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 Fa, 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 |
|---|---|---|---|---|---|
| Nicholas James Joesten | Osaic Fa, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 29, 2023 | Dec 12, 2023 |
| Robert Paul Gottschling | Osaic Fa, Inc. BD affiliated | Global Retirement Partners LLC institutional | Other | Nov 15, 2023 | Nov 15, 2023 |
| Mickey Lee Byrd | Osaic Fa, Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 14, 2023 | Nov 13, 2023 |
| Kelli Jo Carmichael | Osaic Fa, Inc. BD affiliated | The Ameriflex Group BD affiliated | Affiliated broker-dealer or bank to another | Oct 30, 2023 | Oct 27, 2023 |
| Kendall Gerald Bryce | Osaic Fa, Inc. BD affiliated | The Ameriflex Group BD affiliated | Affiliated broker-dealer or bank to another | Oct 30, 2023 | Oct 27, 2023 |
| Charles William Mcgrath | Osaic Fa, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 26, 2023 | Oct 20, 2023 |
| Michael Wilshire Moon | Osaic Fa, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Oct 6, 2023 | Oct 6, 2023 |
| Julia M Moon | Osaic Fa, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Oct 6, 2023 | Oct 6, 2023 |
| Aaron Allan Stanley | Osaic Fa, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 26, 2023 | Sep 25, 2023 |
| Aaron Townsend Diaz | Osaic Fa, Inc. BD affiliated | Ep Wealth Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 25, 2023 | Jan 30, 2024 (127 d) |
| Joshua Eric Hart | Osaic Fa, Inc. BD affiliated | Credit Union Investment Services state registered | Affiliated broker-dealer or bank to a state-registered adviser | Sep 12, 2023 | Oct 24, 2023 (42 d) |
| Jay Alan Finke | Osaic Fa, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Sep 11, 2023 | Sep 5, 2023 |
| Matthew Aaron Held | Osaic Fa, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Sep 5, 2023 | Sep 5, 2023 |
| Ryan Scott Kidd | Osaic Fa, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 24, 2023 | Aug 21, 2023 |
| Andrew D Tuell | Osaic Fa, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 24, 2023 | Aug 21, 2023 |
| Marcus Luckeneder | Osaic Fa, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 23, 2023 | Sep 11, 2023 |
| Kurt (Nmi) Oswald | Osaic Fa, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 22, 2023 | Aug 21, 2023 |
| Andrew William St.John | Osaic Fa, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 22, 2023 | Aug 21, 2023 |
| Gregg William Holgate | Osaic Fa, Inc. BD affiliated | Transamerica Retirement Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 21, 2023 | Jul 26, 2024 (340 d) |
| Aaron Cosmo Montez | Osaic Fa, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 21, 2023 | Aug 21, 2023 |
| Sean Guill | Osaic Fa, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 21, 2023 | Aug 21, 2023 |
| Ashley Black | Osaic Fa, Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 4, 2023 | Sep 13, 2023 (40 d) |
| Caragh Fahy | Osaic Fa, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Aug 2, 2023 | Aug 1, 2023 |
| Louis Leon Kline | Osaic Fa, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 1, 2023 | Aug 1, 2023 |
| James M. Graham | Osaic Fa, Inc. BD affiliated | Mariner Advisor Network BD affiliated | Affiliated broker-dealer or bank to another | Aug 1, 2023 | Jul 31, 2023 |
| Leyla Morgillo | Osaic Fa, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Aug 1, 2023 | Aug 1, 2023 |
| James William Tucker | Osaic Fa, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Aug 1, 2023 | Aug 1, 2023 |
| Kevin Allen Auerr | Osaic Fa, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 31, 2023 | Aug 9, 2023 |
| Jeff David Shafer | Osaic Fa, Inc. BD affiliated | Mariner Advisor Network BD affiliated | Affiliated broker-dealer or bank to another | Jul 31, 2023 | Jul 31, 2023 |
| Christopher Antolini | Osaic Fa, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 31, 2023 | Aug 1, 2023 |
| Alexis Quaglieri | Osaic Fa, Inc. BD affiliated | Eagle Strategies LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 17, 2023 | Nov 6, 2023 (112 d) |
