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
Walter Joseph Wiltz	Osaic Institutions, Inc. other	Parish Investment Advisors LLC state registered	Other	Jul 18, 2016	Sep 30, 2016 (74 d)
Robert Tudda	Osaic Institutions, Inc. other	J.P. Morgan Securities LLC wirehouse	Other	Jul 14, 2016	Aug 1, 2016
Brett Michael Dalessandro	Osaic Institutions, Inc. other	Capital One Advisors, LLC other	Other	Jul 7, 2016	Jul 18, 2016
Adam Justin Powell	Osaic Institutions, Inc. other	Securities America Advisors, Inc. other	Other	Jul 5, 2016	Jul 5, 2016
Lamont Adrian Brown	Osaic Institutions, Inc. other	Cuso Financial Services, L.P. other	Other	Jul 5, 2016	Jul 5, 2016
Richard Hoffman Hoy	Osaic Institutions, Inc. other	Wealthcare Advisory Partners LLC other	Other	Jun 17, 2016	Oct 27, 2016 (132 d)
Connor Francis Dolan	Osaic Institutions, Inc. other	Grey Ledge Advisors, LLC other	Other	May 23, 2016	Nov 17, 2016 (178 d)
Mary Ruth Wilson	Osaic Institutions, Inc. other	Janney Montgomery Scott LLC other	Other	May 19, 2016	May 23, 2016
Kristeena Michele Beasley	Osaic Institutions, Inc. other	Edward Jones national BD	Other	Apr 11, 2016	Aug 22, 2024 (3055 d)
Robert Granberry Tatum	Osaic Institutions, Inc. other	LPL Financial LLC other	Other	Apr 8, 2016	Apr 11, 2016
Jonathan Richard Ferrell	Osaic Institutions, Inc. other	Bb&T Investment Services, Inc. other	Other	Apr 4, 2016	Apr 20, 2016
Caroline A Peters	Osaic Institutions, Inc. other	Charles Schwab & Co., Inc. national BD	Other	Apr 1, 2016	May 3, 2016 (32 d)
Theodore Feitt	Osaic Institutions, Inc. other	Huntington Financial Advisors other	Other	Mar 7, 2016	Mar 31, 2016
Bruce Eugene Mccook	Osaic Institutions, Inc. other	LPL Financial LLC other	Other	Mar 1, 2016	Mar 1, 2016
Cynthia Lynn Bittle	Osaic Institutions, Inc. other	Pnc Wealth Management other	Other	Feb 29, 2016	May 24, 2016 (85 d)
Jennifer Lewis-Gravelle	Osaic Institutions, Inc. other	Edward Jones national BD	Other	Feb 26, 2016	Mar 10, 2016
Corey Adam Holtz	Osaic Institutions, Inc. other	Bb&T Investment Services, Inc. other	Other	Feb 24, 2016	Mar 1, 2016
Stephanie Lynn Conde	Osaic Institutions, Inc. other	Pnc Wealth Management other	Other	Feb 2, 2016	Feb 24, 2016
Christopher Stephen Cotterell	Osaic Institutions, Inc. other	Wealthcare Advisory Partners LLC other	Other	Jan 29, 2016	Feb 3, 2016
Ryan Charles Oates	Osaic Institutions, Inc. other	Wealthcare Advisory Partners LLC other	Other	Jan 29, 2016	Feb 4, 2016
Julie Ann Powers	Osaic Institutions, Inc. other	Oppenheimer & Co. Inc. other	Other	Jan 11, 2016	Jan 21, 2016
Frank Joseph Violini	Osaic Institutions, Inc. other	Bb&T Investment Services, Inc. other	Other	Jan 4, 2016	Jan 11, 2016
Mark Joseph Zakoski	Osaic Institutions, Inc. other	LPL Financial LLC other	Other	Dec 31, 2015	Jan 4, 2016
Matthew Mark Glatt	Osaic Institutions, Inc. other	Cwm, LLC other	Other	Dec 31, 2015	Jan 19, 2016
Liam P Garvey	Osaic Institutions, Inc. other	Cetera Investment Advisers LLC other	Other	Dec 21, 2015	Jan 20, 2016
Barbara Ducham	Osaic Institutions, Inc. other	Raymond James Financial Services Advisors, Inc other	Other	Dec 9, 2015	Jan 7, 2016
Steven Michael Damiani	Osaic Institutions, Inc. other	Sensus Wealth Management Group LLC state registered	Other	Nov 13, 2015	May 13, 2016 (182 d)
Theresa Timmerman	Osaic Institutions, Inc. other	Financial West Group other	Other	Nov 13, 2015	Jan 26, 2016 (74 d)
Georgeanne Graydon Aist	Osaic Institutions, Inc. other	Osaic Fa, Inc. other	Other	Nov 2, 2015	Nov 2, 2015
David A Yaffee	Osaic Institutions, Inc. other	Pruco Securities, LLC BD affiliated	Other	Oct 28, 2015	Jan 25, 2018 (820 d)
