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.

AdvisorFromToTypeLeftRegistered
Joey HsuInvestors Capital Advisory otherCommonwealth Financial Network national BDOtherNov 1, 2013Nov 12, 2013
Marc BartonInvestors Capital Advisory otherCetera Advisors LLC otherOtherOct 28, 2013Oct 24, 2013
Dennis L GumpInvestors Capital Advisory otherCitizens Securities, Inc. otherOtherOct 4, 2013Oct 1, 2013
Brandon Mark JuddInvestors Capital Advisory otherEquitable Advisors, LLC national BDOtherAug 7, 2013Sep 13, 2013 (37 d)
Michael G DooleyInvestors Capital Advisory otherSantander Securities otherOtherMar 13, 2013Jul 15, 2013 (124 d)
William S RogersInvestors Capital Advisory otherKalos Management otherOtherFeb 21, 2013Feb 11, 2015 (720 d)
Richard OlszewskiInvestors Capital Advisory otherPrimerica Advisors national BDOtherJan 11, 2013Feb 14, 2013 (34 d)
Marion J. TuckerInvestors Capital Advisory otherCetera Investment Advisers LLC otherOtherDec 31, 2012Jan 2, 2015 (732 d)
Daniel Charles ReganInvestors Capital Advisory otherNext Financial Group, Inc. otherOtherDec 7, 2012Jan 16, 2013 (40 d)
Edward Lawrence KomitoInvestors Capital Advisory otherElk Capital Advisors, LLC state registeredOtherNov 19, 2012Jan 10, 2012
Michael Joseph TestoniInvestors Capital Advisory otherCambridge Investment Research Advisors, Inc. otherOtherNov 13, 2012Nov 27, 2012
Keith Robert GentryInvestors Capital Advisory otherCitizens Securities, Inc. otherOtherOct 16, 2012Oct 26, 2012
Kevin Michael BrownInvestors Capital Advisory otherTransamerica Financial Advisors, LLC otherOtherJun 27, 2012Jul 13, 2012
Eric Jay SmithInvestors Capital Advisory otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherMay 18, 2012Jun 6, 2012
Paul ShortierInvestors Capital Advisory otherLincoln Investment otherOtherFeb 22, 2012Jul 31, 2013 (525 d)
John Francis DallavalleInvestors Capital Advisory otherFounders Financial Securities, LLC otherOtherJan 20, 2012Jan 17, 2012
Eric Joseph DallavalleInvestors Capital Advisory otherFounders Financial Securities, LLC otherOtherJan 20, 2012Jan 17, 2012
David J HarshInvestors Capital Advisory otherFirst Allied Advisory Services, Inc. otherOtherJan 11, 2012Dec 18, 2013 (707 d)
Albert William BergmannInvestors Capital Advisory otherEssex National Securities, Inc. otherOtherJan 6, 2012Jan 24, 2012
Katherine Salome HorganInvestors Capital Advisory otherHeritage Wealth Management independent RIAOtherDec 31, 2011Jul 21, 2019 (2759 d)
Marcus BergerInvestors Capital Advisory otherAmerican Portfolios Advisors, Inc otherOtherDec 31, 2011Dec 9, 2016 (1805 d)
John Joseph VerrengiaInvestors Capital Advisory otherHeritage Wealth Management independent RIAOtherDec 31, 2011Nov 2, 2012 (307 d)
Chris H NaumInvestors Capital Advisory otherIc Advisory Services, Inc. otherOtherDec 31, 2011Jan 3, 2012
Vincent SerratoreInvestors Capital Advisory otherHeritage Wealth Management independent RIAOtherDec 31, 2011Nov 10, 2011
Maria Domenica DelreInvestors Capital Advisory otherLasalle St. Investment Advisors, L.L.C. otherOtherDec 31, 2011Jan 20, 2012
Paul Robert DipietroInvestors Capital Advisory otherDawson James Asset Management, Inc. state registeredOtherDec 31, 2011Jan 20, 2012
David Matthew BilkaInvestors Capital Advisory otherOsaic Wealth, Inc. otherOtherDec 31, 2011May 24, 2013 (510 d)
Ronald Eugene FisherInvestors Capital Advisory otherResearch Financial Strategies otherOtherNov 22, 2011Dec 13, 2011
Allan Michael PaullInvestors Capital Advisory otherVirji Investments, Inc. state registeredOtherOct 31, 2011Dec 6, 2011 (36 d)
Maryanne Virginia BesslerInvestors Capital Advisory otherLPL Financial LLC otherOtherOct 10, 2011Jan 30, 2012 (112 d)
