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 |
|---|---|---|---|---|---|
| Jakob Joseph Nines | Osaic Fa, Inc. BD affiliated | Vanguard Advisers, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 9, 2021 | Aug 20, 2021 |
| Mimie Yoon Lee | Osaic Fa, Inc. BD affiliated | Hightower Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 6, 2021 | Sep 13, 2021 (38 d) |
| Ivy Hope Menchel | Osaic Fa, Inc. BD affiliated | Equitable Advisors, LLC national BD | Affiliated broker-dealer or bank to another | Aug 3, 2021 | Aug 3, 2021 |
| Eric Stephen Pasquini | Osaic Fa, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 30, 2021 | Aug 6, 2021 |
| Kimberly Jean Brumbaugh | Osaic Fa, Inc. BD affiliated | Advisornet Wealth Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 27, 2021 | Jul 28, 2021 |
| Christopher John Martin | Osaic Fa, Inc. BD affiliated | Advisornet Wealth Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 27, 2021 | Dec 1, 2022 (492 d) |
| Andrew Michael Storti | Osaic Fa, Inc. BD affiliated | Advisornet Wealth Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 27, 2021 | Jul 29, 2021 |
| Kay Pfleghardt | Osaic Fa, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Jul 14, 2021 | Jul 26, 2021 |
| Yu Zhang Krisko | Osaic Fa, Inc. BD affiliated | Yz Financial Advisors LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jul 7, 2021 | Jul 10, 2021 |
| Benjamin Emory | Osaic Fa, Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jun 23, 2021 | Sep 30, 2021 (99 d) |
| Rhonda Ann Carr | Osaic Fa, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 14, 2021 | Jun 15, 2021 |
| Georgeanne Graydon Aist | Osaic Fa, Inc. BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 24, 2021 | May 19, 2021 |
| Benjamin Carney Bateman | Osaic Fa, Inc. BD affiliated | Arkadios Wealth Advisors BD affiliated | Affiliated broker-dealer or bank to another | May 11, 2021 | May 5, 2021 |
| Bryan R Cogliano | Osaic Fa, Inc. BD affiliated | Arkadios Wealth Advisors BD affiliated | Affiliated broker-dealer or bank to another | May 10, 2021 | May 6, 2021 |
| Diane Isabela Fredericks | Osaic Fa, Inc. BD affiliated | Integrity Alliance, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 10, 2021 | May 10, 2021 |
| Kyle James Charles | Osaic Fa, Inc. BD affiliated | Securities America Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 7, 2021 | May 3, 2021 |
| Frank B Hanna | Osaic Fa, Inc. BD affiliated | Arkadios Wealth Advisors BD affiliated | Affiliated broker-dealer or bank to another | May 6, 2021 | May 5, 2021 |
| Lawrence Sanfilippo | Osaic Fa, Inc. BD affiliated | Securities America Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 5, 2021 | May 3, 2021 |
| Christopher Dale Millward | Osaic Fa, Inc. BD affiliated | Blueprint Partners LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | May 4, 2021 | Apr 30, 2021 |
| Jonathan Erik Gruber | Osaic Fa, Inc. BD affiliated | Blueprint Partners LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | May 4, 2021 | Apr 30, 2021 |
| Stacy Lynn Hendrickson | Osaic Fa, Inc. BD affiliated | Blueprint Partners LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | May 4, 2021 | Apr 30, 2021 |
| Johndavid Woolley | Osaic Fa, Inc. BD affiliated | Foundations Investment Advisors LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 26, 2021 | May 4, 2021 |
| Nicholas Edward Burkholder | Osaic Fa, Inc. BD affiliated | Burkholder & Associates, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Apr 22, 2021 | Apr 16, 2021 |
| Kimberly Lindsay Bleck | Osaic Fa, Inc. BD affiliated | Burkholder & Associates, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Apr 21, 2021 | Apr 16, 2021 |
| Russell Scott Gorman | Osaic Fa, Inc. BD affiliated | Integrated Wealth Concepts LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 5, 2021 | Jul 30, 2021 (116 d) |
| Andrew Paul Goetz | Osaic Fa, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 31, 2021 | Jun 29, 2023 (820 d) |
| Attahjundwe Obiajulu | Osaic Fa, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 30, 2021 | May 26, 2021 (57 d) |
| Stephen Thomas Pavlich | Osaic Fa, Inc. BD affiliated | International Assets Investment Management, LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 29, 2021 | Aug 16, 2021 (140 d) |
| Hillary Leffler | Osaic Fa, Inc. BD affiliated | Tlg Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 12, 2021 | Jan 4, 2022 (298 d) |
