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 |
|---|---|---|---|---|---|
| Zachary Michael Thomas | Osaic Institutions, Inc. BD affiliated | Heritage Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 27, 2022 | Jul 1, 2022 |
| Andre Mangano | Osaic Institutions, Inc. BD affiliated | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 21, 2022 | Jun 24, 2022 |
| Alexander Scott Morphet | Osaic Institutions, Inc. BD affiliated | Thrivent Investment Management Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 21, 2022 | Jun 27, 2022 |
| Matthew H Dewildt | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 20, 2022 | Jun 21, 2022 |
| David Michel Haik | Osaic Institutions, Inc. BD affiliated | Spc BD affiliated | Affiliated broker-dealer or bank to another | May 27, 2022 | Jul 1, 2022 (35 d) |
| Kathleen Anne Ringler | Osaic Institutions, Inc. BD affiliated | RBC Capital Markets, LLC national BD | Affiliated broker-dealer or bank to another | May 26, 2022 | May 26, 2022 |
| Mark Stanley Cross-Powers | Osaic Institutions, Inc. BD affiliated | Little House Capital, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 23, 2022 | May 24, 2022 |
| Nickolas Clark Ward | Osaic Institutions, Inc. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | May 16, 2022 | Jun 9, 2022 |
| Randall Brian Monaghan | Osaic Institutions, Inc. BD affiliated | Buckingham Strategic Wealth, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 29, 2022 | Jun 9, 2022 (41 d) |
| Matthew James Seigfreid | Osaic Institutions, Inc. BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Apr 14, 2022 | Jun 12, 2024 (790 d) |
| Gregory Brian Paine | Osaic Institutions, Inc. BD affiliated | Capital Management Associates Inc independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 4, 2022 | Apr 1, 2022 |
| Adam Rean Bohlen | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 28, 2022 | Apr 29, 2022 (32 d) |
| Jeffrey James Core | Osaic Institutions, Inc. BD affiliated | Huntington Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Mar 18, 2022 | Apr 7, 2022 |
| Anthony Lawrence Henry | Osaic Institutions, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 15, 2022 | Mar 17, 2022 |
| Debra Rae Martin | Osaic Institutions, Inc. BD affiliated | Advice And Planning Services BD affiliated | Affiliated broker-dealer or bank to another | Jan 31, 2022 | Feb 8, 2022 |
| John Joseph Deleo | Osaic Institutions, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 4, 2022 | Jan 4, 2022 |
| Roger Dean Heidlebaugh | Osaic Institutions, Inc. BD affiliated | Concourse Financial Group Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jan 3, 2022 | Oct 24, 2022 (294 d) |
| Brent Merle Weisenborn | Osaic Institutions, Inc. BD affiliated | Fiduciary Trust Private Wealth Counsel LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Dec 31, 2021 | Mar 11, 2022 (70 d) |
| Yogesh Malik | Osaic Institutions, Inc. BD affiliated | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 3, 2021 | Jan 6, 2022 (34 d) |
| Jessica Blake Light | Osaic Institutions, Inc. BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 3, 2021 | Dec 6, 2021 |
| Eric Foster Nost | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 2, 2021 | Nov 29, 2021 |
| George Thomas Haskins | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 2, 2021 | Nov 29, 2021 |
| Scott Noel Alperin | Osaic Institutions, Inc. BD affiliated | Alperin Financial Solutions, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Nov 26, 2021 | Sep 7, 2023 (650 d) |
| Scott Douglas Samuels | Osaic Institutions, Inc. BD affiliated | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 29, 2021 | Nov 1, 2021 |
| Marci R Wilson | Osaic Institutions, Inc. BD affiliated | Stratos Wealth Partners, Ltd BD affiliated | Affiliated broker-dealer or bank to another | Oct 27, 2021 | Oct 25, 2023 (728 d) |
| Grant William De Vries | Osaic Institutions, Inc. BD affiliated | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 18, 2021 | Oct 18, 2021 |
| Christopher Mishler | Osaic Institutions, Inc. BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Oct 12, 2021 | Dec 15, 2021 (64 d) |
| William Marcus Ebhardt | Osaic Institutions, Inc. BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 5, 2021 | Jan 4, 2022 (91 d) |
| Steven Michael Milligan | Osaic Institutions, Inc. BD affiliated | Creativeone Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 1, 2021 | Sep 30, 2021 |
| Christopher Paul Mara | Osaic Institutions, Inc. BD affiliated | Northeast Planning Associates, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 30, 2021 | Mar 8, 2022 (159 d) |
