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.

AdvisorFromToTypeLeftRegistered
Corbin CoutureOsaic Institutions, Inc. BD affiliatedSecurities America Advisors, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherApr 26, 2019Apr 26, 2019
Marc R MaddoxOsaic Institutions, Inc. BD affiliatedIcom Advisors, LLC independent RIAAffiliated broker-dealer or bank to independent RIAApr 18, 2019Jun 7, 2019 (50 d)
Anto Armani ShakelianOsaic Institutions, Inc. BD affiliatedMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseAffiliated broker-dealer or bank to wirehouseApr 16, 2019May 13, 2019
Michael Sean MoranOsaic Institutions, Inc. BD affiliatedLPL Financial LLC independent RIAAffiliated broker-dealer or bank to independent RIAApr 15, 2019Apr 10, 2019
Doreen Lea WeberOsaic Institutions, Inc. BD affiliatedWoodbury Financial Services, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherMar 26, 2019Mar 19, 2019
Michael Osborne JenkinsOsaic Institutions, Inc. BD affiliatedWells Fargo Advisors wirehouseAffiliated broker-dealer or bank to wirehouseMar 5, 2019Apr 2, 2019
Michael Paul McmeansOsaic Institutions, Inc. BD affiliatedSsn Advisory, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherMar 1, 2019Mar 1, 2019
John Edward MurphyOsaic Institutions, Inc. BD affiliatedCetera Investment Advisers LLC BD affiliatedAffiliated broker-dealer or bank to anotherFeb 2, 2019Jun 29, 2023 (1608 d)
Jessica Floyd HillOsaic Institutions, Inc. BD affiliatedJanney Montgomery Scott LLC BD affiliatedAffiliated broker-dealer or bank to anotherJan 2, 2019Jan 3, 2019
Kevin H ChristopherOsaic Institutions, Inc. BD affiliatedCwm, LLC independent RIAAffiliated broker-dealer or bank to independent RIADec 31, 2018Jan 11, 2019
Kevin Paul JudgeOsaic Institutions, Inc. BD affiliatedCharles Schwab & Co., Inc. national BDAffiliated broker-dealer or bank to anotherDec 6, 2018Dec 19, 2018
Phillip Shayne FontenotOsaic Institutions, Inc. BD affiliatedNewedge Advisors independent RIAAffiliated broker-dealer or bank to independent RIADec 4, 2018Dec 3, 2018
Evan Drew SaterfielOsaic Institutions, Inc. BD affiliatedNewedge Advisors independent RIAAffiliated broker-dealer or bank to independent RIADec 4, 2018Dec 3, 2018
William Bruce FloydOsaic Institutions, Inc. BD affiliatedIc Advisory Services, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherDec 3, 2018Jan 23, 2019 (51 d)
Benjamin David GieseOsaic Institutions, Inc. BD affiliatedLPL Financial LLC independent RIAAffiliated broker-dealer or bank to independent RIADec 3, 2018Nov 27, 2018
Christopher Casey FloydOsaic Institutions, Inc. BD affiliatedIc Advisory Services, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherDec 3, 2018Jan 23, 2019 (51 d)
John Thomas QuiggleOsaic Institutions, Inc. BD affiliatedWells Fargo Advisors wirehouseAffiliated broker-dealer or bank to wirehouseDec 1, 2018Nov 30, 2018
John Allard MitchellOsaic Institutions, Inc. BD affiliatedNewedge Advisors independent RIAAffiliated broker-dealer or bank to independent RIADec 1, 2018Nov 30, 2018
