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 Kms Financial Services, 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 |
|---|---|---|---|---|---|
| Amanda Peterson | Kms Financial Services, Inc BD affiliated | Johnson Bixby no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Nov 7, 2020 | Oct 16, 2020 |
| Lloyd Jeffrey Galbraith | Kms Financial Services, Inc BD affiliated | Wealth Management Northwest, Inc. state registered | Affiliated broker-dealer or bank to a state-registered adviser | Nov 6, 2020 | Feb 14, 2005 |
| Tracy Douglas Forsythe | Kms Financial Services, Inc BD affiliated | Arbor Point Advisors BD affiliated | Affiliated broker-dealer or bank to another | Nov 6, 2020 | Nov 6, 2020 |
| Daniel James Claric | Kms Financial Services, Inc BD affiliated | Alison, LLC other | Other | Nov 6, 2020 | May 3, 2005 |
| Robert William Reynolds | Kms Financial Services, Inc BD affiliated | Echelon Group unclassified | Other | Nov 6, 2020 | Aug 1, 2010 |
| David D Stewart | Kms Financial Services, Inc BD affiliated | Arbor Point Advisors BD affiliated | Affiliated broker-dealer or bank to another | Nov 6, 2020 | Nov 6, 2020 |
| Heidi Marie Johnson Bixby | Kms Financial Services, Inc BD affiliated | Johnson Bixby no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Nov 5, 2020 | Oct 16, 2020 |
| Lynn Douglas Snyder | Kms Financial Services, Inc BD affiliated | Johnson Bixby no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Nov 5, 2020 | Oct 16, 2020 |
| Patricia Lynn Spies | Kms Financial Services, Inc BD affiliated | Johnson Bixby no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Nov 5, 2020 | Oct 16, 2020 |
| Amanda J Reynolds | Kms Financial Services, Inc BD affiliated | Johnson Bixby no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Nov 5, 2020 | Oct 16, 2020 |
| Kenneth Neil Martinson | Kms Financial Services, Inc BD affiliated | Consolidated Portfolio Review Corp independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 30, 2020 | Oct 30, 2020 |
| Daniel James Prentice | Kms Financial Services, Inc BD affiliated | Vanderbilt Advisory Services BD affiliated | Affiliated broker-dealer or bank to another | Oct 30, 2020 | Oct 30, 2020 |
| Todd William Schliiter | Kms Financial Services, Inc BD affiliated | Sila Financial, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Oct 30, 2020 | Nov 3, 2020 |
| Elliot George Ford | Kms Financial Services, Inc BD affiliated | Vanderbilt Advisory Services BD affiliated | Affiliated broker-dealer or bank to another | Oct 30, 2020 | Oct 30, 2020 |
| John Curtis Stoller | Kms Financial Services, Inc BD affiliated | Consolidated Portfolio Review Corp independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 30, 2020 | Oct 30, 2020 |
| Sonja Marie Yates Seymour | Kms Financial Services, Inc BD affiliated | D.A. Davidson & Co. independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 30, 2020 | Sep 29, 2021 (334 d) |
| Todd Walter Pisarczyk | Kms Financial Services, Inc BD affiliated | Sustainable Wealth Management LLC other | Other | Oct 30, 2020 | Aug 12, 2011 |
| Warren William Schliiter | Kms Financial Services, Inc BD affiliated | Sila Financial, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Oct 30, 2020 | Oct 27, 2020 |
| John Richard Leithner | Kms Financial Services, Inc BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Oct 30, 2020 | Oct 30, 2020 |
| Scott Denis Abrahamson | Kms Financial Services, Inc BD affiliated | The H Group, Inc. other | Other | Oct 30, 2020 | Dec 21, 2016 |
| Barrigan William Nelson | Kms Financial Services, Inc BD affiliated | Capital Financial Planners no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Oct 30, 2020 | Sep 15, 2020 |
| Palash Samiul Islam | Kms Financial Services, Inc BD affiliated | Synergy Fg no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Oct 30, 2020 | Aug 17, 2020 |
| Todd Michael Nelson | Kms Financial Services, Inc BD affiliated | Sittner & Nelson, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Oct 30, 2020 | Sep 30, 2020 |
| Stewart Lee Hayes | Kms Financial Services, Inc BD affiliated | Willamette Valley Wealth Management, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Oct 30, 2020 | Nov 16, 2020 |
| Sarah Elizabeth Brooke | Kms Financial Services, Inc BD affiliated | Roehl & Yi Investment Advisors, LLC other | Other | Oct 30, 2020 | Feb 23, 2009 |
| Linde Elise Carroll | Kms Financial Services, Inc BD affiliated | Momentous Wealth Management, Inc. no RAUM | Other | Oct 30, 2020 | Jul 11, 2017 |
| Danae N Johnson | Kms Financial Services, Inc BD affiliated | Capital Financial Planners independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 30, 2020 | Sep 11, 2023 (1046 d) |
| Taylor Alan Vilhauer | Kms Financial Services, Inc BD affiliated | Momentous Wealth Management, Inc. no RAUM | Other | Oct 30, 2020 | Jul 11, 2017 |
| Christopher Edward Paul Pawlowski | Kms Financial Services, Inc BD affiliated | Wellspring Advisors, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 30, 2020 | Oct 30, 2020 |