Christopher Luke Weiss	Osaic Institutions, Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Oct 27, 2015	Dec 8, 2015 (42 d)
Ronald J Holtz	Osaic Institutions, Inc. other	LPL Financial LLC other	Other	Oct 2, 2015	Oct 7, 2015
John Breckenridge Light	Osaic Institutions, Inc. other	Wells Fargo Advisors wirehouse	Other	Sep 29, 2015	Jan 12, 2017 (471 d)
Nathaniel Scott Gilbert	Osaic Institutions, Inc. other	Meridian Financial Partners LLC no RAUM	Other	Sep 28, 2015	Nov 16, 2015 (49 d)
Paul Richard Vegiard	Osaic Institutions, Inc. other	Santander Securities other	Other	Sep 8, 2015	Mar 31, 2016 (205 d)
Bruce Frederick Griggs	Osaic Institutions, Inc. other	Next Financial Group, Inc. other	Other	Aug 31, 2015	Sep 30, 2015
Ralph William Johnston	Osaic Institutions, Inc. other	United Planners' Financial Services Of America A Limited Partner other	Other	Aug 14, 2015	Aug 14, 2015
Stephen John Koorey	Osaic Institutions, Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Aug 7, 2015	Aug 31, 2015
Matthew Thomas Walker	Osaic Institutions, Inc. other	Columbia Management Investment Advisers, LLC other	Other	Jul 23, 2015	Sep 2, 2015 (41 d)
Paul Richard Duquette	Osaic Institutions, Inc. other	Santander Securities other	Other	Jun 30, 2015	Sep 22, 2015 (84 d)
James Baglini	Osaic Institutions, Inc. other	Santander Securities other	Other	Jun 19, 2015	Jun 26, 2015
Aaron William Johnson	Osaic Institutions, Inc. other	Cuna Brokerage Services, Inc. other	Other	May 13, 2015	May 29, 2015
Ronald Douglas Coltrane Jr	Osaic Institutions, Inc. other	Pnc Wealth Management other	Other	Mar 13, 2015	Sep 27, 2016 (564 d)
Benjamin Allan Salaba	Osaic Institutions, Inc. other	Edward Jones national BD	Other	Mar 10, 2015	Jan 11, 2016 (307 d)
Lisa Lynn Roccaforte	Osaic Institutions, Inc. other	LPL Financial LLC other	Other	Feb 25, 2015	Feb 25, 2015
James Carroll Richardson	Osaic Institutions, Inc. other	LPL Financial LLC BD affiliated	Other	Feb 10, 2015	Jan 17, 2025 (3629 d)
Adam Eliot Truitt	Osaic Institutions, Inc. other	LPL Financial LLC other	Other	Feb 6, 2015	Feb 18, 2015
Christopher M Eaton	Osaic Institutions, Inc. other	LPL Financial LLC other	Other	Dec 11, 2014	Dec 11, 2014
Thomas W Huddleston	Osaic Institutions, Inc. other	Cuso Financial Services, L.P. other	Other	Oct 1, 2014	Oct 16, 2014
Chad Hunter Hyllested	Osaic Institutions, Inc. other	Spc other	Other	Sep 16, 2014	Nov 13, 2014 (58 d)
Justin Carter Burgess	Osaic Institutions, Inc. other	Cetera Advisors LLC other	Other	Sep 15, 2014	Sep 15, 2014
Mark Stuart Schaffer	Osaic Institutions, Inc. other	Securities America Advisors, Inc. other	Other	Aug 23, 2014	Sep 2, 2014
Sean Thomas Odonnell	Osaic Institutions, Inc. other	New York Life Investment Management LLC other	Other	Aug 18, 2014	Aug 25, 2014
Gertrude Margaret Quinto	Osaic Institutions, Inc. other	Chesapeake Wealth Management other	Other	Jul 21, 2014	Jul 21, 2014
Luke James Becker	Osaic Institutions, Inc. other	Pnc Wealth Management other	Other	Jul 11, 2014	Jul 21, 2014
Faron Scott Miller	Osaic Institutions, Inc. other	Scottrade Investment Management other	Other	Jun 3, 2014	Jun 5, 2017 (1098 d)
Steven Mark Marantz	Osaic Institutions, Inc. other	Citizens Securities, Inc. other	Other	May 23, 2014	May 28, 2014
Angela Taylor Eddins	Osaic Institutions, Inc. other	LPL Financial LLC other	Other	May 12, 2014	Jun 4, 2014
John Thomas Quiggle	Osaic Institutions, Inc. other	Wells Fargo Advisors wirehouse	Other	Mar 21, 2014	Mar 21, 2014
Bethany Anne Dever	Osaic Institutions, Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Mar 10, 2014	May 6, 2015 (422 d)

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642 moves match.