| Christopher Russell Perkins | Osaic Institutions, Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 23, 2021 | Sep 29, 2021 |
| Jean S Mcmullin | Osaic Institutions, Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 9, 2021 | Sep 20, 2021 |
| Thomas Cole | Osaic Institutions, Inc. BD affiliated | USA Financial Securities LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 30, 2021 | Sep 1, 2021 |
| William R Davis | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 25, 2021 | Oct 4, 2021 (40 d) |
| Jonathan Michael Vargo | Osaic Institutions, Inc. BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Jun 16, 2021 | Jun 18, 2021 |
| Richard Brian Wolf | Osaic Institutions, Inc. BD affiliated | Woodbury Financial Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 8, 2021 | Oct 8, 2021 (122 d) |
| Curt C Edwards | Osaic Institutions, Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 2, 2021 | Aug 10, 2021 (69 d) |
| Christopher White Eddy | Osaic Institutions, Inc. BD affiliated | The Patriot Financial Group, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 24, 2021 | May 21, 2021 |
| Steven Gerard Wortmann | Osaic Institutions, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | May 24, 2021 | Aug 4, 2021 (72 d) |
| Christopher Ryan Newman | Osaic Institutions, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | May 5, 2021 | Apr 30, 2021 |
| Richard Edward Bergeron | Osaic Institutions, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | May 3, 2021 | Apr 18, 2023 (715 d) |
| Greg Scott | Osaic Institutions, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | May 3, 2021 | Apr 30, 2021 |
| Dustin James Anewalt | Osaic Institutions, Inc. BD affiliated | Advice And Planning Services BD affiliated | Affiliated broker-dealer or bank to another | May 3, 2021 | Jun 8, 2021 (36 d) |
| Brian Tuttle | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 19, 2021 | May 5, 2021 |
| Rebecca Davis | Osaic Institutions, Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Apr 6, 2021 | Jul 12, 2021 (97 d) |
| Gregory Nelson Phillips | Osaic Institutions, Inc. BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Mar 30, 2021 | Apr 8, 2021 |
| Sheila Kay Freeman | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 17, 2021 | Jan 4, 2022 (293 d) |
| Brandon E. Weatherford | Osaic Institutions, Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Mar 12, 2021 | May 21, 2021 (70 d) |
| Jill Renee Beaudry | Osaic Institutions, Inc. BD affiliated | Cwm, LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 19, 2021 | Jun 29, 2022 (495 d) |
| Ryan James Andert | Osaic Institutions, Inc. BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Jan 28, 2021 | Jan 22, 2021 |
| Vance Albert Richard | Osaic Institutions, Inc. BD affiliated | First Horizon Advisors, Inc mixed wealth | Affiliated broker-dealer or bank to independent RIA | Jan 22, 2021 | Jan 22, 2021 |
| Silvano Roberto Vizoso | Osaic Institutions, Inc. BD affiliated | First Horizon Advisors, Inc mixed wealth | Affiliated broker-dealer or bank to independent RIA | Jan 22, 2021 | Jan 25, 2021 |
| David Foad | Osaic Institutions, Inc. BD affiliated | First Horizon Advisors, Inc mixed wealth | Affiliated broker-dealer or bank to independent RIA | Jan 22, 2021 | May 13, 2021 (111 d) |
| Jon Adam Bourgeois | Osaic Institutions, Inc. BD affiliated | First Horizon Advisors, Inc mixed wealth | Affiliated broker-dealer or bank to independent RIA | Jan 22, 2021 | Jan 22, 2021 |
| Joseph P Barreca | Osaic Institutions, Inc. BD affiliated | First Horizon Advisors, Inc mixed wealth | Affiliated broker-dealer or bank to independent RIA | Jan 22, 2021 | Jan 22, 2021 |
| Thomas Benton Webre | Osaic Institutions, Inc. BD affiliated | First Horizon Advisors, Inc mixed wealth | Affiliated broker-dealer or bank to independent RIA | Jan 22, 2021 | Jan 22, 2021 |
| Kendra Bradford Cain | Osaic Institutions, Inc. BD affiliated | First Horizon Advisors, Inc mixed wealth | Affiliated broker-dealer or bank to independent RIA | Jan 22, 2021 | Jan 23, 2021 |
| John Michael Texada | Osaic Institutions, Inc. BD affiliated | First Horizon Advisors, Inc mixed wealth | Affiliated broker-dealer or bank to independent RIA | Jan 22, 2021 | Jan 25, 2021 |
| Derrick David Lagarde | Osaic Institutions, Inc. BD affiliated | First Horizon Advisors, Inc mixed wealth | Affiliated broker-dealer or bank to independent RIA | Jan 22, 2021 | Jan 22, 2021 |
| Daniel Seghi | Osaic Institutions, Inc. BD affiliated | First Horizon Advisors, Inc mixed wealth | Affiliated broker-dealer or bank to independent RIA | Jan 22, 2021 | Jan 25, 2021 |
642 moves match.