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 |
|---|---|---|---|---|---|
| Stephen Charles Cefalu | Osaic Fa, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Mar 2, 2023 | Mar 2, 2023 |
| Taylor Lloyd | Osaic Fa, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Mar 2, 2023 | Mar 2, 2023 |
| Stuart Henry Farb | Osaic Fa, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Mar 2, 2023 | Mar 3, 2023 |
| Michael Anthony Cirino | Osaic Fa, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Mar 1, 2023 | Mar 3, 2023 |
| James D Neel | Osaic Fa, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Mar 1, 2023 | Mar 2, 2023 |
| Michael David Sullum | Osaic Fa, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Mar 1, 2023 | Mar 2, 2023 |
| Carolyn Ford | Osaic Fa, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Mar 1, 2023 | Mar 10, 2023 |
| Nathan F Rogero | Osaic Fa, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Mar 1, 2023 | Mar 7, 2023 |
| Gary Steven Ahr | Osaic Fa, Inc. BD affiliated | Eq Wealth Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 22, 2023 | Feb 24, 2023 |
| David James Foster | Osaic Fa, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 21, 2023 | Feb 22, 2023 |
| Kevin Matthew James | Osaic Fa, Inc. BD affiliated | October Effect Ltd. independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 13, 2023 | Mar 8, 2023 |
| Aaron Christopher Bethune | Osaic Fa, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 13, 2023 | Feb 13, 2023 |
| Zachary Robert Merring | Osaic Fa, Inc. BD affiliated | Rtd Financial Advisors Inc independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 13, 2023 | Oct 1, 2025 (961 d) |
| Jeremy Walker Young | Osaic Fa, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 20, 2023 | Jan 23, 2023 |
| Christopher Leo Arnold | Osaic Fa, Inc. BD affiliated | Advice And Planning Services BD affiliated | Affiliated broker-dealer or bank to another | Jan 17, 2023 | Apr 5, 2023 (78 d) |
| Debbie Bogaert | Osaic Fa, Inc. BD affiliated | Thrivent Investment Management Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 10, 2023 | May 18, 2023 (128 d) |
| Dawn M Peters | Osaic Fa, Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 9, 2023 | Jan 18, 2023 |
| Matthew Paul Giesler | Osaic Fa, Inc. BD affiliated | Principal Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 6, 2023 | Oct 19, 2023 (286 d) |
| Eisley Kim | Osaic Fa, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 4, 2023 | Jan 31, 2023 |
| Corey N King | Osaic Fa, Inc. BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 3, 2023 | Jan 4, 2023 |
| Louis Kevin Jeffries | Osaic Fa, Inc. BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 8, 2022 | Dec 8, 2022 |
| Jessica Lynn Pratt | Osaic Fa, Inc. BD affiliated | Wyou Financial Strategies, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Dec 7, 2022 | Mar 22, 2023 (105 d) |
| Danielle Elandra Barbato | Osaic Fa, Inc. BD affiliated | New England Private Wealth Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 2, 2022 | May 22, 2024 (537 d) |
| Mark Raymond Pinardi | Osaic Fa, Inc. BD affiliated | J. W. Cole Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 22, 2022 | Dec 13, 2022 |
| Nelson Eddie Newton | Osaic Fa, Inc. BD affiliated | USA Financial Securities LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 21, 2022 | Nov 18, 2022 |
| Mindy M Zatta | Osaic Fa, Inc. BD affiliated | Sagepoint Financial, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 17, 2022 | Nov 14, 2022 |
| Kasi Richardson Boyles | Osaic Fa, Inc. BD affiliated | Creative Planning Institutional Advisors, LLC institutional | Other | Nov 11, 2022 | Jan 25, 2023 (75 d) |
| Ryan Wade Wahlund | Osaic Fa, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Nov 9, 2022 | Nov 1, 2022 |
| Megan Penn | Osaic Fa, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 7, 2022 | Dec 16, 2022 (39 d) |
| Gregory Todd Stalsberg | Osaic Fa, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Nov 3, 2022 | Nov 1, 2022 |
| John Richard Ryan | Osaic Fa, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Nov 3, 2022 | Nov 1, 2022 |
