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
David Wai Pak ChowInvestors Capital Advisory otherCambridge Investment Research Advisors, Inc. otherOtherJun 17, 2010Jun 16, 2010
James SwirtzInvestors Capital Advisory otherThe Capital Advisory Group Advisory Services, LLC otherOtherJun 1, 2010Oct 20, 2008
Eric Alan SandsInvestors Capital Advisory otherCambridge Investment Research Advisors, Inc. otherOtherMay 27, 2010Jun 16, 2010
Jeffrey William ReichnerInvestors Capital Advisory otherJanney Montgomery Scott LLC BD affiliatedOtherApr 15, 2010Mar 24, 2025 (5457 d)
Mark Scott PavwoskiInvestors Capital Advisory otherThe Capital Advisory Group Advisory Services, LLC otherOtherMar 29, 2010Sep 11, 2008
Rebecca Gail MurdochInvestors Capital Advisory otherSt. Bernard Financial Services, Inc. otherOtherMar 17, 2010Mar 19, 2010
Kenneth Joseph KaszakInvestors Capital Advisory otherTrustmont Advisory Group, Inc. otherOtherJan 21, 2010Jan 25, 2010
Brian George VanhouweInvestors Capital Advisory otherGlobal Investment Advisors, LLC unclassifiedOtherJan 1, 2010Jan 1, 2010
Kevin FullertonInvestors Capital Advisory otherGlobal Investment Advisors, LLC unclassifiedOtherJan 1, 2010Jan 1, 2010
John Frederick HarrisonInvestors Capital Advisory otherGlobal Investment Advisors, LLC unclassifiedOtherJan 1, 2010Jan 1, 2010
Timothy LaneInvestors Capital Advisory otherGlobal Investment Advisors, LLC unclassifiedOtherJan 1, 2010Jan 1, 2010
Brian David SnyderInvestors Capital Advisory otherGlobal Investment Advisors, LLC unclassifiedOtherJan 1, 2010Jan 1, 2010
Thomas Charles HomanInvestors Capital Advisory otherMomentum Investment Management, LLC state registeredOtherDec 31, 2009Apr 13, 2010 (103 d)
Peter Edward BianchettoInvestors Capital Advisory otherWorkman Securities Corporation unclassifiedOtherDec 31, 2009Jan 4, 2010
Clinton Wayne CopelandInvestors Capital Advisory otherResource Horizons Investment Advisory, Inc. otherOtherDec 31, 2009Jan 11, 2010
James Laurence CliffordInvestors Capital Advisory otherResource Horizons Investment Advisory, Inc. otherOtherDec 23, 2009Jan 26, 2010 (34 d)
Prakash Devendranath SimhaInvestors Capital Advisory otherThe Strategic Financial Alliance otherOtherDec 10, 2009Jan 13, 2010 (34 d)
Miguel Angel Gomez GarciaInvestors Capital Advisory otherLauterbach Financial Advisors, LLC otherOtherOct 15, 2009Oct 28, 2009
Richard QuigleyInvestors Capital Advisory otherNrp Advisors, Inc. unclassifiedOtherSep 11, 2009Sep 2, 2009
Peter Thomas KisverInvestors Capital Advisory otherLambert Advisors unclassifiedOtherAug 14, 2009Mar 27, 2010 (225 d)
Edgar Allen ThomasInvestors Capital Advisory otherIngram Advisory Services, LLC otherOtherAug 12, 2009Jan 4, 2006
Edward William MurrayInvestors Capital Advisory otherMiai, Inc. otherOtherAug 12, 2009Aug 24, 2009
Cynthia Jacqueline TamInvestors Capital Advisory otherQuestar Asset Management, Inc. otherOtherAug 11, 2009Aug 7, 2009
Jack Cavin HollandInvestors Capital Advisory otherFirst Allied Securities, Inc. otherOtherJul 16, 2009Aug 21, 2009 (36 d)
Guy William KeeferInvestors Capital Advisory otherKeefer Pension Consulting, Inc. otherOtherJul 13, 2009Jul 15, 2009
John Edward HanceInvestors Capital Advisory otherThe Capital Advisory Group Advisory Services, LLC otherOtherJun 19, 2009Oct 20, 2008
Eric Henry RobergeInvestors Capital Advisory otherSii Investments, Inc. otherOtherFeb 4, 2009Feb 9, 2009
Jonathan Hagan HicksInvestors Capital Advisory otherMadison Avenue Advisors, Inc. unclassifiedOtherDec 31, 2008Jan 16, 2009
Marcus George WarrenInvestors Capital Advisory otherMadison Avenue Advisors, Inc. unclassifiedOtherDec 31, 2008Jan 5, 2009
Charles Ralston ByrnesInvestors Capital Advisory otherAmerican Portfolios Advisors, Inc otherOtherDec 17, 2008Dec 8, 2008
