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 Fs, 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 |
|---|---|---|---|---|---|
| Joseph Michael Andersen | Osaic Fs, Inc. BD affiliated | LPL Financial LLC other | Other | Jan 24, 2025 | Oct 1, 2007 |
| Karen Jill Hall | Osaic Fs, Inc. BD affiliated | Independent Advisers Group Corp other | Other | Jan 24, 2025 | Sep 8, 2004 |
| Ronald Lee Farrow | Osaic Fs, Inc. BD affiliated | Independent Advisers Group Corp other | Other | Jan 24, 2025 | Jun 15, 2004 |
| Robert Lindsey Baumann | Osaic Fs, Inc. BD affiliated | Independent Advisers Group Corp other | Other | Jan 24, 2025 | Mar 25, 2004 |
| Leonard W Warner | Osaic Fs, Inc. BD affiliated | Independent Advisers Group Corp other | Other | Jan 24, 2025 | May 20, 1998 |
| Kurt Reif III | Osaic Fs, Inc. BD affiliated | Independent Advisers Group Corp other | Other | Jan 24, 2025 | Sep 2, 2009 |
| Kurt John Reif | Osaic Fs, Inc. BD affiliated | Independent Advisers Group Corp other | Other | Jan 24, 2025 | Sep 2, 2009 |
| Jude Anthony Viator | Osaic Fs, Inc. BD affiliated | Exodus Wealth, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 2, 2024 | Dec 26, 2024 |
| Karren Sue Allen | Osaic Fs, Inc. BD affiliated | Hornor, Townsend & Kent, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 14, 2024 | Nov 13, 2024 |
| Andrew Rolf Melliger | Osaic Fs, Inc. BD affiliated | Hornor, Townsend & Kent, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 14, 2024 | Nov 13, 2024 |
| Nathan Michael Lee | Osaic Fs, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 25, 2024 | Sep 23, 2024 |
| Mark Joseph Katelhon | Osaic Fs, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 17, 2024 | Sep 9, 2024 |
| Jeffrey Alan Perry | Osaic Fs, Inc. BD affiliated | Ip Financial Advisory Services LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 30, 2024 | Oct 8, 2024 (39 d) |
| Michael Trombetta | Osaic Fs, Inc. BD affiliated | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 9, 2024 | Aug 12, 2024 |
| Mark Joseph Rychel | Osaic Fs, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 9, 2024 | Aug 5, 2024 |
| David Joseph Ward | Osaic Fs, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 8, 2024 | Aug 5, 2024 |
| Kelli M Cerra | Osaic Fs, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 8, 2024 | Aug 5, 2024 |
| Tyler Trombetta | Osaic Fs, Inc. BD affiliated | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 8, 2024 | Aug 8, 2024 |
| Noah Abraham Sosa | Osaic Fs, Inc. BD affiliated | Miramontes Capital, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 8, 2024 | Sep 27, 2024 (50 d) |
| Jocinta Nina White Powell | Osaic Fs, Inc. BD affiliated | J. W. Cole Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 7, 2024 | Aug 5, 2024 |
| Bryan Charles Byrd | Osaic Fs, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 7, 2024 | Aug 5, 2024 |
| David Edward Smedley | Osaic Fs, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 6, 2024 | Aug 5, 2024 |
| David Lee Gawne | Osaic Fs, Inc. BD affiliated | Bcr Financial Services, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Aug 6, 2024 | Sep 26, 2017 |
| Andy Ross Schink | Osaic Fs, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 6, 2024 | Aug 5, 2024 |
| James Anthony Sawczyszyn | Osaic Fs, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 5, 2024 | Aug 5, 2024 |
| Michael Vincent Whalen | Osaic Fs, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 5, 2024 | Aug 5, 2024 |
| Jeffrey Thomas Bagley | Osaic Fs, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 5, 2024 | Aug 5, 2024 |
| Daniel Wayne Costa | Osaic Fs, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 5, 2024 | Aug 5, 2024 |
| Daniel Joseph Ward | Osaic Fs, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 5, 2024 | Aug 5, 2024 |
| Richard Nicholas Mangieri | Osaic Fs, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 5, 2024 | Aug 5, 2024 |
| Diego Jose Garcia | Osaic Fs, Inc. BD affiliated | Dmk Advisor Group, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 5, 2024 | Aug 8, 2024 |
