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.

AdvisorFromToTypeLeftRegistered
Andrea Beth SheikhOsaic Fa, Inc. BD affiliatedSagepoint Financial, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherMay 9, 2022May 9, 2022
Stephanie HornerOsaic Fa, Inc. BD affiliatedLPL Financial LLC independent RIAAffiliated broker-dealer or bank to independent RIAMay 9, 2022Feb 8, 2023 (275 d)
Cole James StonemanOsaic Fa, Inc. BD affiliatedSagepoint Financial, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherMay 9, 2022May 6, 2022
James Peter MartinOsaic Fa, Inc. BD affiliatedSagepoint Financial, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherMay 6, 2022May 6, 2022
Shane Austin MorrowOsaic Fa, Inc. BD affiliatedSagepoint Financial, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherMay 6, 2022May 6, 2022
Brian Edward NoeOsaic Fa, Inc. BD affiliatedSagepoint Financial, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherMay 6, 2022May 6, 2022
James Craig GriffisOsaic Fa, Inc. BD affiliatedLPL Financial LLC independent RIAAffiliated broker-dealer or bank to independent RIAApr 27, 2022Apr 26, 2022
Robert P HuntingtonOsaic Fa, Inc. BD affiliatedMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseAffiliated broker-dealer or bank to wirehouseApr 26, 2022Nov 27, 2023 (580 d)
Ryan James WoodOsaic Fa, Inc. BD affiliatedMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseAffiliated broker-dealer or bank to wirehouseMar 31, 2022Jul 7, 2022 (98 d)
Annelise ChaykaOsaic Fa, Inc. BD affiliatedLPL Financial LLC independent RIAAffiliated broker-dealer or bank to independent RIAMar 25, 2022May 23, 2022 (59 d)
Bradley James FerrellOsaic Fa, Inc. BD affiliatedFirst Trust Advisors LP asset managerOtherMar 24, 2022Nov 8, 2025 (1325 d)
Richard Henry FabianiOsaic Fa, Inc. BD affiliatedLPL Financial LLC independent RIAAffiliated broker-dealer or bank to independent RIAMar 18, 2022Jul 14, 2022 (118 d)
David E HudsonOsaic Fa, Inc. BD affiliatedLPL Financial LLC independent RIAAffiliated broker-dealer or bank to independent RIAMar 18, 2022Mar 18, 2022
Macgregor MaitlandOsaic Fa, Inc. BD affiliatedSteward Partners Investment Advisory, LLC BD affiliatedAffiliated broker-dealer or bank to anotherMar 18, 2022Jun 10, 2024 (815 d)
Marc Lawrence DeliaOsaic Fa, Inc. BD affiliatedLPL Financial LLC independent RIAAffiliated broker-dealer or bank to independent RIAMar 18, 2022Mar 18, 2022
Thomas Joseph AltenOsaic Fa, Inc. BD affiliatedLPL Financial LLC independent RIAAffiliated broker-dealer or bank to independent RIAMar 15, 2022Mar 15, 2022
Laura ScheppeleOsaic Fa, Inc. BD affiliatedCadaret Grant & Co Inc BD affiliatedAffiliated broker-dealer or bank to anotherMar 11, 2022Mar 18, 2022
Paul Philip MelansonOsaic Fa, Inc. BD affiliatedSecurities America Advisors, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherMar 9, 2022Mar 8, 2022
Thomas Michael BurkeOsaic Fa, Inc. BD affiliatedSecurities America Advisors, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherMar 8, 2022Mar 8, 2022
Stephen James CribleyOsaic Fa, Inc. BD affiliatedBeacon Financial Group, Inc. no RAUMAffiliated broker-dealer or bank to a newly registered adviserFeb 24, 2022Feb 28, 2022
Heather PollackOsaic Fa, Inc. BD affiliatedBeacon Financial Group, Inc. no RAUMAffiliated broker-dealer or bank to a newly registered adviserFeb 22, 2022Mar 4, 2022
Brent F BesingerOsaic Fa, Inc. BD affiliatedBeacon Financial Group, Inc. no RAUMAffiliated broker-dealer or bank to a newly registered adviserFeb 22, 2022Feb 27, 2022
Janet Marie BauerOsaic Fa, Inc. BD affiliatedBeacon Financial Group, Inc. no RAUMAffiliated broker-dealer or bank to a newly registered adviserFeb 22, 2022Feb 28, 2022
Kenji David WilliamsOsaic Fa, Inc. BD affiliatedCharles Schwab & Co., Inc. national BDAffiliated broker-dealer or bank to anotherFeb 15, 2022Feb 17, 2022
Letitia Barbara GrayOsaic Fa, Inc. BD affiliatedCommonwealth Financial Network national BDAffiliated broker-dealer or bank to anotherFeb 7, 2022Feb 4, 2022
Mark Anthony RuffoOsaic Fa, Inc. BD affiliatedEmpower Advisory Group, LLC otherOtherFeb 1, 2022Feb 22, 2022
Brian DeacetisOsaic Fa, Inc. BD affiliatedCommonwealth Financial Network national BDAffiliated broker-dealer or bank to anotherFeb 1, 2022Mar 8, 2022 (35 d)