| Austin Lee Peterson | Osaic Fa, Inc. BD affiliated | Backbone Planning Partners LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jun 30, 2023 | Jul 5, 2023 |
| Landon Jaeger Mance | Osaic Fa, Inc. BD affiliated | Backbone Planning Partners LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 30, 2023 | May 2, 2024 (307 d) |
| Ronald Irvin Stiles | Osaic Fa, Inc. BD affiliated | Rkl Private Wealth independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 29, 2023 | Aug 15, 2023 (47 d) |
| Douglas E Kish | Osaic Fa, Inc. BD affiliated | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 28, 2023 | Jul 13, 2023 |
| Kevin Andrew Weber | Osaic Fa, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 22, 2023 | Nov 12, 2024 (509 d) |
| Robert Nicholas Malone | Osaic Fa, Inc. BD affiliated | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 6, 2023 | Jul 1, 2024 (391 d) |
| Colleen Marie Shelly | Osaic Fa, Inc. BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | May 19, 2023 | Aug 10, 2023 (83 d) |
| Brian D Yaiser | Osaic Fa, Inc. BD affiliated | Sagepoint Financial, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 16, 2023 | May 15, 2023 |
| Brooke Danielle Yaiser | Osaic Fa, Inc. BD affiliated | Sagepoint Financial, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 16, 2023 | May 15, 2023 |
| Crystal Latorial Roseman | Osaic Fa, Inc. BD affiliated | Capitalwize, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | May 8, 2023 | Jan 30, 2025 (633 d) |
| Satyaki Mitra | Osaic Fa, Inc. BD affiliated | The Milwaukee Company independent RIA | Affiliated broker-dealer or bank to independent RIA | May 8, 2023 | Jun 12, 2023 (35 d) |
| Walter Frank Williams | Osaic Fa, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | May 2, 2023 | May 2, 2023 |
| Glenn David Bujnoch | Osaic Fa, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 1, 2023 | May 1, 2023 |
| Vytas C Rivers | Osaic Fa, Inc. BD affiliated | T. Rowe Price Advisory Services, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 26, 2023 | May 30, 2023 (34 d) |
| Christopher Michael Flores | Osaic Fa, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 25, 2023 | Apr 24, 2023 |
| Stephen Patrick Fortin | Osaic Fa, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 24, 2023 | Apr 24, 2023 |
| Charles L Pizzillo | Osaic Fa, Inc. BD affiliated | T. Rowe Price Advisory Services, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 5, 2023 | May 15, 2023 (40 d) |
| Cynthia Harvey Deavel | Osaic Fa, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Mar 24, 2023 | Mar 27, 2023 |
| Hayley Deavel Gregory | Osaic Fa, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Mar 24, 2023 | Mar 22, 2023 |
| Paul Noble Gould | Osaic Fa, Inc. BD affiliated | Principal Advised Services independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 21, 2023 | Sep 27, 2023 (190 d) |
| Eric Tropea | Osaic Fa, Inc. BD affiliated | Thrivent Investment Management Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 21, 2023 | Mar 22, 2023 |
| Bo Edvardsson | Osaic Fa, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 20, 2023 | Mar 20, 2023 |
| Alexander P Harrison | Osaic Fa, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Mar 13, 2023 | Mar 2, 2023 |
| Steven Zachary Phillips | Osaic Fa, Inc. BD affiliated | T. Rowe Price Advisory Services, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 13, 2023 | Apr 10, 2023 |
| Sergio Daniel Rodriguez | Osaic Fa, Inc. BD affiliated | Maltin Wealth Management, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 9, 2023 | May 12, 2023 (64 d) |
| Joseph Cogan Rice | Osaic Fa, Inc. BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Mar 8, 2023 | Jul 24, 2023 (138 d) |
| Judd Andrew Beam | Osaic Fa, Inc. BD affiliated | Stratos Wealth Partners, Ltd BD affiliated | Affiliated broker-dealer or bank to another | Mar 3, 2023 | Mar 3, 2023 |
| Bruce Tower Schilling | Osaic Fa, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Mar 2, 2023 | Mar 9, 2023 |
| Rebecca Lynn Kauffman | Osaic Fa, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Mar 2, 2023 | Mar 2, 2023 |
1,675 moves match.