Kimberly Ann BarentsenInvestors Capital Advisory otherFirst Allied Securities, Inc. otherOtherSep 30, 2011Oct 25, 2011
Kenneth James BeberInvestors Capital Advisory otherIndependent Financial Group, LLC otherOtherSep 14, 2011Sep 12, 2011
John Evan GrizInvestors Capital Advisory otherWaddell & Reed otherOtherSep 6, 2011Oct 13, 2011 (37 d)
Jonathan Edward BrochsteinInvestors Capital Advisory otherWeston Wealth Advisors, LLC state registeredOtherAug 12, 2011Aug 2, 2011
Matthew James HollosyInvestors Capital Advisory otherUsaa Financial Planning Services no RAUMOtherJul 22, 2011Aug 19, 2011
Carlos Manuel OliveiraInvestors Capital Advisory otherCambridge Investment Research Advisors, Inc. otherOtherJul 15, 2011Jul 15, 2011
Steven Douglas WhiteInvestors Capital Advisory otherFirst Allied Securities, Inc. otherOtherJun 1, 2011May 31, 2011
Bryson Tyler MacchioneInvestors Capital Advisory otherIngram Advisory Services, LLC otherOtherApr 20, 2011Sep 9, 2009
Kenneth Harold AulbachInvestors Capital Advisory otherInnovation Partners LLC otherOtherMar 2, 2011Mar 1, 2012 (365 d)
Robert Courtney ClowerInvestors Capital Advisory otherValmark Advisers, Inc. otherOtherJan 11, 2011Jan 12, 2011
Robert D RolandInvestors Capital Advisory otherNational Planning Corporation ("Npc Of America" In Fl & Ny) otherOtherJan 3, 2011Jan 14, 2011
Melanie Jo DoeringInvestors Capital Advisory otherWorld Investment Advisors, LLC otherOtherDec 31, 2010Oct 23, 2025 (5410 d)
Michael Glenn SeymourInvestors Capital Advisory otherIngram Advisory Services, LLC otherOtherDec 31, 2010Nov 4, 2008
Donna Maria SeymourInvestors Capital Advisory otherIngram Advisory Services, LLC otherOtherDec 31, 2010Sep 15, 2009
Patrick James RobertsonInvestors Capital Advisory otherCentaurus Financial, Inc. otherOtherDec 31, 2010Jan 3, 2011
Jeffrey Lynn ToadvineInvestors Capital Advisory otherIngram Advisory Services, LLC otherOtherDec 31, 2010Feb 26, 2009
Nicolas Shane ToadvineInvestors Capital Advisory otherBrookstone Investment Advisory Services otherOtherDec 31, 2010Jan 10, 2012 (375 d)
John G ChessInvestors Capital Advisory otherInvestacorp Advisory Services Inc otherOtherDec 31, 2010Jan 6, 2011
Melvin Harvey LawrenceInvestors Capital Advisory otherMsi Financial Services, Inc. otherOtherDec 21, 2010Jan 19, 2011
Wesley Price WoodInvestors Capital Advisory otherWfg Advisors, LP otherOtherDec 17, 2010Dec 17, 2010
William Daniel PrestageInvestors Capital Advisory otherWfg Advisors, LP otherOtherDec 17, 2010Dec 16, 2010
David Wilson McadamsInvestors Capital Advisory otherWfg Advisors, LP otherOtherDec 15, 2010Jan 10, 2011
Gary Lynn OsingInvestors Capital Advisory otherWfg Advisors, LP otherOtherDec 15, 2010Dec 14, 2010
John Michael NuckelInvestors Capital Advisory otherRealta Investment Advisors, Inc otherOtherDec 13, 2010Oct 26, 2012 (683 d)
Robert Lee ButeInvestors Capital Advisory otherIndependent Financial Group, LLC otherOtherDec 8, 2010Dec 6, 2010
Nancy Ann HornbergerInvestors Capital Advisory otherWells Fargo Advisors wirehouseOtherNov 17, 2010Feb 2, 2011 (77 d)
William Blair GordonInvestors Capital Advisory otherCapital Financial Services, Inc. otherOtherNov 15, 2010Feb 22, 2011 (99 d)
Richard Colby McfaddenInvestors Capital Advisory otherNewport Coast Asset Management otherOtherNov 9, 2010Nov 5, 2010
Peter Geary MartinInvestors Capital Advisory otherWells Fargo Advisors wirehouseOtherNov 5, 2010Nov 8, 2010
Dale A PopeInvestors Capital Advisory otherMerion Wealth Partners, LLC otherOtherOct 26, 2010Apr 6, 2011 (162 d)
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272 moves match.