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 Fsic

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
Jay SchwartzFsic otherB. Riley Wealth Advisors, Inc. BD affiliatedOtherSep 24, 2020Sep 13, 2020
John Glennon O'ConnellFsic otherB. Riley Wealth Advisors, Inc. BD affiliatedOtherSep 24, 2020Sep 14, 2020
David Michael SchlossbergFsic otherB. Riley Wealth Advisors, Inc. BD affiliatedOtherSep 23, 2020Sep 14, 2020
Lawrence Peter StrzeleckiFsic otherB. Riley Wealth Advisors, Inc. BD affiliatedOtherSep 23, 2020Sep 15, 2020
Gerald Wayne HowellFsic otherB. Riley Wealth Advisors, Inc. BD affiliatedOtherSep 23, 2020Sep 13, 2020
Neil Edwin LarsonFsic otherEdwin Lane Financial Services, LLC state registeredOtherMar 31, 2020Apr 29, 2020
Lance Montgomery PowersFsic otherCanopy 360 Wealth, LLC no RAUMOtherJul 23, 2018Aug 31, 2018 (39 d)
Jamie Gump LositoFsic otherCanopy 360 Wealth, LLC no RAUMOtherJul 23, 2018Aug 31, 2018 (39 d)
Jere Robert MeyerFsic otherCetera Investment Advisers LLC BD affiliatedOtherApr 16, 2018Jun 29, 2023 (1900 d)
Kurt A. RoddyFsic otherKms Financial Services, Inc otherOtherJan 2, 2018Jan 2, 2018
Angela Marie JolleyFsic otherKms Financial Services, Inc otherOtherJan 2, 2018Jan 2, 2018
George Wallace HookFsic otherKms Financial Services, Inc otherOtherDec 22, 2017Dec 22, 2017
Timothy Lee BoveyFsic otherKms Financial Services, Inc otherOtherDec 5, 2017Dec 5, 2017
Shaun Jeffery DeanFsic otherKms Financial Services, Inc otherOtherDec 5, 2017Dec 5, 2017
Gregory Allen BaldwinFsic otherMatrix Wealth Management, Inc. unclassifiedOtherDec 31, 2014Dec 3, 2014
Michael Kim ChryslerFsic otherMatrix Wealth Management, Inc. unclassifiedOtherDec 31, 2014Dec 3, 2014
Eric Fenton GreenFsic otherStrategic Wealth Advisors Group otherOtherMay 5, 2014Apr 30, 2014
Eldon Dean Fielding-MonsonFsic otherMonson Wealth Management, Inc. independent RIAOtherApr 28, 2014Mar 18, 2014
Lindsay Douglas ClealFsic otherMorgan Stanley wirehouseOtherApr 8, 2013Jul 23, 2013 (106 d)
Steven T LarsenFsic otherCore Investment Strategies, LLC unclassifiedOtherJan 23, 2012Oct 12, 2010
Eric James QuenemoenFsic otherCapital One Advisors, LLC no RAUMOtherJul 20, 2011Mar 11, 2013 (600 d)
Tyson Hale HunterFsic otherU.S. Bancorp Investments, Inc. otherOtherSep 11, 2006Sep 8, 2006
Barbara Jean KubeshFsic otherVoya Financial Advisors, Inc. otherOtherFeb 3, 2004Mar 17, 2004 (43 d)
Richard William LackeyFsic otherKg Advisors II, L.P. independent RIAOtherAug 2, 2002Jan 12, 2005 (894 d)
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24 moves match.