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 |
|---|---|---|---|---|---|
| Charles Rex Strickland | Osaic Fs, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 2, 2023 | Mar 1, 2023 |
| Christopher Ronald Porter | Osaic Fs, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 2, 2023 | Mar 1, 2023 |
| Carl Edwards | Osaic Fs, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 2, 2023 | Mar 27, 2023 |
| William Brian Groner | Osaic Fs, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 1, 2023 | Mar 1, 2023 |
| Michael Joseph Edens | Osaic Fs, Inc. BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 1, 2023 | Feb 27, 2023 |
| Brian Ernest Chapman | Osaic Fs, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 1, 2023 | Mar 1, 2023 |
| Lynn Hayes Funk | Osaic Fs, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 1, 2023 | Mar 1, 2023 |
| Lesley Brian Wilson | Osaic Fs, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 1, 2023 | Mar 1, 2023 |
| Reginald Kyle Graham | Osaic Fs, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 1, 2023 | Mar 1, 2023 |
| John Stephen Burke | Osaic Fs, Inc. BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 28, 2023 | Feb 27, 2023 |
| Robert Remington Cooper | Osaic Fs, Inc. BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 27, 2023 | Feb 27, 2023 |
| Thomas Hugh Curry | Osaic Fs, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 6, 2023 | Jan 5, 2023 |
| Kevin Corey Walsh | Osaic Fs, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 6, 2023 | Jan 13, 2023 |
| Diane Willis | Osaic Fs, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 5, 2023 | Jan 3, 2023 |
| Denise Nicole Rowe | Osaic Fs, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 4, 2023 | Jan 13, 2023 |
| George Goodman | Osaic Fs, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 4, 2023 | Jan 3, 2023 |
| Sunday Fischer | Osaic Fs, Inc. BD affiliated | Principal Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 3, 2023 | Jan 24, 2023 |
| John Edward Misle | Osaic Fs, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 15, 2022 | Dec 15, 2022 |
| Heath Ian Prior | Osaic Fs, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 15, 2022 | Dec 15, 2022 |
| Joseph E. Biloon | Osaic Fs, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 6, 2022 | Nov 29, 2022 |
| Robert David Griesemer | Osaic Fs, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 1, 2022 | Nov 29, 2022 |
| Emily R Woodson | Osaic Fs, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 30, 2022 | Nov 29, 2022 |
| Gary Lee Ulrich | Osaic Fs, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 30, 2022 | Nov 29, 2022 |
| Carmella Marie Stamm | Osaic Fs, Inc. BD affiliated | MML Investors Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 4, 2022 | Oct 12, 2022 |
| Zachary Engraff | Osaic Fs, Inc. BD affiliated | Scf Investment Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 3, 2022 | Oct 20, 2022 |
| Michael C Whitman | Osaic Fs, Inc. BD affiliated | Millennium Planning Group, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Sep 21, 2022 | Sep 22, 2022 |
| Robert Dean Coffin | Osaic Fs, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 19, 2022 | Jan 5, 2023 (108 d) |
| Jonathan Edward Marshall | Osaic Fs, Inc. BD affiliated | Ae Wealth Management, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 15, 2022 | Sep 22, 2022 |
| Jacob A. Warren | Osaic Fs, Inc. BD affiliated | Financial Planning Hq, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Sep 8, 2022 | Sep 9, 2022 |
| Steve Matthew Warren | Osaic Fs, Inc. BD affiliated | Financial Planning Hq, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Sep 7, 2022 | Sep 7, 2022 |
| Joseph D Warren | Osaic Fs, Inc. BD affiliated | Financial Planning Hq, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Sep 7, 2022 | Sep 9, 2022 |
