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 |
|---|---|---|---|---|---|
| Dominic Michael Caputo | Osaic Fs, Inc. BD affiliated | Brophy Wealth Management, LLC other | Other | May 17, 2024 | Jun 9, 2005 |
| Cecilia Beach Brown | Osaic Fs, Inc. BD affiliated | Independent Advisers Group Corp other | Other | May 16, 2024 | Feb 14, 2006 |
| Donald Baker Irwin | Osaic Fs, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 16, 2024 | May 16, 2024 |
| Emanuel Candelario Padilla | Osaic Fs, Inc. BD affiliated | Schwab Wealth Advisory, Inc. no RAUM | Other | May 7, 2024 | Jul 9, 2024 (63 d) |
| Myra Lynn Slaybaugh | Osaic Fs, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 2, 2024 | May 2, 2024 |
| Peter Torrey Fredericks | Osaic Fs, Inc. BD affiliated | Cuso Financial Services, L.P. BD affiliated | Affiliated broker-dealer or bank to another | May 1, 2024 | May 9, 2024 |
| David T Lawyer | Osaic Fs, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 30, 2024 | Apr 29, 2024 |
| Joanna Scardina Slade | Osaic Fs, Inc. BD affiliated | Silver Oak Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 29, 2024 | May 3, 2024 |
| Mark Gaylord Compston | Osaic Fs, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 25, 2024 | Apr 25, 2024 |
| Mark Casey Compston | Osaic Fs, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 25, 2024 | Apr 26, 2024 |
| Nathan Garrett Harmon | Osaic Fs, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 25, 2024 | Apr 25, 2024 |
| James M Wallace | Osaic Fs, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 24, 2024 | Apr 23, 2024 |
| Chase Gunter | Osaic Fs, Inc. BD affiliated | Ifg Advisory, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 22, 2024 | Apr 22, 2024 |
| Melissa Anne Ekeberg | Osaic Fs, Inc. BD affiliated | Ifg Advisory, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 17, 2024 | Apr 22, 2024 |
| Lewis Edward Vasey | Osaic Fs, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 3, 2024 | Apr 2, 2024 |
| Charles Robert Davee | Osaic Fs, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 2, 2024 | Dec 20, 2025 (627 d) |
| Jerimiah David Gildea | Osaic Fs, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 2, 2024 | Apr 1, 2024 |
| Scott R Warner | Osaic Fs, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 1, 2024 | Apr 1, 2024 |
| Craig Steven Clark | Osaic Fs, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Mar 28, 2024 | Mar 18, 2024 |
| Ronald John Yoviene | Osaic Fs, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Mar 27, 2024 | Mar 18, 2024 |
| Michael Scott Parrish | Osaic Fs, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 27, 2024 | Mar 25, 2024 |
| Michael Joseph Young | Osaic Fs, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 26, 2024 | Mar 25, 2024 |
| Nels Clifford Nelson | Osaic Fs, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Mar 21, 2024 | Mar 18, 2024 |
| Kevin C Birt | Osaic Fs, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Mar 21, 2024 | Mar 18, 2024 |
| John Scott Birkby | Osaic Fs, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Mar 20, 2024 | Mar 18, 2024 |
| Michael Kevin Conway | Osaic Fs, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Mar 18, 2024 | Mar 18, 2024 |
| Michael James Muffoletto | Osaic Fs, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Mar 18, 2024 | Mar 18, 2024 |
| Angela Gardner Ribuffo | Osaic Fs, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 15, 2024 | Mar 14, 2024 |
| Charles John Pinchotti | Osaic Fs, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 20, 2024 | Feb 20, 2024 |
| James H Fitzsimmons | Osaic Fs, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 20, 2024 | Feb 16, 2024 |
| David Lee Miller | Osaic Fs, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 15, 2024 | Feb 13, 2024 |