Steve A NadeauInvestors Capital Advisory otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherDec 3, 2008Apr 7, 2009 (125 d)
Joseph Michael CarneyInvestors Capital Advisory otherOsaic Fa, Inc. otherOtherDec 1, 2008Nov 25, 2008
Julie Lynn PhillipsInvestors Capital Advisory otherCommonwealth Financial Network national BDOtherNov 25, 2008Dec 16, 2008
Shelley ColeInvestors Capital Advisory otherVoya Financial Advisors, Inc. otherOtherNov 20, 2008Feb 27, 2009 (99 d)
David Ryan AlvesInvestors Capital Advisory otherBanc Of America Investment Services, Inc. unclassifiedOtherOct 24, 2008Nov 13, 2008
Hilary Suzanne Jones RojoInvestors Capital Advisory otherChase Investment Services Corp. otherOtherOct 13, 2008Oct 27, 2008
Tammie Moore ParranInvestors Capital Advisory otherSecurities America Advisors, Inc. otherOtherSep 30, 2008Feb 2, 2010 (490 d)
Ellis Nurogar LiddellInvestors Capital Advisory otherSecurities America Advisors, Inc. otherOtherSep 29, 2008Mar 18, 2009 (170 d)
Marcelle GordonInvestors Capital Advisory otherSecurities America Advisors, Inc. otherOtherSep 29, 2008Feb 2, 2010 (491 d)
Robert Edward JeanInvestors Capital Advisory otherAmeriprise Financial Services, LLC national BDOtherSep 18, 2008Jan 9, 2009 (113 d)
Michael John NedreskiInvestors Capital Advisory otherCambridge Investment Research Advisors, Inc. otherOtherAug 4, 2008Aug 1, 2008
Raymond Michael WhiteInvestors Capital Advisory otherOsaic Fs, Inc. otherOtherMay 20, 2008Jun 11, 2008
Seema SethiInvestors Capital Advisory otherLPL Financial LLC otherOtherDec 31, 2007Jun 30, 2008 (182 d)
Gregory Lloyd BernhardtInvestors Capital Advisory otherMsi Financial Services, Inc. otherOtherDec 31, 2007Feb 8, 2008 (39 d)
Robert KenonInvestors Capital Advisory otherSecurities America Advisors, Inc. otherOtherDec 12, 2007Dec 4, 2007
Ellen PeloquinInvestors Capital Advisory otherNew York Life Investment Management LLC otherOtherNov 20, 2007Nov 27, 2007
Steven James LambertInvestors Capital Advisory otherWamu Investments, Inc. unclassifiedOtherOct 30, 2007Nov 2, 2007
Scott David PerronInvestors Capital Advisory otherSd Perron & Co. Investment Services state registeredOtherOct 19, 2007Apr 3, 2026 (6741 d)
Jason Chandler UllomInvestors Capital Advisory otherQuestar Asset Management, Inc. otherOtherJun 28, 2007Aug 17, 2007 (50 d)
Scot Patrick SageserInvestors Capital Advisory otherFinancial Leadership Advisors, Inc. unclassifiedOtherJun 19, 2007Jun 27, 2007
Scott Vincent ValentiInvestors Capital Advisory otherUsaa Investment Services Company otherOtherMay 11, 2007Dec 13, 2007 (216 d)
Brian J WebbInvestors Capital Advisory otherCitizens Securities, Inc. otherOtherMay 3, 2007May 15, 2007
Patrick W PironeInvestors Capital Advisory otherIfmg Securities, Inc. unclassifiedOtherMar 30, 2007Apr 12, 2007
William George DobbinsInvestors Capital Advisory otherLPL Financial LLC otherOtherJan 18, 2007Jan 5, 2007
Diane Kathleen CaseInvestors Capital Advisory otherSoutheast Investments, N.C. Inc unclassifiedOtherDec 31, 2006Apr 26, 2007 (116 d)
Jennifer Alison Harney-ReadInvestors Capital Advisory otherOsaic Institutions, Inc. otherOtherDec 31, 2006Jun 22, 2010 (1269 d)
Jacob Mansfield MillicanInvestors Capital Advisory otherPrincipal Securities, Inc. otherOtherDec 31, 2006Jun 20, 2007 (171 d)
Vic V MulletInvestors Capital Advisory otherCentaurus Financial, Inc. otherOtherDec 31, 2006Jan 3, 2007
Robert Leroy ChessInvestors Capital Advisory otherInvest Financial Corporation otherOtherDec 8, 2006Dec 7, 2006
Gene WardoInvestors Capital Advisory otherInvest Financial Corporation otherOtherDec 8, 2006Jan 11, 2007 (34 d)
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272 moves match.