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 Osaic Institutions, 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.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| John Stephen Pronovost | Osaic Institutions, Inc. BD affiliated | International Assets Investment Management, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 5, 2025 | Nov 5, 2025 (92 d) |
| Maxx Soulliere | Osaic Institutions, Inc. BD affiliated | Schwab Wealth Advisory, Inc. no RAUM | Other | Jul 27, 2025 | Aug 15, 2025 |
| Henry Manuel Nunez | Osaic Institutions, Inc. BD affiliated | Aegis Capital Corp. BD affiliated | Affiliated broker-dealer or bank to another | Jul 25, 2025 | Aug 5, 2025 |
| Dwight Dai Lee | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 22, 2025 | Jul 21, 2025 |
| John Tsampas | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 21, 2025 | Aug 6, 2025 |
| Kimberly Sue Tinholt | Osaic Institutions, Inc. BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Jul 14, 2025 | Jul 14, 2025 |
| Caleb Andrew-Sanders Snider | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 30, 2025 | Jul 11, 2025 |
| Donald Davis Haines | Osaic Institutions, Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 25, 2025 | Sep 3, 2025 (70 d) |
| Richard John Koll | Osaic Institutions, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 24, 2025 | Jul 15, 2025 |
| Stephen Marc Lubin | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 22, 2025 | May 21, 2025 |
| Robert Thomas Boon | Osaic Institutions, Inc. BD affiliated | Charlesbridge Advisors no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | May 22, 2025 | May 19, 2026 (362 d) |
| Patrick Connor Dougherty | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 22, 2025 | May 21, 2025 |
| Tracy Neal Adams | Osaic Institutions, Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | May 21, 2025 | May 21, 2025 |
| Tyson Thane Schmidt | Osaic Institutions, Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | May 21, 2025 | May 19, 2025 |
| James Allen Rosset | Osaic Institutions, Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | May 21, 2025 | May 21, 2025 |
| Olivia Lauren Hodgkinson | Osaic Institutions, Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | May 21, 2025 | May 19, 2025 |
| Kyle Carson | Osaic Institutions, Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | May 21, 2025 | May 19, 2025 |
| Konrad Raclawski | Osaic Institutions, Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | May 20, 2025 | May 19, 2025 |
| Azeem Salim Abdul Haqq | Osaic Institutions, Inc. BD affiliated | Gerber, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 9, 2025 | Jun 20, 2025 (42 d) |
| Dominick A Chicago | Osaic Institutions, Inc. BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Apr 30, 2025 | May 12, 2025 |
| Brian Kenneth Marois | Osaic Institutions, Inc. BD affiliated | Tumolo Wealth Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 28, 2025 | Apr 28, 2025 |
| Matthew David Belfanti | Osaic Institutions, Inc. BD affiliated | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Apr 21, 2025 | Apr 17, 2025 |
| Simion Procopenco | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 21, 2025 | Apr 23, 2025 |
| Robert Henry Cathcart | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 2, 2025 | Apr 25, 2025 |
| Richard Martin Ellington | Osaic Institutions, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 1, 2025 | Apr 10, 2025 |
| Michael J Ramirez | Osaic Institutions, Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Mar 18, 2025 | Apr 1, 2025 |
| Rusty Randolph Odle | Osaic Institutions, Inc. BD affiliated | Horace Mann Investors, Inc. no RAUM | Other | Mar 17, 2025 | Apr 22, 2025 (36 d) |
| Brenda Marie Marzynski | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 11, 2025 | Mar 12, 2025 |
| Gary Todd Cooper | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 11, 2025 | Mar 12, 2025 |
| Andrew Emerson | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 11, 2025 | Mar 12, 2025 |
| Peter Michael Aiello | Osaic Institutions, Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 6, 2025 | Mar 28, 2025 |
| Zenaida Buenaventura Orduna | Osaic Institutions, Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Feb 20, 2025 | Feb 21, 2025 |
| Matthew Joseph Sheridan | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 19, 2025 | Feb 27, 2025 |
| Michael Zatchey | Osaic Institutions, Inc. BD affiliated | Stratos Wealth Partners, Ltd BD affiliated | Affiliated broker-dealer or bank to another | Feb 18, 2025 | Mar 4, 2025 |
| Jason Robert Yuhas | Osaic Institutions, Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Feb 3, 2025 | Jan 13, 2017 |
| Emily Raupach | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 3, 2025 | Feb 3, 2025 |
| Barry John Testa | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 3, 2025 | Feb 3, 2025 |
| Jason J Belyea | Osaic Institutions, Inc. BD affiliated | Stirlingshire Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 30, 2025 | Jun 13, 2025 (134 d) |
| Julie L Clementi | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 29, 2025 | Feb 13, 2025 |
| Karl Brunner Williams | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 20, 2024 | Jan 7, 2025 |
| Francis Xavier Dwyer | Osaic Institutions, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 11, 2024 | Dec 19, 2025 (373 d) |
| Jennifer Alison Harney-Read | Osaic Institutions, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 2, 2024 | Nov 28, 2024 |
| Tj Anthony Binkowski | Osaic Institutions, Inc. BD affiliated | Narrow Road Asset Management state registered | Affiliated broker-dealer or bank to a state-registered adviser | Dec 2, 2024 | Jan 2, 2025 (31 d) |
| Andrew Soliman | Osaic Institutions, Inc. BD affiliated | Hsbc Securities (USA) Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 22, 2024 | Dec 9, 2024 |
| John Ryuichi Uyeki | Osaic Institutions, Inc. BD affiliated | Janney Montgomery Scott LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 20, 2024 | Nov 19, 2024 |
| James Murray Elliott | Osaic Institutions, Inc. BD affiliated | Janney Montgomery Scott LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 20, 2024 | Nov 20, 2024 |
| Devin Michael Mcgill | Osaic Institutions, Inc. BD affiliated | Transamerica Financial Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 21, 2024 | Nov 12, 2024 |
| Steven Dale Gabriel | Osaic Institutions, Inc. BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Oct 16, 2024 | Nov 12, 2024 |
| Paul Ryan Lorenz | Osaic Institutions, Inc. BD affiliated | Key Investment Services LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 6, 2024 | Oct 7, 2024 (31 d) |
| Bob Azarieh | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 3, 2024 | Sep 5, 2024 |
| Joey Lee Miedema | Osaic Institutions, Inc. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 23, 2024 | Aug 26, 2024 |
| David M Marks | Osaic Institutions, Inc. BD affiliated | Valley Wealth Managers, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 22, 2024 | Sep 5, 2024 |
| Alissa Provanzana | Osaic Institutions, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 17, 2024 | Jul 17, 2024 |
| Cynthia L Rich | Osaic Institutions, Inc. BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Jul 3, 2024 | Jul 10, 2024 |
| Eric John Ackerman | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 20, 2024 | Jul 19, 2024 |
| David Andres Johnson | Osaic Institutions, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 3, 2024 | May 31, 2024 |
| Elizabeth Ladd Blackburn | Osaic Institutions, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 3, 2024 | May 31, 2024 |
| Jonathan Edward Fonash | Osaic Institutions, Inc. BD affiliated | Transamerica Financial Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 29, 2024 | Jun 6, 2024 |
| Roger Henry Weismiller | Osaic Institutions, Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | May 28, 2024 | May 28, 2024 |
| Kimberly Viner Place | Osaic Institutions, Inc. BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 24, 2024 | May 30, 2024 |
642 moves match.