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 Mma Securities LLC

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
Roxana GomezMma Securities LLC no RAUMIntegrated Wealth Concepts LLC independent RIAOtherSep 17, 2026Aug 25, 2026
Alison Paige AydMma Securities LLC no RAUMOnedigital institutionalOtherAug 26, 2026Aug 10, 2026
Ras Emerson SmithMma Securities LLC no RAUMAllworth Financial, L.P. BD affiliatedOtherMay 22, 2026Aug 5, 2026 (75 d)
Douglas Howard KublinMma Securities LLC no RAUMMorgan Stanley wirehouseOtherFeb 21, 2026Feb 5, 2026
Brent Alan WieckMma Securities LLC no RAUMAdamsbrown Wealth Consultants LLC independent RIAOtherNov 26, 2025Jan 20, 2026 (55 d)
Duane MoppinMma Securities LLC no RAUMAdamsbrown Wealth Consultants LLC independent RIAOtherNov 26, 2025Dec 11, 2025
Cody Matthew LewallenMma Securities LLC no RAUMMma Asset Management LLC mixed wealthOtherNov 21, 2025Jan 22, 2025
Peter Joseph ThompsonMma Securities LLC no RAUMStancorp Investment Advisers, Inc. otherOtherOct 17, 2025Jan 15, 2026 (90 d)
Richard Burton RowehlMma Securities LLC no RAUMRevolve Wealth Partners, LLC independent RIAOtherOct 3, 2025Oct 10, 2025
Cody Matthew LippertMma Securities LLC no RAUMIma Advisory Services, Inc. mixed wealthOtherJul 2, 2025Jul 7, 2025
Dylan James CookeMma Securities LLC no RAUMMma Asset Management LLC mixed wealthOtherJun 25, 2025Jul 5, 2022
Maria Victoria ArabskyjMma Securities LLC no RAUMMonarch Plan Advisors institutionalOtherOct 23, 2024Sep 5, 2026 (682 d)
Laura Thai StenbergMma Securities LLC no RAUMHub Investment Partners, LLC mixed wealthOtherJun 13, 2024Mar 13, 2025 (273 d)
Gary Lynn GunningMma Securities LLC no RAUMOsaic Wealth, Inc. BD affiliatedOtherApr 30, 2024Jan 10, 2024
Robin Leigh SlaterMma Securities LLC no RAUMD.A. Davidson & Co. independent RIAOtherApr 17, 2024Jun 11, 2024 (55 d)
Levi FetterhoffMma Securities LLC no RAUMEdward Jones national BDOtherMar 15, 2024May 28, 2024 (74 d)
Jeffrey Scott BroaddusMma Securities LLC no RAUMIsc Advisors, Inc. independent RIAOtherOct 12, 2023Oct 11, 2023
Robert Patrick GibsonMma Securities LLC no RAUMWorld Investment Advisors, LLC institutionalOtherSep 11, 2023Sep 20, 2023
Kevin James DuffinMma Securities LLC no RAUMCetera Investment Advisers LLC BD affiliatedOtherAug 7, 2023Nov 24, 2023 (109 d)
Zachary Harrison HullMma Securities LLC no RAUMWealthspire Retirement Advisory institutionalOtherMay 15, 2023Jun 1, 2023
Robert David ThomsonMma Securities LLC no RAUMMfs Institutional Advisors Inc. otherOtherApr 18, 2022May 24, 2023 (401 d)
Douglas MorashMma Securities LLC no RAUMFidelity Personal And Workplace Advisors BD affiliatedOtherAug 2, 2021May 17, 2022 (288 d)
Michael John CsedrikMma Securities LLC no RAUMKestra Advisory Services, LLC BD affiliatedOtherSep 13, 2019Sep 23, 2019
Brian David DillonMma Securities LLC no RAUMSandhill Investment Management independent RIAOtherJan 23, 2019Mar 19, 2019 (55 d)
Jacob DalyMma Securities LLC no RAUMSagepoint Financial, Inc. BD affiliatedOtherJan 3, 2019Jun 20, 2018
Stephen Theodore BoudreauMma Securities LLC no RAUMLPL Financial LLC otherOtherMay 13, 2016May 18, 2016
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26 moves match.