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 |
|---|---|---|---|---|---|
| Daniel Seghi | Osaic Institutions, Inc. BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Oct 10, 2023 | Oct 16, 2023 |
| Jennifer Michelle Saunders | Osaic Institutions, Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Sep 29, 2023 | Sep 29, 2023 |
| David Anderson | Osaic Institutions, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 26, 2023 | Sep 25, 2023 |
| Brendan R Kahl | Osaic Institutions, Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 14, 2023 | Oct 19, 2023 (35 d) |
| Heather Kate Rossitto | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 11, 2023 | Sep 13, 2023 |
| Timothy William Sumner | Osaic Institutions, Inc. BD affiliated | Stifel, Nicolaus & Company, Incorporated national BD | Affiliated broker-dealer or bank to another | Sep 5, 2023 | Oct 12, 2023 (37 d) |
| Dennis John Keyser | Osaic Institutions, Inc. BD affiliated | Thrive Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 7, 2023 | Aug 22, 2023 |
| Kathleen Anne Mulhern Webster | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 18, 2023 | Jul 17, 2023 |
| Nanette Bouvier Rediker | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 18, 2023 | Jul 17, 2023 |
| Christopher Michael Reaume | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 7, 2023 | Jul 17, 2023 |
| Sam N Shaw | Osaic Institutions, Inc. BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Jul 7, 2023 | Aug 7, 2023 (31 d) |
| Tracy Allen Poole | Osaic Institutions, Inc. BD affiliated | Faoc, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jun 30, 2023 | Jun 29, 2023 |
| Chi Mak | Osaic Institutions, Inc. BD affiliated | Td Private Client Wealth LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 23, 2023 | Jun 28, 2023 |
| David Michael Davis | Osaic Institutions, Inc. BD affiliated | Spc BD affiliated | Affiliated broker-dealer or bank to another | May 30, 2023 | May 30, 2023 |
| Emily Lynn Lebowitz | Osaic Institutions, Inc. BD affiliated | Cwm, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 30, 2023 | Jun 20, 2023 |
| James A Henriquez | Osaic Institutions, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | May 1, 2023 | Jun 7, 2023 (37 d) |
| Leonardo Ramirez | Osaic Institutions, Inc. BD affiliated | Fortis Capital Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 28, 2023 | Jul 30, 2023 (93 d) |
| Darrin Adrian Andrews | Osaic Institutions, Inc. BD affiliated | Commerce Brokerage Services, Inc independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 28, 2023 | May 9, 2023 |
| Robert Earl Peckham | Osaic Institutions, Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 27, 2023 | Apr 28, 2023 |
| James Edmund Hesseling | Osaic Institutions, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 19, 2023 | Apr 25, 2023 |
| Michael David Vichunas | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 3, 2023 | Mar 3, 2023 |
| Daniel Albert Marnik | Osaic Institutions, Inc. BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 20, 2023 | Feb 24, 2023 |
| Alvaro Mauricio Jiron | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 20, 2023 | Mar 13, 2023 |
| Brian James Coleman | Osaic Institutions, Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Feb 10, 2023 | Feb 10, 2023 |
| Madalyn Elise Dow | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 23, 2023 | Feb 6, 2023 |
| Amie Jean Mutti | Osaic Institutions, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 9, 2022 | Dec 10, 2022 |
| Dakota Pius Durbin | Osaic Institutions, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 9, 2022 | Dec 10, 2022 |
| Ryan Scott Hanawalt | Osaic Institutions, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 9, 2022 | Dec 10, 2022 |
| Conner Darsee | Osaic Institutions, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 9, 2022 | Dec 10, 2022 |
| Charles Joseph Abboud | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 30, 2022 | Nov 30, 2022 |
| James Howard Ponder | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 30, 2022 | Dec 5, 2022 |
| Raymond Kip Reuter | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 30, 2022 | Nov 30, 2022 |
| Christian Harvey Johnston | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 30, 2022 | Dec 2, 2022 |
| Michael Glenn Chandler | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 30, 2022 | Dec 2, 2022 |
| John New | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 30, 2022 | Nov 30, 2022 |
| Eric Lawrence Phelps | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 30, 2022 | Nov 30, 2022 |
| George Bradley Moore | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 30, 2022 | Nov 30, 2022 |
| Brian Davidson | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 30, 2022 | Dec 1, 2022 |
| Christopher Matthew Tracy | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 30, 2022 | Dec 2, 2022 |
| Gregory Scott Mason | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 30, 2022 | Dec 6, 2022 |
| Shannon Louise Lusk | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 30, 2022 | Nov 30, 2022 |
| Todd Lawrence Vanderbrook | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 30, 2022 | Dec 6, 2022 |
| Kathryn Michelle Pilkinton | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 30, 2022 | Nov 30, 2022 |
| Pamela Berry Moore | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 30, 2022 | Nov 30, 2022 |
| Linda Marie Amador | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 30, 2022 | Nov 30, 2022 |
| James Otis Phillips | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 29, 2022 | Nov 30, 2022 |
| Denton Lorenzo Smith | Osaic Institutions, Inc. BD affiliated | Nationwide Investment Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 18, 2022 | Jun 16, 2023 (210 d) |
| Christopher J Tomaskovic | Osaic Institutions, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 18, 2022 | Oct 17, 2022 |
| Deandre James Bell | Osaic Institutions, Inc. BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Oct 12, 2022 | Jan 13, 2023 (93 d) |
| Steven Wayne Aiken | Osaic Institutions, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Sep 6, 2022 | Sep 12, 2022 |
| Seth Karasin | Osaic Institutions, Inc. BD affiliated | Bny Mellon Securities Corporation BD affiliated | Affiliated broker-dealer or bank to another | Sep 6, 2022 | Sep 26, 2022 |
| Mark Craig Simpson | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 25, 2022 | Sep 14, 2022 |
| Shennoah Miller | Osaic Institutions, Inc. BD affiliated | Avantax Advisory Services BD affiliated | Affiliated broker-dealer or bank to another | Aug 18, 2022 | Dec 14, 2023 (483 d) |
| Tanner Bentley Bass | Osaic Institutions, Inc. BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Aug 17, 2022 | Aug 16, 2022 |
| William Tyler Rondeau | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 26, 2022 | Nov 1, 2022 (98 d) |
| Steven Paul Boatner | Osaic Institutions, Inc. BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Jul 25, 2022 | Jul 22, 2022 |
| Mark Charles Castonguay | Osaic Institutions, Inc. BD affiliated | American Financial Planning, Inc. state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jul 25, 2022 | Aug 13, 2023 (384 d) |
| Joshua Rodriguez | Osaic Institutions, Inc. BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 25, 2022 | Aug 30, 2022 (36 d) |
| Morgan Hankins | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 5, 2022 | Aug 1, 2022 |
| Brian L Johnson | Osaic Institutions, Inc. BD affiliated | Brightpath Wealth Advisors LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jun 30, 2022 | Jul 19, 2022 |
642 moves match.