| Chad S. Campbell | Kms Financial Services, Inc BD affiliated | Capital Financial Planners no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Oct 30, 2020 | Sep 15, 2020 |
| Michaela Lynne Griggs | Kms Financial Services, Inc BD affiliated | Sage Advisors, LLC no RAUM | Other | Oct 30, 2020 | May 28, 2019 |
| Kevin Lee Sittner | Kms Financial Services, Inc BD affiliated | Sittner & Nelson, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Oct 30, 2020 | Sep 1, 2020 |
| Freddie Lee Sittner | Kms Financial Services, Inc BD affiliated | Sittner & Nelson, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Oct 30, 2020 | Sep 1, 2020 |
| Drew Alan Springer | Kms Financial Services, Inc BD affiliated | Advisory Services Network independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 30, 2020 | Nov 3, 2020 |
| Crystal Annette Mcmahon | Kms Financial Services, Inc BD affiliated | Great Life Investing unclassified | Other | Oct 29, 2020 | Oct 30, 2020 |
| William Louis Fisher | Kms Financial Services, Inc BD affiliated | Consolidated Portfolio Review Corp independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 28, 2020 | Oct 28, 2020 |
| Jason Tyler Greenwood | Kms Financial Services, Inc BD affiliated | Consolidated Portfolio Review Corp independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 28, 2020 | Jan 8, 2026 (1898 d) |
| Michael William Radakovich | Kms Financial Services, Inc BD affiliated | Consolidated Portfolio Review Corp independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 22, 2020 | Oct 22, 2020 |
| Hillary E Brevig | Kms Financial Services, Inc BD affiliated | Consolidated Portfolio Review Corp independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 22, 2020 | Oct 27, 2020 |
| Stephen Arthur Mallery | Kms Financial Services, Inc BD affiliated | Mallery Financial state registered | Affiliated broker-dealer or bank to a state-registered adviser | Oct 21, 2020 | Jan 1, 2025 (1533 d) |
| Nicholas M Pagliai | Kms Financial Services, Inc BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Oct 21, 2020 | Nov 9, 2020 |
| Cyndi Thompson | Kms Financial Services, Inc BD affiliated | Johnson Bixby no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Oct 21, 2020 | Oct 16, 2020 |
| Paul K Doak | Kms Financial Services, Inc BD affiliated | Wealthcare Advisory Partners LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 19, 2020 | Oct 19, 2020 |
| Timothy Jon Bellinger | Kms Financial Services, Inc BD affiliated | Cantella & Co., Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 16, 2020 | Oct 16, 2020 |
| Don P Holt | Kms Financial Services, Inc BD affiliated | Principal Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 16, 2020 | Oct 22, 2020 |
| Claude Damian Nesis | Kms Financial Services, Inc BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 16, 2020 | Oct 16, 2020 |
| Ann Marie Novosel | Kms Financial Services, Inc BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Oct 15, 2020 | Oct 15, 2020 |
| Taryn Renae Lee | Kms Financial Services, Inc BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Oct 15, 2020 | Oct 15, 2020 |
| Suzan Luna Jaffe | Kms Financial Services, Inc BD affiliated | Vanderbilt Advisory Services BD affiliated | Affiliated broker-dealer or bank to another | Oct 15, 2020 | Jan 1, 2025 (1539 d) |
| Gregg West Dawson | Kms Financial Services, Inc BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 15, 2020 | Oct 14, 2020 |
| Stephanie Jo Shinn | Kms Financial Services, Inc BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Oct 14, 2020 | Oct 13, 2020 |
| Jamison Richard Banna | Kms Financial Services, Inc BD affiliated | Cape Investment Advisory, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 9, 2020 | Oct 9, 2020 |
| Dylan Cole Simons | Kms Financial Services, Inc BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Oct 6, 2020 | Nov 17, 2020 (42 d) |
| Sally Lou Mccray | Kms Financial Services, Inc BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Oct 1, 2020 | Oct 1, 2020 |
| Robin Pengkoon Tan | Kms Financial Services, Inc BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 1, 2020 | Oct 1, 2020 |
| Kimberly Mae Johnson | Kms Financial Services, Inc BD affiliated | United Planners' Financial Services Of America A Limited Partner independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 1, 2020 | Sep 30, 2020 |
| Nicoletta J Schaff | Kms Financial Services, Inc BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Oct 1, 2020 | Oct 1, 2020 |
| Landon S Tan | Kms Financial Services, Inc BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 1, 2020 | Aug 3, 2021 (306 d) |
| Teresa N Palmer | Kms Financial Services, Inc BD affiliated | United Planners' Financial Services Of America A Limited Partner independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 30, 2020 | Sep 30, 2020 |
| Jarrod Charles Nunn | Kms Financial Services, Inc BD affiliated | United Planners' Financial Services Of America A Limited Partner independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 30, 2020 | Sep 30, 2020 |
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222 moves match.