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.

AdvisorFromToTypeLeftRegistered
Richard R RakeOsaic Fs, Inc. BD affiliatedFinancial Resources Group, LLC state registeredAffiliated broker-dealer or bank to a state-registered adviserAug 30, 2018Sep 4, 2018
Mark A. PappaOsaic Fs, Inc. BD affiliatedFinancial Resources Group, LLC state registeredAffiliated broker-dealer or bank to a state-registered adviserAug 29, 2018Oct 18, 2018 (50 d)
Lester Dearl ButlerOsaic Fs, Inc. BD affiliatedLPL Financial LLC independent RIAAffiliated broker-dealer or bank to independent RIAAug 20, 2018Aug 16, 2018
Alec John WitkowskiOsaic Fs, Inc. BD affiliatedBlackridge Asset Management, LLC independent RIAAffiliated broker-dealer or bank to independent RIAAug 13, 2018Aug 12, 2018
David Patrick FarrellOsaic Fs, Inc. BD affiliatedAmeriprise Financial Services, LLC national BDAffiliated broker-dealer or bank to anotherAug 2, 2018Jul 30, 2018
Joseph Wesley TuckOsaic Fs, Inc. BD affiliatedLPL Financial LLC independent RIAAffiliated broker-dealer or bank to independent RIAAug 2, 2018Jul 31, 2018
Christopher Lane MooreOsaic Fs, Inc. BD affiliatedLPL Financial LLC independent RIAAffiliated broker-dealer or bank to independent RIAAug 2, 2018Jul 31, 2018
Ashwin SharmaOsaic Fs, Inc. BD affiliatedLPL Financial LLC independent RIAAffiliated broker-dealer or bank to independent RIAAug 2, 2018Jul 31, 2018
Peter C PlantOsaic Fs, Inc. BD affiliatedLPL Financial LLC independent RIAAffiliated broker-dealer or bank to independent RIAJul 26, 2018Jul 20, 2018
Kenneth Elmer RickelmanOsaic Fs, Inc. BD affiliatedCommonwealth Financial Network national BDAffiliated broker-dealer or bank to anotherJul 23, 2018Jul 16, 2018
Martin G ByrneOsaic Fs, Inc. BD affiliatedRockefeller Capital Management BD affiliatedAffiliated broker-dealer or bank to anotherJul 12, 2018Jul 28, 2021 (1112 d)
Richard Warren FloodOsaic Fs, Inc. BD affiliatedLPL Financial LLC independent RIAAffiliated broker-dealer or bank to independent RIAJun 5, 2018Jun 1, 2018
Joseph Don MalboeufOsaic Fs, Inc. BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherJun 5, 2018Jan 26, 2022 (1331 d)
Bryan Steven DeslauriersOsaic Fs, Inc. BD affiliatedLPL Financial LLC independent RIAAffiliated broker-dealer or bank to independent RIAJun 5, 2018Jun 6, 2018
Megan Elizabeth FloodOsaic Fs, Inc. BD affiliatedLPL Financial LLC independent RIAAffiliated broker-dealer or bank to independent RIAJun 4, 2018Jun 6, 2018
Alvonzo Timothy GibbsOsaic Fs, Inc. BD affiliatedPruco Securities, LLC BD affiliatedAffiliated broker-dealer or bank to anotherMay 23, 2018Jun 4, 2018
Ashley Manuel FosterOsaic Fs, Inc. BD affiliatedNxt:Gen Financial Planning state registeredAffiliated broker-dealer or bank to a state-registered adviserMay 1, 2018Aug 31, 2018 (122 d)
Timothy Robert StratzOsaic Fs, Inc. BD affiliatedCambridge Investment Research Advisors, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherApr 12, 2018Apr 3, 2018
Margaret Ann SalamyOsaic Fs, Inc. otherOsaic Fa, Inc. BD affiliatedOtherMar 26, 2018Oct 16, 2018 (204 d)
Michael Paul GregorOsaic Fs, Inc. otherHornor, Townsend & Kent, LLC BD affiliatedOtherMar 19, 2018Jul 30, 2019 (498 d)
Marc Victor RosenblumOsaic Fs, Inc. otherSilver Oak Securities, Inc. independent RIAOtherMar 6, 2018Feb 16, 2018
Robert Craig BalmerOsaic Fs, Inc. otherVoya Financial Advisors, Inc. otherOtherFeb 23, 2018Feb 8, 2018
Randall J. RaweOsaic Fs, Inc. otherCommonwealth Financial Network national BDOtherFeb 20, 2018Jan 23, 2018
James Richard LoweOsaic Fs, Inc. otherLPL Financial LLC independent RIAOtherFeb 16, 2018Jan 19, 2018
Harold Oscar LoweOsaic Fs, Inc. otherWhitehall-Parker Securities, Inc. unclassifiedOtherFeb 15, 2018Aug 9, 2018 (175 d)
Michael Roberto NunezOsaic Fs, Inc. otherLPL Financial LLC independent RIAOtherFeb 15, 2018Jan 19, 2018