| Valkyrie Ann Lang | Osaic Fs, Inc. BD affiliated | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 5, 2022 | Aug 16, 2022 |
| Stephanie Williams Guanzini | Osaic Fs, Inc. BD affiliated | First Citizens Investor Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 25, 2022 | Jul 19, 2022 |
| Christopher Ryan Preisig | Osaic Fs, Inc. BD affiliated | Upstate Financial Planning, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jul 14, 2022 | Jul 8, 2022 |
| Kevin Andrew Hunt | Osaic Fs, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 12, 2022 | Jul 1, 2022 |
| Stephen Mitchell Riddle | Osaic Fs, Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | May 23, 2022 | Aug 24, 2022 (93 d) |
| David Wallace Wells | Osaic Fs, Inc. BD affiliated | Davinci Financial Designs independent RIA | Affiliated broker-dealer or bank to independent RIA | May 10, 2022 | May 6, 2022 |
| Yamara M Beck | Osaic Fs, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 22, 2022 | Apr 6, 2022 |
| Michelle Renee Snyder | Osaic Fs, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 6, 2022 | Apr 6, 2022 |
| Kenneth Luke Kay | Osaic Fs, Inc. BD affiliated | Northwest Investment Advisors, Inc state registered | Affiliated broker-dealer or bank to a state-registered adviser | Apr 4, 2022 | Apr 18, 2022 |
| Thuan Khai Lam | Osaic Fs, Inc. BD affiliated | Providence Financial And Insurances, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 1, 2022 | May 1, 2025 (1126 d) |
| Walter James Reyna | Osaic Fs, Inc. BD affiliated | Independent Advisers Group Corp other | Other | Mar 18, 2022 | Jun 2, 2000 |
| Robert Alexander Mann | Osaic Fs, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 15, 2022 | Mar 15, 2022 |
| Jason Bonn | Osaic Fs, Inc. BD affiliated | Woodmont Investment Counsel, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 4, 2022 | Mar 22, 2022 (46 d) |
| Elizabeth Beatrix Keyser | Osaic Fs, Inc. BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 31, 2022 | Feb 15, 2022 |
| Fatima Naqinia | Osaic Fs, Inc. BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 31, 2022 | Feb 8, 2022 |
| Michael Jimenez | Osaic Fs, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 28, 2022 | Jan 28, 2022 |
| Stephen James Javaras | Osaic Fs, Inc. BD affiliated | Tlg Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 26, 2022 | Mar 31, 2022 (64 d) |
| Tracy L Howard | Osaic Fs, Inc. BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2021 | Jan 24, 2025 (1120 d) |
| Amy Elizabeth Knox | Osaic Fs, Inc. BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2021 | Sep 12, 2019 |
| Alexander Sixbey | Osaic Fs, Inc. BD affiliated | Osaic Fa, Inc. other | Other | Dec 31, 2021 | Mar 29, 2011 |
| Dominic Randazzo | Osaic Fs, Inc. BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 29, 2021 | Nov 29, 2021 |
| Todd Christopher Martin | Osaic Fs, Inc. BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 24, 2021 | Sep 24, 2021 |
| Jonathan David Launder | Osaic Fs, Inc. BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 24, 2021 | Sep 24, 2021 |
| Adam H Audet | Osaic Fs, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 25, 2021 | Aug 23, 2021 |
| Lawrence Lee Epple | Osaic Fs, Inc. BD affiliated | Spc BD affiliated | Affiliated broker-dealer or bank to another | Aug 17, 2021 | Aug 13, 2021 |
| Antonio Villanueva Rios | Osaic Fs, Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Aug 16, 2021 | Jun 29, 2022 (317 d) |
| Gregg Mylan Huyck | Osaic Fs, Inc. BD affiliated | Spc BD affiliated | Affiliated broker-dealer or bank to another | Aug 16, 2021 | Aug 13, 2021 |
| Brian James Callaghan | Osaic Fs, Inc. BD affiliated | Spc BD affiliated | Affiliated broker-dealer or bank to another | Aug 16, 2021 | Aug 13, 2021 |
| Adam Martin Steiner | Osaic Fs, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 29, 2021 | Jun 29, 2021 |
711 moves match.