Stephen Robert NoldeOsaic Institutions, Inc. BD affiliatedLPL Financial LLC independent RIAAffiliated broker-dealer or bank to independent RIADec 1, 2018Nov 30, 2018
Anthony Joseph ScolaOsaic Institutions, Inc. BD affiliatedAdvice And Planning Services BD affiliatedAffiliated broker-dealer or bank to anotherNov 29, 2018Dec 26, 2018
Jonathan David GinsburghOsaic Institutions, Inc. BD affiliatedCetera Investment Advisers LLC BD affiliatedAffiliated broker-dealer or bank to anotherOct 29, 2018Nov 19, 2018
Kyle R NichollsOsaic Institutions, Inc. BD affiliatedCuso Financial Services, L.P. BD affiliatedAffiliated broker-dealer or bank to anotherOct 25, 2018Apr 10, 2019 (167 d)
Jessica AshbyOsaic Institutions, Inc. BD affiliatedLPL Financial LLC independent RIAAffiliated broker-dealer or bank to independent RIAOct 20, 2018Dec 6, 2018 (47 d)
Jaclyn A HissickOsaic Institutions, Inc. BD affiliatedCwm, LLC independent RIAAffiliated broker-dealer or bank to independent RIAOct 19, 2018Oct 19, 2018
Richard Michael WatersOsaic Institutions, Inc. BD affiliatedAmeriprise Financial Services, LLC national BDAffiliated broker-dealer or bank to anotherOct 17, 2018Oct 17, 2018
Lawrence RochaOsaic Institutions, Inc. BD affiliatedAvantax Advisory Services BD affiliatedAffiliated broker-dealer or bank to anotherOct 13, 2018Nov 14, 2018 (32 d)
Wilfred James SmylyOsaic Institutions, Inc. BD affiliatedRaymond James Financial Services Advisors, Inc BD affiliatedAffiliated broker-dealer or bank to anotherSep 28, 2018Oct 2, 2018
Shawn AmblodOsaic Institutions, Inc. BD affiliatedEmpower Advisory Group, LLC institutionalOtherSep 26, 2018Oct 19, 2018
Luca Anthony D ItaliaOsaic Institutions, Inc. BD affiliatedIndependence Financial Advisors, LLC independent RIAAffiliated broker-dealer or bank to independent RIASep 17, 2018Dec 26, 2018 (100 d)
Edward VigliettaOsaic Institutions, Inc. BD affiliatedFirst Horizon Advisors, Inc mixed wealthAffiliated broker-dealer or bank to independent RIAAug 27, 2018Jul 9, 2020 (682 d)
Timothy Paul GolandOsaic Institutions, Inc. BD affiliatedLPL Financial LLC independent RIAAffiliated broker-dealer or bank to independent RIAAug 22, 2018Aug 21, 2018
Troy Fredrick SterbaOsaic Institutions, Inc. BD affiliatedFirst Horizon Advisors, Inc mixed wealthAffiliated broker-dealer or bank to independent RIAJul 17, 2018Jul 24, 2020 (738 d)
Kori Jean ManusOsaic Institutions, Inc. BD affiliatedLPL Financial LLC independent RIAAffiliated broker-dealer or bank to independent RIAJul 6, 2018Jun 29, 2018
Jessica H McnameeOsaic Institutions, Inc. BD affiliatedLPL Financial LLC independent RIAAffiliated broker-dealer or bank to independent RIAJul 6, 2018Jun 29, 2018
John BennishOsaic Institutions, Inc. BD affiliatedEdward Jones national BDAffiliated broker-dealer or bank to anotherJun 18, 2018Jun 19, 2018
Jonathan Lawrence HurdOsaic Institutions, Inc. BD affiliatedWells Fargo Advisors wirehouseAffiliated broker-dealer or bank to wirehouseMay 17, 2018May 16, 2018
Cristine Joan FureyOsaic Institutions, Inc. BD affiliatedCuso Financial Services, L.P. BD affiliatedAffiliated broker-dealer or bank to anotherMay 7, 2018May 25, 2018