| Anthony Blake Wilson | Osaic Fa, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Nov 3, 2022 | Nov 1, 2022 |
| David Mark Ellowitch | Osaic Fa, Inc. BD affiliated | Sagepoint Financial, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 27, 2022 | Oct 21, 2022 |
| Jennifer Neeley | Osaic Fa, Inc. BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 26, 2022 | Oct 31, 2022 |
| James N Ellowitch | Osaic Fa, Inc. BD affiliated | Sagepoint Financial, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 25, 2022 | Oct 21, 2022 |
| Robert Fisher | Osaic Fa, Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Oct 24, 2022 | May 2, 2023 (190 d) |
| Rylee Marie Felice | Osaic Fa, Inc. BD affiliated | Boston Financial Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 23, 2022 | Oct 4, 2022 |
| David James T Ong-Guan Pun | Osaic Fa, Inc. BD affiliated | Principal Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 19, 2022 | Sep 19, 2022 |
| Paul Jacques Stawinski | Osaic Fa, Inc. BD affiliated | Summit Financial, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 14, 2022 | Sep 2, 2022 |
| Ryan James Coulter | Osaic Fa, Inc. BD affiliated | Demming Financial Services Corp. independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 13, 2022 | Feb 10, 2023 (150 d) |
| Jonathan David Parks | Osaic Fa, Inc. BD affiliated | Sagepoint Financial, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 2, 2022 | Aug 29, 2022 |
| Braden Duesler | Osaic Fa, Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Aug 26, 2022 | Dec 12, 2022 (108 d) |
| Enrico Hukom Bawar | Osaic Fa, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 18, 2022 | Aug 16, 2022 |
| Sarah Ariel Rosenthal | Osaic Fa, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 10, 2022 | Sep 9, 2022 |
| Adam David Carr | Osaic Fa, Inc. BD affiliated | J. W. Cole Advisors, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 2, 2022 | Aug 2, 2022 |
| Nicole Letarte | Osaic Fa, Inc. BD affiliated | J. W. Cole Advisors, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 1, 2022 | Aug 2, 2022 |
| Hannah Marie Sullivan | Osaic Fa, Inc. BD affiliated | J. W. Cole Advisors, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 1, 2022 | Aug 1, 2022 |
| Christopher Joseph Dorff | Osaic Fa, Inc. BD affiliated | Cetera Advisor Networks LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 19, 2022 | Aug 11, 2022 |
| Travis E Dougherty | Osaic Fa, Inc. BD affiliated | MML Investors Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 11, 2022 | Sep 2, 2022 (53 d) |
| Hrini Sandoval | Osaic Fa, Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jun 30, 2022 | Nov 7, 2022 (130 d) |
| Richard Lann Farrar | Osaic Fa, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 16, 2022 | Mar 21, 2024 (644 d) |
| Thomas Joseph Barbaccia | Osaic Fa, Inc. BD affiliated | Securities America Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 15, 2022 | Jun 14, 2022 |
| Richard Joseph Haberstroh | Osaic Fa, Inc. BD affiliated | Equitable Advisors, LLC national BD | Affiliated broker-dealer or bank to another | Jun 2, 2022 | May 27, 2022 |
| Richard Joseph Augustine | Osaic Fa, Inc. BD affiliated | Sagepoint Financial, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 1, 2022 | May 16, 2022 |
| Mason Kyle Goynes | Osaic Fa, Inc. BD affiliated | Ae Wealth Management, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 1, 2022 | Jun 16, 2022 |
| James Edward Stone | Osaic Fa, Inc. BD affiliated | Sagepoint Financial, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 16, 2022 | May 16, 2022 |
| Anthony V Sambrato | Osaic Fa, Inc. BD affiliated | Usi Securities, Inc. no RAUM | Other | May 16, 2022 | Jun 15, 2022 |
| Edward Theodore Kemm | Osaic Fa, Inc. BD affiliated | Sagepoint Financial, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 9, 2022 | May 6, 2022 |
| David Clark Gossling | Osaic Fa, Inc. BD affiliated | Sagepoint Financial, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 9, 2022 | May 6, 2022 |
| Robert Lee Hamlin | Osaic Fa, Inc. BD affiliated | Sagepoint Financial, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 9, 2022 | May 6, 2022 |
1,675 moves match.