Christopher Paul VasquesOsaic Fs, Inc. otherLPL Financial LLC independent RIAOtherFeb 13, 2018Jan 19, 2018
Jamin PurtellOsaic Fs, Inc. otherSignator Investors, Inc. BD affiliatedOtherJan 25, 2018Jul 3, 2018 (159 d)
William Michael KrzesinskiOsaic Fs, Inc. otherCambridge Investment Research Advisors, Inc. BD affiliatedOtherDec 31, 2017Jul 5, 2022 (1647 d)
D William BergnerOsaic Fs, Inc. otherIndependent Advisers Group Corp otherOtherDec 21, 2017Dec 19, 2005
Susan Dorval DorseyOsaic Fs, Inc. otherCambridge Investment Research Advisors, Inc. otherOtherDec 21, 2017Nov 29, 2017
John W PerdueOsaic Fs, Inc. otherConcourse Financial Group Advisors otherOtherDec 20, 2017Dec 11, 2017
Elizabeth Claire DewanOsaic Fs, Inc. otherConcourse Financial Group Advisors otherOtherDec 20, 2017Dec 11, 2017
Luann Craft JarnaginOsaic Fs, Inc. otherWmg Financial Advisors, LLC independent RIAOtherDec 20, 2017Aug 15, 2017
Nichole Louise ReinhardtOsaic Fs, Inc. otherCambridge Investment Research Advisors, Inc. otherOtherDec 18, 2017Nov 21, 2017
Roger Dale DavisOsaic Fs, Inc. otherWmg Financial Advisors, LLC independent RIAOtherDec 17, 2017Mar 23, 2017
Rae Denise Haulk DavisOsaic Fs, Inc. otherWmg Financial Advisors, LLC independent RIAOtherDec 17, 2017Mar 23, 2017
Robert L SheetsOsaic Fs, Inc. otherWmg Financial Advisors, LLC independent RIAOtherDec 17, 2017Aug 15, 2017
Charles W SellsOsaic Fs, Inc. otherWmg Financial Advisors, LLC independent RIAOtherDec 17, 2017Jan 22, 2025 (2593 d)
Mark B AshfordOsaic Fs, Inc. otherIndependent Advisers Group Corp otherOtherDec 17, 2017May 25, 2004
Sulieman E NurideenOsaic Fs, Inc. otherValic Financial Advisors, Inc. otherOtherDec 17, 2017Dec 8, 2017
Jeremy Wade BenoitOsaic Fs, Inc. otherIndependent Advisers Group Corp otherOtherDec 11, 2017May 6, 2002
Jonathan Webber MarvinOsaic Fs, Inc. otherCambridge Investment Research Advisors, Inc. otherOtherDec 8, 2017Nov 21, 2017
Paul Sullivan ComoOsaic Fs, Inc. otherCambridge Investment Research Advisors, Inc. otherOtherDec 7, 2017Nov 29, 2017
Elizabeth A BenoitOsaic Fs, Inc. otherCambridge Investment Research Advisors, Inc. otherOtherDec 6, 2017Nov 21, 2017
Brendan Patrick CaseyOsaic Fs, Inc. otherCambridge Investment Research Advisors, Inc. otherOtherDec 5, 2017Nov 21, 2017
Donna Marie RiveraOsaic Fs, Inc. otherCambridge Investment Research Advisors, Inc. otherOtherDec 4, 2017Nov 21, 2017
Eric John BahrOsaic Fs, Inc. otherCambridge Investment Research Advisors, Inc. otherOtherDec 4, 2017Nov 21, 2017
Alan Torrence DawkinsOsaic Fs, Inc. otherColonial River Wealth Management LLC otherOtherNov 17, 2017Nov 17, 2017
Rosemary TomassiOsaic Fs, Inc. otherAmerican Portfolios Advisors, Inc otherOtherNov 2, 2017Oct 23, 2017
Jeremy Matthew VentoOsaic Fs, Inc. otherAmerican Portfolios Advisors, Inc otherOtherOct 31, 2017Oct 24, 2017
Marc John CoppotelliOsaic Fs, Inc. otherAdvice And Planning Services BD affiliatedOtherOct 19, 2017Apr 12, 2024 (2367 d)
Keith D NastOsaic Fs, Inc. otherIndependent Advisers Group Corp otherOtherOct 12, 2017Oct 13, 2011
Steven Craig SovdeOsaic Fs, Inc. otherCambridge Investment Research Advisors, Inc. otherOtherSep 27, 2017Oct 19, 2017
Kenneth Rell DavisOsaic Fs, Inc. otherConcourse Financial Group Advisors otherOtherSep 13, 2017Sep 13, 2017
James Carlos ReedOsaic Fs, Inc. otherIndependent Advisers Group Corp otherOtherSep 13, 2017Dec 15, 2005
S Diane DavisOsaic Fs, Inc. otherConcourse Financial Group Advisors otherOtherSep 13, 2017Sep 13, 2017
Barry Matthew PittengerOsaic Fs, Inc. otherIndependent Advisers Group Corp otherOtherSep 13, 2017Jun 21, 2004
Samuel Donahoo LechleiterOsaic Fs, Inc. otherIndependent Advisers Group Corp otherOtherSep 13, 2017Jun 21, 2004
James Patrick KentOsaic Fs, Inc. otherConcourse Financial Group Advisors otherOtherSep 13, 2017Sep 1, 2017
Page 5 of 12PreviousNext
711 moves match.