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 |
|---|---|---|---|---|---|
| Brent C Wells | Kms Financial Services, Inc BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 28, 2020 | Oct 14, 2020 |
| Warn Dee Willis | Kms Financial Services, Inc BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 23, 2020 | Sep 23, 2020 |
| Bruce Douglas Eckfeldt | Kms Financial Services, Inc BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 23, 2020 | Sep 23, 2020 |
| Russell Lon Snyder | Kms Financial Services, Inc BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 23, 2020 | Sep 23, 2020 |
| Tommy E. Smothers | Kms Financial Services, Inc BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 21, 2020 | Sep 18, 2020 |
| William E. Smothers | Kms Financial Services, Inc BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 21, 2020 | Oct 29, 2024 (1499 d) |
| Lauren H. Peck | Kms Financial Services, Inc BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 16, 2020 | Sep 14, 2020 |
| Michael George Weinand | Kms Financial Services, Inc BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 1, 2020 | Sep 1, 2020 |
| Steven Robert Rich | Kms Financial Services, Inc BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 1, 2020 | Sep 1, 2020 |
| Carlyn Rae Earl | Kms Financial Services, Inc BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 1, 2020 | Sep 1, 2020 |
| Robert Frederick Kays | Kms Financial Services, Inc BD affiliated | Scf Investment Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 31, 2020 | Aug 31, 2020 |
| James T Ramsay | Kms Financial Services, Inc BD affiliated | Park Avenue Securities LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 24, 2020 | Sep 17, 2021 (389 d) |
| Michael James Wren | Kms Financial Services, Inc BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 31, 2020 | Jul 31, 2020 |
| David Alexander Mantell | Kms Financial Services, Inc BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 27, 2020 | Jul 27, 2020 |
| Vicki Andrews | Kms Financial Services, Inc BD affiliated | Waddell & Reed BD affiliated | Affiliated broker-dealer or bank to another | Jul 20, 2020 | Jul 20, 2020 |
| Jonathan Burns Muench | Kms Financial Services, Inc BD affiliated | Alera Investment Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 1, 2020 | Jul 16, 2020 |
| John William Homer | Kms Financial Services, Inc BD affiliated | Dfpg Investments, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 30, 2020 | Jul 1, 2020 |
| Debra Joann Pellati | Kms Financial Services, Inc BD affiliated | Tpg Financial Advisors, LLC mixed wealth | Affiliated broker-dealer or bank to independent RIA | Jun 24, 2020 | Sep 9, 2024 (1538 d) |
| Sean Kenneth Meldrum | Kms Financial Services, Inc BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | May 20, 2020 | Aug 19, 2020 (91 d) |
| Richard Erwin Meyer | Kms Financial Services, Inc BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 11, 2020 | May 11, 2020 |
| Gregory Samuel Meyer | Kms Financial Services, Inc BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 11, 2020 | May 11, 2020 |
| Alecia Lauretta Modahl | Kms Financial Services, Inc BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | May 4, 2020 | May 4, 2020 |
| Trevor Maxwell | Kms Financial Services, Inc BD affiliated | Cape Investment Advisory, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | May 1, 2020 | Sep 29, 2020 (151 d) |
| William Joseph Paladino | Kms Financial Services, Inc BD affiliated | Paladino Wealth no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Apr 30, 2020 | May 1, 2020 |
| Monica Ann Callen | Kms Financial Services, Inc BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 24, 2020 | Mar 23, 2020 |
| Kelly Jean Aversa | Kms Financial Services, Inc BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 24, 2020 | Mar 23, 2020 |
| Brandy C Maben | Kms Financial Services, Inc BD affiliated | Levin Funding Group LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 19, 2020 | Jan 14, 2021 (301 d) |
| Russell Darin Cole | Kms Financial Services, Inc BD affiliated | Sage Advisors, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Dec 31, 2019 | May 28, 2019 |
| Deborah Ann Gianelli | Kms Financial Services, Inc BD affiliated | Whole Family Financial Services, Inc. state registered | Affiliated broker-dealer or bank to a state-registered adviser | Dec 31, 2019 | Sep 18, 2019 |
| Jordan Donald Cole | Kms Financial Services, Inc BD affiliated | Sage Advisors, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Dec 16, 2019 | May 28, 2019 |
