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
Jonathan James MilesOsaic Institutions, Inc. otherOppenheimer & Co. Inc. otherOtherNov 10, 2017Nov 14, 2017
John Christopher WoodromeOsaic Institutions, Inc. otherTd Ameritrade Investment Management, LLC otherOtherNov 8, 2017Nov 17, 2017
Timothy John BaileyOsaic Institutions, Inc. otherLPL Financial LLC independent RIAOtherNov 3, 2017Nov 22, 2017
Stefanie Cecile BoykinOsaic Institutions, Inc. otherMoney Concepts Advisory Service otherOtherOct 6, 2017Oct 5, 2017
Emily Laurel BordeauOsaic Institutions, Inc. otherEssex Financial Services, Inc. otherOtherSep 28, 2017Oct 3, 2017
Robert James SchupOsaic Institutions, Inc. otherOn Investment Management Co BD affiliatedOtherSep 12, 2017Apr 17, 2018 (217 d)
Acie Wayne HyltonOsaic Institutions, Inc. otherLPL Financial LLC otherOtherSep 1, 2017Sep 1, 2017
Derek Charles MasonOsaic Institutions, Inc. otherCetera Investment Advisers LLC BD affiliatedOtherAug 25, 2017Aug 3, 2018 (343 d)
Ryan Joseph WeiserOsaic Institutions, Inc. otherWeiser Financial Planning LLC state registeredOtherAug 23, 2017Sep 13, 2017
Jessica Lauren MccordOsaic Institutions, Inc. otherRaymond James Financial Services Advisors, Inc otherOtherAug 17, 2017Aug 17, 2017
Jason Mcteague ScheurerOsaic Institutions, Inc. otherOrchard Wealth & Legacy Management LLC state registeredOtherAug 15, 2017Nov 21, 2017 (98 d)
Thomas KimOsaic Institutions, Inc. otherCitigroup Global Markets Inc. otherOtherJul 12, 2017Jul 11, 2017
John Robert BondOsaic Institutions, Inc. otherSimmons First Investment Group, Inc. otherOtherJul 7, 2017Jul 12, 2017
Julia Kay CookOsaic Institutions, Inc. otherSimmons First Investment Group, Inc. otherOtherJul 7, 2017Jul 12, 2017
David Lawrence CoulterOsaic Institutions, Inc. otherOsaic Fs, Inc. otherOtherJun 26, 2017Jul 13, 2017
Gabriel HallOsaic Institutions, Inc. otherHuntington Financial Advisors otherOtherJun 12, 2017Jul 12, 2017
Amanda Lyvette RobinsonOsaic Institutions, Inc. otherInvestment Centers Of America, Inc. otherOtherJun 7, 2017Jun 5, 2017
Brian J WebbOsaic Institutions, Inc. otherLPL Financial LLC otherOtherMay 23, 2017May 22, 2017
David White RogersOsaic Institutions, Inc. otherCitizens Securities, Inc. otherOtherMay 22, 2017May 22, 2017
Frederick Arvey SavelOsaic Institutions, Inc. otherWells Fargo Advisors wirehouseOtherMay 17, 2017May 17, 2017
Frederick William JacksonOsaic Institutions, Inc. otherIntegrated Wealth Concepts LLC otherOtherMay 16, 2017Jun 6, 2017
Brian Kenneth MaroisOsaic Institutions, Inc. otherKey Investment Services LLC otherOtherMay 10, 2017May 9, 2017
Dan Julius NguyenOsaic Institutions, Inc. otherU.S. Bancorp Advisors, LLC otherOtherMay 4, 2017May 1, 2017
Joseph A ParedezOsaic Institutions, Inc. otherEdward Jones national BDOtherMay 3, 2017May 5, 2017
James BaroneOsaic Institutions, Inc. otherCitizens Securities, Inc. otherOtherMay 1, 2017Apr 13, 2017
Douglas Eugene MorganOsaic Institutions, Inc. otherInvest Financial Corporation otherOtherMay 1, 2017May 1, 2017
Patrick E O'ConnorOsaic Institutions, Inc. otherCitizens Securities, Inc. BD affiliatedOtherMar 31, 2017Aug 15, 2018 (502 d)
Jason Frederick StadsholtOsaic Institutions, Inc. otherMidwestern Securities Trading Co.,LLC otherOtherMar 31, 2017Apr 3, 2017
Kevin Samuel AronovOsaic Institutions, Inc. otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherMar 9, 2017Mar 6, 2017
Lauren Pinell EscribanoOsaic Institutions, Inc. otherWells Fargo Advisors wirehouseOtherMar 7, 2017Jun 23, 2017 (108 d)
