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 |
|---|---|---|---|---|---|
| Paul Gerard Miller | 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 |
| Gregory Blake Richards | 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 |
| Jeremiah James Burns | Osaic Institutions, Inc. BD affiliated | First Horizon Advisors, Inc mixed wealth | Affiliated broker-dealer or bank to independent RIA | Jan 22, 2021 | Feb 22, 2021 (31 d) |
| Scott Andrew Fraser | 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 |
| Michael William Reilly | 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 |
| Gloria Yanet Roque-Gutierrez | 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 |
| Hunter Bailey Mcclendon | 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 |
| Pamela Lynn Hannan | Osaic Institutions, Inc. BD affiliated | Independence Financial Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 3, 2021 | Feb 19, 2021 (47 d) |
| Cheri Watson | Osaic Institutions, Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Dec 21, 2020 | Jan 13, 2022 (388 d) |
| James Andrew Hotchkiss | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 10, 2020 | Feb 12, 2021 (64 d) |
| Donald James Sundt | Osaic Institutions, Inc. BD affiliated | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 9, 2020 | Feb 16, 2021 (69 d) |
| Lorenzo Pietro Gaudioso | Osaic Institutions, Inc. BD affiliated | Cwm, LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 3, 2020 | Dec 3, 2020 |
| Andrew Stephen Jankowiak | Osaic Institutions, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 13, 2020 | Oct 15, 2020 |
| Natalya S Pearl | Osaic Institutions, Inc. BD affiliated | Dragonfly Wealth Advisory state registered | Affiliated broker-dealer or bank to a state-registered adviser | Oct 2, 2020 | Aug 12, 2026 (2140 d) |
| Alton Lee Christopher Anders | Osaic Institutions, Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Sep 29, 2020 | Oct 1, 2020 |
| Joseph John Howe | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 15, 2020 | Sep 14, 2020 |
| Kelly Mieloch Sparks | Osaic Institutions, Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 10, 2020 | Jul 1, 2022 (659 d) |
| William Paul Comer | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 14, 2020 | Oct 15, 2020 (62 d) |
| Nathan V Bremer | Osaic Institutions, Inc. BD affiliated | Eighth Wonder Investments state registered | Affiliated broker-dealer or bank to a state-registered adviser | Aug 11, 2020 | Aug 18, 2020 |
| James Dehoff | Osaic Institutions, Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Aug 8, 2020 | Nov 23, 2020 (107 d) |
| Biren Patel | Osaic Institutions, Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jun 16, 2020 | Oct 14, 2020 (120 d) |
| John Joseph Erny | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 12, 2020 | Jun 22, 2020 |
| Anna Marie Fagan | Osaic Institutions, Inc. BD affiliated | Cwm, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 2, 2020 | Jun 1, 2020 |
| Peter Michael Crabtree | Osaic Institutions, Inc. BD affiliated | Prosperity Economics Partners, LLC no RAUM | Other | May 21, 2020 | May 20, 2020 |
| Mark Christopher Zacek | Osaic Institutions, Inc. BD affiliated | Capital Analysts BD affiliated | Affiliated broker-dealer or bank to another | May 19, 2020 | Jul 28, 2020 (70 d) |
| Clifton Douglas Hawkins | Osaic Institutions, Inc. BD affiliated | Hilltop Wealth & Tax Solutions independent RIA | Affiliated broker-dealer or bank to independent RIA | May 12, 2020 | Aug 25, 2020 (105 d) |
| Dino Berri | Osaic Institutions, Inc. BD affiliated | Secure Asset Management, L.L.C. independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 26, 2020 | Jul 14, 2020 (110 d) |
| Evan James Badge | Osaic Institutions, Inc. BD affiliated | Cuso Financial Services, L.P. BD affiliated | Affiliated broker-dealer or bank to another | Mar 24, 2020 | Apr 6, 2020 |
| Dennis John Keyser | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 23, 2020 | Mar 20, 2020 |
| Michael Jozef Orszulak | Osaic Institutions, Inc. BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Mar 23, 2020 | Mar 23, 2020 |