Adam Edward DayOsaic Institutions, Inc. BD affiliatedWells Fargo Advisors wirehouseAffiliated broker-dealer or bank to wirehouseMay 7, 2018Jun 13, 2018 (37 d)
Cara Solimine RhodesOsaic Institutions, Inc. BD affiliatedWells Fargo Advisors wirehouseAffiliated broker-dealer or bank to wirehouseApr 23, 2018Oct 11, 2019 (536 d)
Maximo Gregorio CentenoOsaic Institutions, Inc. BD affiliatedWealth Watch Advisors, Inc independent RIAAffiliated broker-dealer or bank to independent RIAApr 11, 2018Jul 9, 2018 (89 d)
Molly Anne BrownOsaic Institutions, Inc. BD affiliatedPrivate Advisor Group, LLC independent RIAAffiliated broker-dealer or bank to independent RIAApr 9, 2018Apr 23, 2018
Brent Merle WeisenbornOsaic Institutions, Inc. BD affiliatedBks Investment Services, Inc. unclassifiedOtherApr 4, 2018Jul 9, 2018 (96 d)
Clayton William MckownOsaic Institutions, Inc. otherMorgan Stanley wirehouseOtherMar 9, 2018Mar 8, 2018
Anthony DicapuaOsaic Institutions, Inc. otherSecurities America Advisors, Inc. BD affiliatedOtherMar 9, 2018Apr 10, 2018 (32 d)
Michael TartariniOsaic Institutions, Inc. otherSagepoint Financial, Inc. BD affiliatedOtherMar 2, 2018Mar 7, 2018
Jerad Ryan RosendahlOsaic Institutions, Inc. otherLPL Financial LLC independent RIAOtherMar 1, 2018Mar 6, 2018
Levi ReiglerOsaic Institutions, Inc. otherFifth Third Securities, Inc. BD affiliatedOtherFeb 23, 2018Mar 23, 2018
Bartholomew Timothy-Dylan MacklerOsaic Institutions, Inc. otherGreat Lakes Wealth, LLC otherOtherFeb 15, 2018Mar 20, 2018 (33 d)
Jeffrey Patrick HeardOsaic Institutions, Inc. otherCetera Investment Advisers LLC otherOtherJan 25, 2018Feb 20, 2018
James Vincent GraceOsaic Institutions, Inc. otherSilver Pine Capital, LLC state registeredOtherJan 8, 2018Mar 14, 2018 (65 d)
Thomas David MckeonOsaic Institutions, Inc. otherCommonwealth Financial Network national BDOtherJan 3, 2018Mar 7, 2018 (63 d)
Jeremy Alan ParkerOsaic Institutions, Inc. otherRaymond James Financial Services Advisors, Inc BD affiliatedOtherJan 3, 2018Jan 22, 2018
Paul Philip MelansonOsaic Institutions, Inc. otherOsaic Fa, Inc. otherOtherDec 19, 2017Jan 26, 2018 (38 d)
Thomas Michael BurkeOsaic Institutions, Inc. otherOsaic Fa, Inc. otherOtherDec 19, 2017Jan 23, 2018 (35 d)
John MerendinoOsaic Institutions, Inc. otherCetera Investment Advisers LLC otherOtherDec 7, 2017Dec 4, 2017
Andrew Albert FahnerOsaic Institutions, Inc. otherAdvice And Planning Services otherOtherDec 6, 2017Jan 8, 2018 (33 d)
Matthew Truman FallawOsaic Institutions, Inc. otherRaymond James Financial Services Advisors, Inc BD affiliatedOtherDec 5, 2017Nov 14, 2019 (709 d)
Robert Fuller ReeseOsaic Institutions, Inc. otherFirst Horizon Advisors, Inc otherOtherDec 5, 2017Nov 30, 2017
Sharon E WestveerOsaic Institutions, Inc. otherPnc Wealth Management BD affiliatedOtherNov 29, 2017Jan 5, 2018 (37 d)
Mark Raymond VidaOsaic Institutions, Inc. otherCommonwealth Financial Network national BDOtherNov 27, 2017Jan 3, 2018 (37 d)
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642 moves match.