| Michael D Ivey | Osaic Fs, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 13, 2024 | Feb 14, 2024 |
| Carlos Jose Castro | Osaic Fs, Inc. BD affiliated | Valtrion Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 30, 2024 | Jan 29, 2024 |
| Sean Francis Curran | Osaic Fs, Inc. BD affiliated | USA 401k state registered | Affiliated broker-dealer or bank to a state-registered adviser | Dec 31, 2023 | Jul 21, 2024 (203 d) |
| Johnathan Richard Pulleyn | Osaic Fs, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 4, 2023 | Dec 5, 2023 |
| Rory Jacob Dale Hart | Osaic Fs, Inc. BD affiliated | Cadaret Grant & Co Inc BD affiliated | Affiliated broker-dealer or bank to another | Nov 30, 2023 | Nov 30, 2023 |
| William Eric Womack | Osaic Fs, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 15, 2023 | Dec 4, 2023 |
| Thomas Denton Foy | Osaic Fs, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 6, 2023 | Sep 6, 2023 |
| Ian Scott Davis | Osaic Fs, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 30, 2023 | May 23, 2024 (267 d) |
| Kevin Robert Lonergan | Osaic Fs, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 15, 2023 | Jul 24, 2023 |
| Stefan Gene D'Angelo | Osaic Fs, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 26, 2023 | Jul 24, 2023 |
| Roisin Mary D'Angelo | Osaic Fs, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 26, 2023 | Jul 24, 2023 |
| Robert Duffy Tracy | Osaic Fs, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 25, 2023 | Jul 26, 2023 |
| Peter Richard Holland | Osaic Fs, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 25, 2023 | Jul 24, 2023 |
| Neeraj Agarwal | Osaic Fs, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 14, 2023 | Jul 17, 2023 |
| Sabrina Z Hayes | Osaic Fs, Inc. BD affiliated | Forthright Capital independent RIA | Affiliated broker-dealer or bank to independent RIA | May 16, 2023 | Jun 21, 2023 (36 d) |
| David Calvin Lolley | Osaic Fs, Inc. BD affiliated | Creative Financial Designs, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 10, 2023 | May 5, 2023 |
| Marshall L Fletcher | Osaic Fs, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 1, 2023 | May 1, 2023 |
| Leo Edwin Renner | Osaic Fs, Inc. BD affiliated | Capital Analysts BD affiliated | Affiliated broker-dealer or bank to another | May 1, 2023 | May 17, 2023 |
| Homer Andrew Farr | Osaic Fs, Inc. BD affiliated | Silver Oak Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 4, 2023 | Mar 31, 2023 |
| Sandra Lois Ziglar | Osaic Fs, Inc. BD affiliated | Sequent Planning, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 4, 2023 | Apr 7, 2023 |
| Michael Arden Mccoy | Osaic Fs, Inc. BD affiliated | Arden Wealth Management state registered | Affiliated broker-dealer or bank to a state-registered adviser | Apr 4, 2023 | Apr 14, 2023 |
| Thomas Faircloth | Osaic Fs, Inc. BD affiliated | Silver Oak Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 31, 2023 | Mar 31, 2023 |
| Michael John Ricci | Osaic Fs, Inc. BD affiliated | MML Investors Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 31, 2023 | Apr 20, 2023 |
| William Harvey Holt | Osaic Fs, Inc. BD affiliated | Silver Oak Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 31, 2023 | Mar 31, 2023 |
| Larry Aaron Bowman | Osaic Fs, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 22, 2023 | Mar 22, 2023 |
| Ledell Johnson | Osaic Fs, Inc. BD affiliated | USA Financial Securities LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 13, 2023 | Mar 1, 2023 |
| Carl Steven Myers | Osaic Fs, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 8, 2023 | Mar 6, 2023 |
| Jonathan William King | Osaic Fs, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 8, 2023 | Mar 1, 2023 |
| William Marshall Helms Jr | Osaic Fs, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 3, 2023 | Mar 2, 2023 |
711 moves match.