| Anna Gabriella Martinez | Kms Financial Services, Inc BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 22, 2019 | Oct 4, 2021 (713 d) |
| Michael Ludwig Kappes | Kms Financial Services, Inc BD affiliated | Next Steps Advisors, Inc. state registered | Affiliated broker-dealer or bank to a state-registered adviser | Sep 30, 2019 | Sep 30, 2019 |
| Tanya L Elling | Kms Financial Services, Inc BD affiliated | Schwab Wealth Advisory, Inc. no RAUM | Other | Jul 19, 2019 | Jun 15, 2023 (1427 d) |
| Tyler Moritsune Tonaki | Kms Financial Services, Inc BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 3, 2019 | Jul 30, 2019 |
| Noura Marie Alsheikh | Kms Financial Services, Inc BD affiliated | Northwest Asset Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 20, 2019 | Dec 7, 2020 (536 d) |
| Andrea Joy Easterling | Kms Financial Services, Inc BD affiliated | Cable Hill Partners, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 7, 2019 | Jun 5, 2019 |
| Jerome David Pickar | Kms Financial Services, Inc BD affiliated | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 22, 2019 | Mar 26, 2019 |
| Mark Stephen Martel | Kms Financial Services, Inc BD affiliated | Martel Wealth Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 31, 2018 | Aug 2, 2018 |
| Gregory Roger Freitag | Kms Financial Services, Inc BD affiliated | Investacorp Advisory Services Inc BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2018 | Jan 2, 2019 |
| Julie Dianne Scott | Kms Financial Services, Inc BD affiliated | Martel Wealth Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 31, 2018 | Aug 2, 2018 |
| Lloyd Grant Caudle | Kms Financial Services, Inc BD affiliated | Martel Wealth Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 31, 2018 | Aug 2, 2018 |
| Michele Marie Madasz | Kms Financial Services, Inc BD affiliated | Martel Wealth Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 31, 2018 | Aug 2, 2018 |
| Jason Stephen Martel | Kms Financial Services, Inc BD affiliated | Martel Wealth Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 31, 2018 | Aug 2, 2018 |
| Robyn Pomprowitz Meyer | Kms Financial Services, Inc BD affiliated | Pathmont Investment Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 17, 2018 | Dec 14, 2018 |
| Brentford Moir Price | Kms Financial Services, Inc BD affiliated | Alera Investment Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 1, 2018 | Nov 2, 2018 |
| Sabrina Peterson | Kms Financial Services, Inc BD affiliated | Alera Investment Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 1, 2018 | Nov 15, 2018 |
| Ronald William Devon | Kms Financial Services, Inc BD affiliated | Alera Investment Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 1, 2018 | Nov 16, 2018 |
| Barak Judah Tanzer | Kms Financial Services, Inc BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 21, 2018 | Aug 22, 2018 |
| Christine Renae Burkhart | 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 | Jul 23, 2018 | Jul 20, 2018 |
| Tassie Sonya Medlin | 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 | Jul 20, 2018 | Jul 20, 2018 |
| Brett Robert Boyer | Kms Financial Services, Inc BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Jun 8, 2018 | Jul 8, 2019 (395 d) |
| Kenneth Bert Wheeler | Kms Financial Services, Inc BD affiliated | Onefirm Consulting, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Mar 13, 2018 | Feb 28, 2018 |
| Shane Patrick Larson | Kms Financial Services, Inc BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Mar 5, 2018 | Mar 6, 2018 |
| Elizabeth Ruth Perry | Kms Financial Services, Inc other | First Pacific Financial, Inc. independent RIA | Other | Dec 31, 2017 | Dec 17, 2019 (716 d) |
| Darren Patrick Farrell | Kms Financial Services, Inc other | First Pacific Financial, Inc. no RAUM | Other | Dec 31, 2017 | Sep 1, 2016 |
| Doug Scott Graumann | Kms Financial Services, Inc other | Dominion Portfolio Management, Inc. other | Other | Dec 31, 2017 | Jan 25, 2018 |
| Todd Robert Engblom-Stryker | Kms Financial Services, Inc other | First Pacific Financial, Inc. no RAUM | Other | Dec 31, 2017 | Aug 31, 2016 |
| Rebecca Louise Eckert | Kms Financial Services, Inc other | First Pacific Financial, Inc. other | Other | Dec 31, 2017 | Apr 20, 2017 |
| William B Nolan | Kms Financial Services, Inc other | Imc other | Other | Dec 31, 2017 | Mar 17, 2008 |
| Adam Timothy Wishard | Kms Financial Services, Inc other | First Pacific Financial, Inc. no RAUM | Other | Dec 31, 2017 | Aug 31, 2016 |
222 moves match.