	Investors Capital Advisory other	Kestra Advisory Services, LLC other	Other	Dec 10, 2015	Apr 26, 2016 (138 d)
Thomas Howard Payne	Investors Capital Advisory other	Trinity Investment Management, LLC other	Other	Dec 9, 2015	Dec 7, 2015
Freddie Lee Barbour	Investors Capital Advisory other	Signator Investors, Inc. other	Other	Nov 30, 2015	Nov 25, 2015
Mary Jean Robbins	Investors Capital Advisory other	Voya Financial Advisors, Inc. other	Other	Nov 30, 2015	Nov 18, 2015
Brian Michael Woods	Investors Capital Advisory other	The Capital Advisory Group Advisory Services, LLC other	Other	Nov 30, 2015	Feb 24, 2014
Stephen R Vachon	Investors Capital Advisory other	Voya Financial Advisors, Inc. other	Other	Nov 30, 2015	Nov 30, 2015
Robert A Curtis	Investors Capital Advisory other	Voya Financial Advisors, Inc. other	Other	Nov 19, 2015	Nov 9, 2015
Mark Stephen Falter	Investors Capital Advisory other	Sound Income Strategies, LLC other	Other	Nov 16, 2015	Apr 16, 2015
Jeffrey Robert Mishol	Investors Capital Advisory other	Voya Financial Advisors, Inc. other	Other	Nov 13, 2015	Jan 11, 2016 (59 d)
Werner Maiwald	Investors Capital Advisory other	Voya Financial Advisors, Inc. other	Other	Nov 11, 2015	Nov 12, 2015
Jacob Eliahu Shulam	Investors Capital Advisory other	Voya Financial Advisors, Inc. other	Other	Nov 11, 2015	Mar 24, 2016 (134 d)
Renee Wendy Senes	Investors Capital Advisory other	Voya Financial Advisors, Inc. other	Other	Nov 11, 2015	Nov 18, 2015
Brian D Day-Lewis	Investors Capital Advisory other	Voya Financial Advisors, Inc. other	Other	Nov 11, 2015	Nov 18, 2015
Timothy John O'Malley	Investors Capital Advisory other	Voya Financial Advisors, Inc. other	Other	Nov 11, 2015	Nov 18, 2015
David Jon Chwalek	Investors Capital Advisory other	Voya Financial Advisors, Inc. other	Other	Nov 10, 2015	Nov 9, 2015
Gregory Allen Dennis	Investors Capital Advisory other	United Brokerage Services Inc other	Other	Oct 26, 2015	Oct 27, 2015
Richard Weiss	Investors Capital Advisory other	Cantella & Co., Inc. other	Other	Oct 1, 2015	Oct 26, 2015
Gregg Charles Parker	Investors Capital Advisory other	American Portfolios Advisors, Inc other	Other	Sep 24, 2015	Jan 3, 2017 (467 d)
Steven Edward Ponte	Investors Capital Advisory other	Santander Securities other	Other	Jul 2, 2015	Aug 18, 2015 (47 d)
Brandy Sue Mohan	Investors Capital Advisory other	Citizens Securities, Inc. other	Other	Mar 27, 2015	Jul 14, 2015 (109 d)
Thomas Ralph Hokr	Investors Capital Advisory other	The Capital Advisory Group Advisory Services, LLC other	Other	Mar 11, 2015	Jan 15, 2014
John Christopher Sherwin	Investors Capital Advisory other	The Capital Advisory Group Advisory Services, LLC other	Other	Mar 11, 2015	Jan 13, 2014
Tyler W Armstrong	Investors Capital Advisory other	Mhs Advisory Services, LLC no RAUM	Other	Mar 11, 2015	Mar 18, 2015
Nauman Karim Rana	Investors Capital Advisory other	J.P. Morgan Securities LLC wirehouse	Other	Feb 27, 2015	Mar 30, 2015 (31 d)
Vincent Paul Grimaldi	Investors Capital Advisory other	Santander Securities other	Other	Feb 5, 2015	Feb 24, 2015
Sean Michael Hendricks	Investors Capital Advisory other	Hendricks Wealth And Estate Management independent RIA	Other	Jan 2, 2015	Jul 12, 2019 (1652 d)
Matthew George Valentine	Investors Capital Advisory other	Brighton House Associates, LLC unclassified	Other	Oct 29, 2014	Nov 14, 2014
Harry Edward Beatty	Investors Capital Advisory other	Fsc Securities Corporation other	Other	Aug 27, 2014	Sep 22, 2014
Daniel Joseph Lattarulo	Investors Capital Advisory other	UBS Financial Services Inc. wirehouse	Other	Aug 27, 2014	Sep 4, 2014
Scott Vincent Valenti	Investors Capital Advisory other	Stirlingshire Investments independent RIA	Other	Jun 3, 2014	Jun 12, 2024 (3662 d)
Sarah E Hilbolt	Investors Capital Advisory other	Equitable Advisors, LLC national BD	Other	Feb 25, 2014	May 18, 2021 (2639 d)
Lisa Lynne Pomerleau	Investors Capital Advisory other	Invest Financial Corporation other	Other	Jan 29, 2014	Jan 16, 2014
Terry Alexander Wheeler	Investors Capital Advisory other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Jan 24, 2014	Jan 16, 2014
Stephen Hardin Obenchain	Investors Capital Advisory other	Donaldson Capital Management LLC other	Other	Dec 12, 2013	Dec 8, 2014 (361 d)
Gopal Dutt Sharma	Investors Capital Advisory other	Questar Asset Management, Inc. other	Other	Dec 2, 2013	Jan 15, 2014 (44 d)
Kenneth John Saunders	Investors Capital Advisory other	National Planning Corporation ("Npc Of America" In Fl & Ny) other	Other	Nov 5, 2013	Oct 31, 2013

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272 moves match.