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 |
|---|---|---|---|---|---|
| John Tony Glowka | Osaic Fs, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 21, 2021 | Jun 22, 2021 |
| Joseph Christopher Glowka | Osaic Fs, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 17, 2021 | Jun 16, 2021 |
| Robert Francis Mckinnon | Osaic Fs, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 17, 2021 | Jun 16, 2021 |
| Teresa R Holzwarth | Osaic Fs, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 28, 2021 | May 27, 2021 |
| David Ashby Chrisman | Osaic Fs, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 12, 2021 | May 11, 2021 |
| Stephen Bruce Cooper | Osaic Fs, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 10, 2021 | May 7, 2021 |
| Sean Michael Shea | Osaic Fs, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 4, 2021 | Apr 23, 2021 |
| James Michael Mcbride | Osaic Fs, Inc. BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 28, 2021 | Apr 27, 2021 |
| Hannah P Weaver | Osaic Fs, Inc. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 28, 2021 | Sep 13, 2021 (138 d) |
| Scott Eugene Saffer | Osaic Fs, Inc. BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 27, 2021 | Apr 28, 2021 |
| Jimmy Millard Bevins | Osaic Fs, Inc. BD affiliated | First Financial Coaching, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 6, 2021 | Oct 22, 2025 (1660 d) |
| Michael Kevin Kortz | Osaic Fs, Inc. BD affiliated | Independent Advisers Group Corp other | Other | Apr 1, 2021 | Feb 13, 2008 |
| Michael P Cutbirth | Osaic Fs, Inc. BD affiliated | Premium 72 Capital independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 29, 2021 | Mar 25, 2021 |
| Alejandro S Masferrer | Osaic Fs, Inc. BD affiliated | Bci Securities, Inc. mixed wealth | Affiliated broker-dealer or bank to independent RIA | Mar 23, 2021 | Jan 1, 2025 (1380 d) |
| Karen S Merritt | Osaic Fs, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 18, 2021 | Mar 15, 2021 |
| Luis Humberto Whu | Osaic Fs, Inc. BD affiliated | Lulla Wealth Financial state registered | Affiliated broker-dealer or bank to a state-registered adviser | Feb 19, 2021 | Nov 3, 2025 (1718 d) |
| J Robert Berry | Osaic Fs, Inc. BD affiliated | Berry Advisors Group, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Nov 30, 2020 | Nov 24, 2020 |
| Mark Robert Calaci | Osaic Fs, Inc. BD affiliated | Gwn Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 23, 2020 | Oct 21, 2020 |
| Lisa Anne Silva | Osaic Fs, Inc. BD affiliated | Woodbury Financial Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 2, 2020 | Aug 27, 2020 |
| Michael Robert Stevenson | Osaic Fs, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 21, 2020 | Sep 9, 2021 (384 d) |
| Brian James Donley | Osaic Fs, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 21, 2020 | Aug 20, 2020 |
| Krysten Amie Overly-Armour | Osaic Fs, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 21, 2020 | Aug 21, 2020 |
| Douglas John Richey | Osaic Fs, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 21, 2020 | Aug 20, 2020 |
| Edward Michael Wetzel | Osaic Fs, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 21, 2020 | Aug 21, 2020 |
| Drew Riley Wagner | Osaic Fs, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 21, 2020 | Aug 21, 2020 |
| Peter Carl Bombara | Osaic Fs, Inc. BD affiliated | Pcb Capital LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 22, 2020 | Apr 17, 2021 (269 d) |
| Daniel A Odigie | Osaic Fs, Inc. BD affiliated | Ip Financial Advisory Services LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 20, 2020 | Aug 3, 2020 |
| Heather Lynn Sellers | Osaic Fs, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 16, 2020 | Mar 25, 2020 |
| Matthew Anthony Turcotte | Osaic Fs, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 17, 2020 | Feb 10, 2020 |
| Scott Richard Werdebaugh | Osaic Fs, Inc. BD affiliated | Securities America Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 2, 2020 | Jan 10, 2020 |