Laura Marie FasanOsaic Institutions, Inc. otherLPL Financial LLC otherOtherFeb 7, 2017Feb 3, 2017
Michelle Lee Cooper-McnallyOsaic Institutions, Inc. otherLPL Financial LLC otherOtherFeb 7, 2017Feb 3, 2017
Lori Jane GalbraithOsaic Institutions, Inc. otherLPL Financial LLC otherOtherFeb 7, 2017Feb 3, 2017
Justin DelaneyOsaic Institutions, Inc. otherCitizens Securities, Inc. otherOtherFeb 1, 2017Feb 3, 2017
Michael Westwick AlredOsaic Institutions, Inc. otherInvest Financial Corporation otherOtherFeb 1, 2017Feb 1, 2017
Umar Farooq AliOsaic Institutions, Inc. otherLPL Financial LLC otherOtherFeb 1, 2017Jan 30, 2017
Daniel Brian SmithOsaic Institutions, Inc. otherAllstate Financial Advisors, LLC no RAUMOtherJan 27, 2017Mar 10, 2017 (42 d)
Lisa HachigianOsaic Institutions, Inc. otherWells Fargo Advisors wirehouseOtherJan 25, 2017Feb 2, 2017
Jakob DworaczykOsaic Institutions, Inc. otherEdward Jones national BDOtherJan 23, 2017Jan 23, 2017
Dennis John KeyserOsaic Institutions, Inc. otherKey Investment Services LLC otherOtherDec 9, 2016Dec 12, 2016
Jonathan Paul FucciOsaic Institutions, Inc. otherKey Investment Services LLC otherOtherNov 28, 2016Dec 1, 2016
Sandra Marie HolguinOsaic Institutions, Inc. otherWescom Financial Services, LLC independent RIAOtherNov 3, 2016Nov 7, 2016
Adam Matthew KearnsOsaic Institutions, Inc. otherCetera Investment Advisers LLC otherOtherNov 3, 2016Nov 1, 2016
Christian Michael BarnettOsaic Institutions, Inc. otherCuso Financial Services, L.P. otherOtherNov 3, 2016Nov 1, 2016
Alan AuOsaic Institutions, Inc. otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherOct 12, 2016Jan 30, 2017 (110 d)
Michael David WebbOsaic Institutions, Inc. otherM&T Securities, Inc. unclassifiedOtherOct 11, 2016May 11, 2017 (212 d)
Robert Dale BodnarOsaic Institutions, Inc. otherCetera Investment Advisers LLC otherOtherOct 4, 2016Oct 17, 2016
Matthew Kyle BoudreauxOsaic Institutions, Inc. otherHancock Whitney Investment Services Inc. otherOtherOct 3, 2016Oct 18, 2016
Kerry A KellyOsaic Institutions, Inc. otherFragasso Financial Advisors otherOtherSep 28, 2016Jun 1, 2017 (246 d)
Stephen Craig KucharskiOsaic Institutions, Inc. otherScottrade Investment Management otherOtherSep 23, 2016Jan 27, 2017 (126 d)
Christopher Bryan LawsonOsaic Institutions, Inc. otherLPL Financial LLC otherOtherSep 22, 2016Sep 20, 2016
Scott Andrew FraserOsaic Institutions, Inc. otherRaymond James Financial Services Advisors, Inc otherOtherSep 21, 2016Oct 3, 2016
Thomas W HuddlestonOsaic Institutions, Inc. otherLPL Financial LLC otherOtherSep 14, 2016Sep 30, 2016
Kevin Michael O'ConnorOsaic Institutions, Inc. otherNavy Federal Asset Management, LLC otherOtherAug 31, 2016Aug 31, 2016
Brian KulikOsaic Institutions, Inc. otherRaymond James & Associates, Inc. national BDOtherAug 31, 2016Sep 23, 2016
Chi MakOsaic Institutions, Inc. otherJ.P. Morgan Securities LLC wirehouseOtherAug 15, 2016Sep 1, 2016
Mark John PoseyOsaic Institutions, Inc. otherFifth Third Securities, Inc. otherOtherJul 21, 2016Aug 2, 2016
Jeremy James FalconeOsaic Institutions, Inc. otherLPL Financial LLC otherOtherJul 21, 2016Jul 25, 2016
Heather Ann BanksOsaic Institutions, Inc. otherPruco Securities, LLC otherOtherJul 18, 2016Aug 3, 2016
Richard Alexander HebertOsaic Institutions, Inc. otherParish Investment Advisors LLC state registeredOtherJul 18, 2016Sep 30, 2016 (74 d)
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642 moves match.