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 |
|---|---|---|---|---|---|
| Robert Patrick Carroll | Osaic Institutions, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | May 20, 2024 | May 14, 2024 |
| Paige Ratliff | Osaic Institutions, Inc. BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | May 10, 2024 | May 24, 2024 |
| Stephen Parker Nitz | Osaic Institutions, Inc. BD affiliated | Steward Partners Investment Advisory, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 8, 2024 | May 6, 2024 |
| Kenneth J Mitchell | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 6, 2024 | May 6, 2024 |
| Stephanie Mondro | Osaic Institutions, Inc. BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | May 6, 2024 | Jun 24, 2024 (49 d) |
| Michael Howard Boyd | Osaic Institutions, Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | May 1, 2024 | May 1, 2024 |
| Patrick Lanini | Osaic Institutions, Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Apr 25, 2024 | Jul 16, 2024 (82 d) |
| Andranik Hayotsyan | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 17, 2024 | Apr 30, 2024 |
| Joseph Andrew Zolna | Osaic Institutions, Inc. BD affiliated | Equitable Advisors, LLC national BD | Affiliated broker-dealer or bank to another | Apr 5, 2024 | Apr 4, 2024 |
| Corey Walker | Osaic Institutions, Inc. BD affiliated | Walker Capital Partners, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Apr 5, 2024 | Nov 4, 2024 (213 d) |
| Michael A Comperchio | Osaic Institutions, Inc. BD affiliated | Equitable Advisors, LLC national BD | Affiliated broker-dealer or bank to another | Apr 2, 2024 | Apr 2, 2024 |
| Matthew Christopher Robinson | Osaic Institutions, Inc. BD affiliated | Janney Montgomery Scott LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 6, 2024 | Mar 15, 2024 |
| Carole Weeks Duffey | Osaic Institutions, Inc. BD affiliated | Stonex Advisors Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 27, 2024 | Feb 26, 2024 |
| Katherine M Bray | Osaic Institutions, Inc. BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Feb 27, 2024 | Feb 26, 2024 |
| Amy Buck | Osaic Institutions, Inc. BD affiliated | Planpath Financial state registered | Affiliated broker-dealer or bank to a state-registered adviser | Feb 16, 2024 | Jun 7, 2024 (112 d) |
| Richard James Rugel | Osaic Institutions, Inc. BD affiliated | Tlg Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 15, 2024 | Feb 28, 2024 |
| Maximilian Alsarraf | Osaic Institutions, Inc. BD affiliated | Citizens Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 14, 2024 | Mar 1, 2024 |
| Lance Wayne Roe | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 13, 2024 | Feb 15, 2024 |
| Joshua Roger Allen | Osaic Institutions, Inc. BD affiliated | The Foundry Financial Group, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 7, 2024 | Feb 8, 2024 |
| Clay P Cook | Osaic Institutions, Inc. BD affiliated | Stonex Advisors Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 2, 2024 | Feb 1, 2024 |
| Ronald Miller | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 1, 2024 | Feb 1, 2024 |
| Julie Tarak Anderson | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 1, 2024 | Feb 1, 2024 |
| Michael Joseph Jennings | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 1, 2024 | Feb 6, 2024 |
| Crystal Lynn Bain | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 1, 2024 | Feb 1, 2024 |
| Andrew Patrick Augustine | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 1, 2024 | Feb 1, 2024 |
| Brennan Vincent Krengel | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 1, 2024 | Feb 1, 2024 |
| James Allen Rosset | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 1, 2024 | Feb 6, 2024 |
| Travis Jay Lacelle | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 1, 2024 | Feb 1, 2024 |
| John H Shank | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 1, 2024 | Feb 2, 2024 |
| Cynthia Joy Rogers | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 1, 2024 | Feb 1, 2024 |
| Nathaniel Ross Barkley | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 1, 2024 | Feb 1, 2024 |
| Danielle Marie Thompson | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 1, 2024 | Feb 1, 2024 |
| Nathan D Schmiege | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 1, 2024 | Feb 1, 2024 |
| James Alexander Mollison | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 1, 2024 | Feb 1, 2024 |
| Benard Kyule Weibel | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 1, 2024 | Feb 1, 2024 |
| Marrisa Michelle Taylor | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 1, 2024 | Feb 1, 2024 |
| Rebecca Chartier | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 1, 2024 | Feb 1, 2024 |
| Derek James Sebastian | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 1, 2024 | Feb 1, 2024 |
| Brianna Marie Gooden | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 1, 2024 | Oct 31, 2024 (273 d) |
| Raymond Cecil Shoup | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 1, 2024 | Feb 1, 2024 |
| Luke Banks | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 1, 2024 | Feb 1, 2024 |
| Michael Patrick Mitchell | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 1, 2024 | Feb 1, 2024 |
| Harold Dennis Rotary | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 1, 2024 | Feb 1, 2024 |
| Julie Ann Bennett | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 31, 2024 | Feb 1, 2024 |
| Steven Mezzo | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 31, 2024 | Feb 1, 2024 |
| Brandon Thomas Valdo | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 31, 2024 | Feb 1, 2024 |
| Trisia Emily Gotham | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 31, 2024 | Feb 1, 2024 |
| Daniel Lee Sheppard | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 31, 2024 | Jan 1, 2025 (336 d) |
| Stephanie Marie Brown | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 31, 2024 | Feb 1, 2024 |
| Raymond Edward Saari | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 30, 2024 | Jan 30, 2024 |
| Steven Patrick Willick | Osaic Institutions, Inc. BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Jan 16, 2024 | Jul 17, 2025 (548 d) |
| William Dillon Fogarty | Osaic Institutions, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 16, 2024 | Apr 2, 2024 (77 d) |
| Jeffrey Thomas Bone | Osaic Institutions, Inc. BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Jan 16, 2024 | May 15, 2024 (120 d) |
| Melissa Godwin Scott | Osaic Institutions, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 10, 2024 | Feb 19, 2024 (40 d) |
| Mark A Lane | Osaic Institutions, Inc. BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Jan 2, 2024 | Jan 5, 2024 |
| Fred Paul Boy | Osaic Institutions, Inc. BD affiliated | Ladenburg Thalmann Asset Management Inc mixed wealth | Affiliated broker-dealer or bank to independent RIA | Dec 31, 2023 | Nov 10, 2023 |
| Thomas Joseph Mcaneny | Osaic Institutions, Inc. BD affiliated | Pnc Wealth Management BD affiliated | Affiliated broker-dealer or bank to another | Dec 15, 2023 | Feb 26, 2024 (73 d) |
| Stephen Richard Soper | Osaic Institutions, Inc. BD affiliated | Orange Investment Advisors, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 13, 2023 | Feb 3, 2026 (783 d) |
| John Michael Mousel | Osaic Institutions, Inc. BD affiliated | MML Investors Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 27, 2023 | Jan 16, 2024 (81 d) |
| James Gregory Wallace | Osaic Institutions, Inc. BD affiliated | Steward Partners Investment Advisory, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 12, 2023 | Oct 12, 2023 |
642 moves match.