| Catherine Anderson | Osaic Fs, Inc. BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2019 | Aug 22, 2019 |
| Susananne M Bailey | Osaic Fs, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 4, 2019 | Dec 9, 2019 |
| Yulando Fitzgerald Wallace | Osaic Fs, Inc. BD affiliated | Mutual Of Omaha Investor Services, Inc. no RAUM | Other | Nov 21, 2019 | Dec 3, 2019 |
| Joel E Marius | Osaic Fs, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 11, 2019 | Nov 4, 2019 |
| William Edward Hege | Osaic Fs, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 23, 2019 | Oct 21, 2019 |
| Perry Gray Hudspeth | Osaic Fs, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 23, 2019 | Oct 21, 2019 |
| Steven Jacob Rubin | Osaic Fs, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 22, 2019 | Oct 21, 2019 |
| Randall Hugh Richard | Osaic Fs, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 21, 2019 | Oct 18, 2019 |
| Jonathan Edward Grabe | Osaic Fs, Inc. BD affiliated | Principal Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 15, 2019 | Oct 21, 2019 |
| Stephen William Close | Osaic Fs, Inc. BD affiliated | Concourse Financial Group Advisors BD affiliated | Affiliated broker-dealer or bank to another | Sep 17, 2019 | Sep 23, 2019 |
| Laura C Collins | Osaic Fs, Inc. BD affiliated | Gradient Investments, LLC other | Other | Aug 21, 2019 | Jan 25, 2016 |
| Linsi Lee Walker | Osaic Fs, Inc. BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Aug 8, 2019 | Sep 21, 2020 (410 d) |
| Brian Frambes | Osaic Fs, Inc. BD affiliated | Lincoln Investment BD affiliated | Affiliated broker-dealer or bank to another | Jul 18, 2019 | May 14, 2020 (301 d) |
| Earl J Breaux | Osaic Fs, Inc. BD affiliated | Concourse Financial Group Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jul 3, 2019 | Jul 3, 2019 |
| Richard David Scott | Osaic Fs, Inc. BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 6, 2019 | Jun 4, 2019 |
| John Eldridge Parham | Osaic Fs, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 1, 2019 | Apr 29, 2019 |
| Harry Edward O'Conner | Osaic Fs, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 1, 2019 | Apr 26, 2019 |
| Michael Alton Hutto | Osaic Fs, Inc. BD affiliated | Independent Advisers Group Corp other | Other | Apr 1, 2019 | Dec 14, 2005 |
| Jon Charles Hutchison | Osaic Fs, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 13, 2019 | Feb 11, 2019 |
| Leonard Joseph Brecken | Osaic Fs, Inc. BD affiliated | Brecken Capital Advisors, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Feb 6, 2019 | Mar 1, 2019 |
| Brittney B Deese | Osaic Fs, Inc. BD affiliated | M Holdings Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 1, 2019 | Jan 28, 2019 |
| Marjorie Lyall Heggie | Osaic Fs, Inc. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 31, 2018 | Apr 23, 2020 (479 d) |
| Edick Antonio Lucas | Osaic Fs, Inc. BD affiliated | Concourse Financial Group Advisors BD affiliated | Affiliated broker-dealer or bank to another | Dec 27, 2018 | Dec 26, 2018 |
| Lloyd George Etheredge | Osaic Fs, Inc. BD affiliated | Exodus Wealth, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 13, 2018 | Jan 7, 2019 |
| Les Eisel | Osaic Fs, Inc. BD affiliated | Thrivent Investment Management Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 14, 2018 | Nov 21, 2022 (1468 d) |
| Louis Frederick Smith | Osaic Fs, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 6, 2018 | Nov 7, 2018 |
| Mark Francis Van Valkenburg | Osaic Fs, Inc. BD affiliated | Modern Capital Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 5, 2018 | Nov 1, 2018 |
| William Chad Horner | Osaic Fs, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 25, 2018 | Oct 19, 2018 |
| Brittany Horner Ashworth | Osaic Fs, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 25, 2018 | Oct 25, 2018 |
| William Curtis Horner | Osaic Fs, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 19, 2018 | Oct 19, 2018 |
711 moves match.