| Andrew Martin | Osaic Institutions, Inc. BD affiliated | Fifth Third Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 11, 2020 | Mar 19, 2020 |
| Chris Elliotte Bailey | Osaic Institutions, Inc. BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Mar 3, 2020 | Mar 2, 2020 |
| Sean Paul Tole | Osaic Institutions, Inc. BD affiliated | Brookstone Capital Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 21, 2020 | Mar 11, 2020 |
| James Patrick Flynn | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 18, 2020 | Feb 18, 2020 |
| Robert E Walker | Osaic Institutions, Inc. BD affiliated | Centaurus Financial, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 18, 2020 | Mar 23, 2020 (34 d) |
| Christopher Riofrio | Osaic Institutions, Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 15, 2020 | Jan 30, 2020 |
| Kurtis E Burcume | Osaic Institutions, Inc. BD affiliated | Allstate Financial Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 7, 2020 | Jul 10, 2020 (185 d) |
| Christopher D. Burton | Osaic Institutions, Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 6, 2020 | Feb 12, 2024 (1498 d) |
| James Ronald Welch | Osaic Institutions, Inc. BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 13, 2019 | Dec 16, 2019 |
| David M Woldman | Osaic Institutions, Inc. BD affiliated | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 3, 2019 | Dec 2, 2019 |
| Stephanie Mondro | Osaic Institutions, Inc. BD affiliated | Professional Planning Group independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 3, 2019 | Jan 22, 2020 (50 d) |
| James Patrick Clancy | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 26, 2019 | Dec 12, 2019 |
| Chad L. Lino | Osaic Institutions, Inc. BD affiliated | Wesbanco Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 21, 2019 | Dec 3, 2019 |
| Joseph Thomas Murphy | Osaic Institutions, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 18, 2019 | Nov 18, 2019 |
| David Jerred Cohn | Osaic Institutions, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 5, 2019 | Nov 4, 2019 |
| George Kostas Stambouloglou | Osaic Institutions, Inc. BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Oct 21, 2019 | Oct 21, 2019 |
| Malcolm Roger Parks | Osaic Institutions, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 19, 2019 | Sep 13, 2019 |
| Virginia Lee Kiss | Osaic Institutions, Inc. BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Aug 29, 2019 | Sep 19, 2019 |
| Gary Arthur Therrian | Osaic Institutions, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 23, 2019 | Sep 19, 2019 |
| Matthew Allen Wrenn | Osaic Institutions, Inc. BD affiliated | Huntington Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Aug 23, 2019 | Aug 30, 2019 |
| Thomas Kim | Osaic Institutions, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 23, 2019 | Jul 26, 2019 |
| Andrew Brian Noto | Osaic Institutions, Inc. BD affiliated | Planning Associates Wealth Management, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jul 23, 2019 | Sep 6, 2019 (45 d) |
| Ashley W Owens | Osaic Institutions, Inc. BD affiliated | Captrust institutional | Other | Jul 19, 2019 | Oct 30, 2019 (103 d) |
| Brian A Hummel | Osaic Institutions, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 1, 2019 | Jul 1, 2019 |
| Cameron Harris | Osaic Institutions, Inc. BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Jul 1, 2019 | Jul 1, 2019 |
| Umar Farooq Ali | Osaic Institutions, Inc. BD affiliated | First Citizens Investor Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 21, 2019 | Jul 8, 2019 |
| Daniel Lee Jones | Osaic Institutions, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 10, 2019 | Jun 3, 2019 |
| Mary Renee Holcomb | Osaic Institutions, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 10, 2019 | Jun 3, 2019 |
| Sheri Turek | Osaic Institutions, Inc. BD affiliated | Huntington Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | May 21, 2019 | May 30, 2019 |
| Paul T Economou | Osaic Institutions, Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Apr 26, 2019 | Jan 16, 2025 (2092 d) |
642 moves match.