Nadya MetsOsaic Fa, Inc. BD affiliatedMorton Wealth independent RIAAffiliated broker-dealer or bank to independent RIAJan 19, 2022Mar 20, 2022 (60 d)
Reed SalonyOsaic Fa, Inc. BD affiliatedPersonal Capital Advisors Corporation independent RIAAffiliated broker-dealer or bank to independent RIAJan 3, 2022Jan 6, 2022
Meaghan Ford MclaughlinOsaic Fa, Inc. BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherDec 23, 2021Jan 18, 2022
Michael Arthur MclaughlinOsaic Fa, Inc. BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherDec 20, 2021Dec 16, 2021
Rey DeborjaOsaic Fa, Inc. BD affiliatedPruco Securities, LLC BD affiliatedAffiliated broker-dealer or bank to anotherDec 20, 2021Jan 23, 2022 (34 d)
Monica Christine LupinettiOsaic Fa, Inc. BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherDec 17, 2021Dec 21, 2021
Kyle MacrinaOsaic Fa, Inc. BD affiliatedPrivate Advisor Group, LLC BD affiliatedAffiliated broker-dealer or bank to anotherDec 16, 2021Mar 6, 2025 (1176 d)
Brent Christopher McguireOsaic Fa, Inc. BD affiliatedNeuberger Berman Bd LLC no RAUMOtherDec 15, 2021Jul 1, 2022 (198 d)
Robert J DipaduaOsaic Fa, Inc. BD affiliatedPallas Capital Advisors, LLC independent RIAAffiliated broker-dealer or bank to independent RIADec 3, 2021Jun 29, 2022 (208 d)
Warren John SangerOsaic Fa, Inc. BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherNov 19, 2021Nov 18, 2021
Ashley Marie SawyerOsaic Fa, Inc. BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherNov 10, 2021Nov 8, 2021
Kenneth Micheal LemasOsaic Fa, Inc. BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherNov 10, 2021Nov 8, 2021
James Ray WestermeyerOsaic Fa, Inc. BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherNov 9, 2021Nov 12, 2021
William Charles RolandOsaic Fa, Inc. BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherNov 9, 2021Nov 8, 2021
William Thomas SchoffelmanOsaic Fa, Inc. BD affiliatedIntegrated Wealth Concepts LLC independent RIAAffiliated broker-dealer or bank to independent RIAOct 19, 2021Nov 23, 2021 (35 d)
Andrew Louis MichelOsaic Fa, Inc. BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherSep 1, 2021Aug 30, 2021
Michael Joseph AgriestiOsaic Fa, Inc. BD affiliatedGladstone Wealth Partners independent RIAAffiliated broker-dealer or bank to independent RIASep 1, 2021Aug 31, 2021
G Adam WeingartnerOsaic Fa, Inc. BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherSep 1, 2021Aug 30, 2021
Tyler Joseph KlepekOsaic Fa, Inc. BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherSep 1, 2021Aug 31, 2021
Jennifer Linh JenkinsOsaic Fa, Inc. BD affiliatedLPL Financial LLC independent RIAAffiliated broker-dealer or bank to independent RIASep 1, 2021Sep 1, 2022 (365 d)
Richard Michael ObrienOsaic Fa, Inc. BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherAug 31, 2021Aug 30, 2021
Richard John MartinOsaic Fa, Inc. BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherAug 31, 2021Aug 30, 2021
Don Russell ParkhillOsaic Fa, Inc. BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherAug 31, 2021Aug 30, 2021
Adam Joseph PusateriOsaic Fa, Inc. BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherAug 31, 2021Aug 30, 2021
Courtney Ann WallsOsaic Fa, Inc. BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherAug 31, 2021Aug 31, 2021
John Christopher KimOsaic Fa, Inc. BD affiliatedWorld Investment Advisors, LLC institutionalOtherAug 25, 2021Aug 23, 2021
Michael Andre AguadoOsaic Fa, Inc. BD affiliatedWorld Investment Advisors, LLC institutionalOtherAug 24, 2021Aug 23, 2021
Antonio DominguezOsaic Fa, Inc. BD affiliatedWorld Investment Advisors, LLC institutionalOtherAug 24, 2021Jan 1, 2025 (1226 d)
Rachel Marie HarrisOsaic Fa, Inc. BD affiliatedWorld Investment Advisors, LLC institutionalOtherAug 24, 2021Aug 23, 2021
Daniel Spector-FransonOsaic Fa, Inc. BD affiliatedWorld Investment Advisors, LLC institutionalOtherAug 24, 2021Aug 23, 2021
Brian James ZaboraOsaic Fa, Inc. BD affiliatedFounders Financial Securities, LLC independent RIAAffiliated broker-dealer or bank to independent RIAAug 23, 2021Oct 21, 2022 (424 d)
Timothy John HelferOsaic Fa, Inc. BD affiliatedSanctuary Advisors, LLC BD affiliatedAffiliated broker-dealer or bank to anotherAug 11, 2021Aug 17, 2021
David RosecransOsaic Fa, Inc. BD affiliatedEmpower Advisory Group, LLC otherOtherAug 11, 2021Sep 16, 2021 (36 d)
Page 6 of 28PreviousNext
1,675 moves match.