| Daniel Scott Swinehart | Osaic Fa, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 5, 2021 | Mar 21, 2024 (1112 d) |
| Richard Cossa | Osaic Fa, Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Mar 3, 2021 | Feb 26, 2021 |
| Nicolas Rich | Osaic Fa, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 1, 2021 | Mar 2, 2021 |
| Janet Lynn Munce | Osaic Fa, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 23, 2021 | Feb 17, 2021 |
| John Michael Donaghy | Osaic Fa, Inc. BD affiliated | Founders Financial Securities, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 5, 2021 | Feb 17, 2021 |
| David Michael Ward | Osaic Fa, Inc. BD affiliated | MML Investors Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 4, 2021 | Feb 2, 2021 |
| Ryan T Haag | Osaic Fa, Inc. BD affiliated | Tradition Wealth Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 2, 2021 | Feb 1, 2021 |
| William Patrick Harvey | Osaic Fa, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 29, 2021 | Jan 29, 2021 |
| John Aaron Boudreaux | Osaic Fa, Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jan 28, 2021 | Jan 22, 2021 |
| Matthew Christopher Mayer | Osaic Fa, Inc. BD affiliated | M Holdings Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 22, 2021 | Apr 7, 2021 (75 d) |
| Zhengnan Xu | Osaic Fa, Inc. BD affiliated | Hsbc Securities (USA) Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 21, 2021 | Jul 13, 2021 (173 d) |
| Terrence Newman | Osaic Fa, Inc. BD affiliated | Fifth Third Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 12, 2021 | Jun 10, 2021 (149 d) |
| Nathan Blake Wilmot | Osaic Fa, Inc. BD affiliated | Sagepoint Financial, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 12, 2021 | Dec 17, 2020 |
| Blaise T Connor | Osaic Fa, Inc. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 12, 2021 | Mar 11, 2021 (58 d) |
| Nicholas Dean Kennedy | Osaic Fa, Inc. BD affiliated | Three Rivers Executive Consulting, LLC mixed wealth | Affiliated broker-dealer or bank to independent RIA | Jan 5, 2021 | Jan 15, 2021 |
| Philip Sabio | Osaic Fa, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 4, 2021 | Jan 5, 2021 |
| Jeffrey Steven Cohen | Osaic Fa, Inc. BD affiliated | Hightower Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2020 | Jan 6, 2021 |
| Randy Paul Siller | Osaic Fa, Inc. BD affiliated | Hightower Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2020 | Jan 25, 2021 |
| Brian Robert Gloria | Osaic Fa, Inc. BD affiliated | Hightower Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2020 | Jan 7, 2021 |
| John Moore Froberg | Osaic Fa, Inc. BD affiliated | Hightower Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2020 | Jan 6, 2021 |
| Sarah Michelle Woehrman | Osaic Fa, Inc. BD affiliated | Mariner Advisor Network independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | Nov 18, 2020 |
| Daniel Wayne Becker | Osaic Fa, Inc. BD affiliated | Strata Wealth Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 19, 2020 | Oct 16, 2020 |
| Kevin James Gravley | Osaic Fa, Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Oct 13, 2020 | Oct 23, 2020 |
| Nathan Marek Plumb | Osaic Fa, Inc. BD affiliated | Wisconsin Capital Management, LLC mixed wealth | Affiliated broker-dealer or bank to independent RIA | Oct 5, 2020 | Oct 14, 2020 |
| Zachary Ryan Bechtold | Osaic Fa, Inc. BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Oct 5, 2020 | Jan 13, 2021 (100 d) |
| Tyler Mathew Demge | Osaic Fa, Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 18, 2020 | Jan 11, 2021 (115 d) |
| Sonia Kay Demoss | Osaic Fa, Inc. BD affiliated | Osaic Fs, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 16, 2020 | May 6, 2020 |
| Stanley Daniel Stanek | Osaic Fa, Inc. BD affiliated | Center Street Advisors, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 4, 2020 | Sep 4, 2020 |
| Ty Mcgilberry | Osaic Fa, Inc. BD affiliated | Sowell Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 2, 2020 | Sep 2, 2020 |
| Dana Belfleur | Osaic Fa, Inc. BD affiliated | Invesco Advisers, Inc. asset manager | Other | Aug 31, 2020 | Oct 7, 2020 (37 d) |
| Ernest Royal Massenberg | Osaic Fa, Inc. BD affiliated | Woodbury Financial Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 29, 2020 | Jul 24, 2020 |
1,675 moves match.