| Leo Richard Scalercio | Osaic Fs, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 5, 2024 | Aug 6, 2024 |
| Jeffrey Scott Engler | Osaic Fs, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Aug 1, 2024 | Jul 29, 2024 |
| Marc Allen Wilkins | Osaic Fs, Inc. BD affiliated | Bcr Financial Services, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jul 23, 2024 | Apr 20, 2017 |
| Terry Allen Crenshaw | Osaic Fs, Inc. BD affiliated | Global Retirement Partners LLC institutional | Other | Jul 22, 2024 | Jul 17, 2024 |
| Jessica C Lamb | Osaic Fs, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 22, 2024 | Jul 22, 2024 |
| James William Barnett | Osaic Fs, Inc. BD affiliated | Global Retirement Partners LLC institutional | Other | Jul 19, 2024 | Jul 18, 2024 |
| Rhett Nolan Sinclair | Osaic Fs, Inc. BD affiliated | Global Retirement Partners LLC institutional | Other | Jul 19, 2024 | Jul 17, 2024 |
| Christopher Sloop | Osaic Fs, Inc. BD affiliated | Global Retirement Partners LLC institutional | Other | Jul 18, 2024 | Jul 18, 2024 |
| William Herbert Phillips | Osaic Fs, Inc. BD affiliated | Global Retirement Partners LLC institutional | Other | Jul 17, 2024 | Jul 17, 2024 |
| Samuel Alex Boulware | Osaic Fs, Inc. BD affiliated | Global Retirement Partners LLC institutional | Other | Jul 17, 2024 | Jul 17, 2024 |
| Matthew Lee Bowers | Osaic Fs, Inc. BD affiliated | Global Retirement Partners LLC institutional | Other | Jul 17, 2024 | Jul 18, 2024 |
| Mason Bonnycastle Hardy | Osaic Fs, Inc. BD affiliated | Global Retirement Partners LLC institutional | Other | Jul 17, 2024 | Jul 17, 2024 |
| Lucas Alan Burton | Osaic Fs, Inc. BD affiliated | Lincoln Park Capital LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jul 1, 2024 | Jul 1, 2024 |
| Joseph David Cataldo | Osaic Fs, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 27, 2024 | Jun 18, 2024 |
| Brian Vincent Onofrio | Osaic Fs, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 21, 2024 | Jun 12, 2024 |
| Karl James Zirolli | Osaic Fs, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 17, 2024 | Jun 12, 2024 |
| Jay William Pinto | Osaic Fs, Inc. BD affiliated | Summit Planning Group, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jun 14, 2024 | Apr 7, 2006 |
| Frank Joseph Navario | Osaic Fs, Inc. BD affiliated | Summit Asset Management, LLC unclassified | Other | Jun 13, 2024 | Jul 27, 2011 |
| Alison Gross Gaffney | Osaic Fs, Inc. BD affiliated | Summit Wealth Management, LLC unclassified | Other | Jun 13, 2024 | May 3, 2006 |
| Charles David Koncz | Osaic Fs, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 13, 2024 | Jun 12, 2024 |
| Benjamin Vincent Onofrio | Osaic Fs, Inc. BD affiliated | Summit Asset Management, LLC unclassified | Other | Jun 12, 2024 | Jul 10, 2023 |
| Joseph Spencer Reed | Osaic Fs, Inc. BD affiliated | Ifg Advisory, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 11, 2024 | Jul 2, 2024 |
| Theron Rawls Dupree | Osaic Fs, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 7, 2024 | Jun 7, 2024 |
| Daniel Leon Martin | Osaic Fs, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 4, 2024 | Jun 5, 2024 |
| Chris David Breeden | Osaic Fs, Inc. BD affiliated | Integrity Alliance, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 21, 2024 | Jun 3, 2024 |
| Christian Frederick Laase | Osaic Fs, Inc. BD affiliated | Integrity Alliance, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 20, 2024 | May 20, 2024 |
| Jared Ross Breeden | Osaic Fs, Inc. BD affiliated | Integrity Alliance, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 20, 2024 | Jun 3, 2024 |
| Kyle William Grayson | Osaic Fs, Inc. BD affiliated | Independent Advisers Group Corp other | Other | May 17, 2024 | Feb 4, 2002 |
| James Michael Raft | Osaic Fs, Inc. BD affiliated | Independent Advisers Group Corp other | Other | May 17, 2024 | Apr 30, 2001 |
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711 moves match.