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 Advisors Asset Management, 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
Adam Clemens	Advisors Asset Management, Inc. other	J.P. Morgan Securities LLC wirehouse	Other	Nov 16, 2020	Nov 16, 2020
Jeffrey Cody Garcia	Advisors Asset Management, Inc. other	Citigroup Global Markets Inc. BD affiliated	Other	Sep 14, 2020	Nov 19, 2020 (66 d)
Alexander Bezugly	Advisors Asset Management, Inc. mixed wealth	LPL Financial LLC BD affiliated	RIA to affiliated broker-dealer or bank	Jan 7, 2020	Sep 13, 2021 (615 d)
Brian Tutland	Advisors Asset Management, Inc. mixed wealth	Fidelity Personal And Workplace Advisors BD affiliated	RIA to affiliated broker-dealer or bank	Sep 17, 2019	Jun 30, 2021 (652 d)
William Carr Stokes	Advisors Asset Management, Inc. mixed wealth	B. Riley Wealth Advisors, Inc. BD affiliated	RIA to affiliated broker-dealer or bank	Sep 17, 2019	Apr 8, 2020 (204 d)
Patrick Anthony Bonanno	Advisors Asset Management, Inc. mixed wealth	Alliancebernstein L.P. other	Other	Sep 17, 2019	Nov 14, 2019 (58 d)
Sharif Salah Husseini	Advisors Asset Management, Inc. mixed wealth	Brookstone Capital Management LLC independent RIA	RIA to RIA	Jul 23, 2019	May 28, 2025 (2136 d)
Jamie Lynn Wisecarver	Advisors Asset Management, Inc. mixed wealth	Swbc Investment Company independent RIA	RIA to RIA	May 21, 2019	May 21, 2019
Brian Michael Ridgeway	Advisors Asset Management, Inc. mixed wealth	Thornburg Investment Management Inc asset manager	Other	May 13, 2019	May 10, 2019
Dena Capitani	Advisors Asset Management, Inc. mixed wealth	Nuveen Asset Management, LLC other	Other	Dec 4, 2018	Dec 20, 2018
Derek Sean Ketel	Advisors Asset Management, Inc. mixed wealth	LPL Financial LLC independent RIA	RIA to RIA	Oct 24, 2018	Nov 9, 2018
Jeffrey Spurling	Advisors Asset Management, Inc. mixed wealth	Premier Capital Advisors LLC institutional	Other	Sep 4, 2018	Sep 10, 2018
Cal Jason Smith	Advisors Asset Management, Inc. mixed wealth	Hennion & Walsh Asset Management, Inc. BD affiliated	RIA to affiliated broker-dealer or bank	Jul 30, 2018	Oct 25, 2018 (87 d)
Sathesh Janaki	Advisors Asset Management, Inc. mixed wealth	MML Investors Services, LLC BD affiliated	RIA to affiliated broker-dealer or bank	Jun 7, 2018	May 31, 2019 (358 d)
Kathryn Kettenhofen	Advisors Asset Management, Inc. mixed wealth	Nuveen Asset Management, LLC other	Other	Apr 18, 2018	Apr 17, 2018
Sandra Michele Franklin	Advisors Asset Management, Inc. mixed wealth	Td Ameritrade, Inc. no RAUM	Other	Apr 12, 2018	May 23, 2018 (41 d)
Adam Mark Eisenhauer	Advisors Asset Management, Inc. mixed wealth	Captrust institutional	Other	Apr 12, 2018	Oct 4, 2019 (540 d)
Susan Delmer Smith	Advisors Asset Management, Inc. other	LPL Financial LLC independent RIA	Other	Mar 16, 2018	Nov 9, 2018 (238 d)
Charles Kingston Butler	Advisors Asset Management, Inc. other	Sequentis Capital LLC independent RIA	Other	Feb 15, 2018	Oct 13, 2020 (971 d)
Jennifer Grzeskiewicz	Advisors Asset Management, Inc. other	First Trust Advisors LP other	Other	Feb 15, 2018	Feb 22, 2018
Bonny Barbara Collins	Advisors Asset Management, Inc. other	International Assets Investment Management, LLC other	Other	Dec 5, 2017	Feb 20, 2018 (77 d)
William Cleto Fernandez	Advisors Asset Management, Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Feb 24, 2017	Aug 31, 2017 (188 d)
Joshua Duane Rienks	Advisors Asset Management, Inc. other	Edward Jones national BD	Other	Feb 17, 2017	Jan 24, 2025 (2898 d)
Christopher Paul Reda	Advisors Asset Management, Inc. other	E*Trade Capital Management, LLC other	Other	Dec 15, 2016	Jan 23, 2017 (39 d)
George Matthew Warren	Advisors Asset Management, Inc. other	Pnc Wealth Management other	Other	Nov 25, 2016	May 30, 2017 (186 d)
Scott Andrew Meenan	Advisors Asset Management, Inc. other	Citigroup Global Markets Inc. other	Other	Sep 13, 2016	Feb 10, 2017 (150 d)
Ryan Marquard	Advisors Asset Management, Inc. other	Edward Jones national BD	Other	Aug 10, 2016	Aug 1, 2016
Eugene Everett Peroni	Advisors Asset Management, Inc. other	Peroni Portfolio Advisors, Inc. state registered	Other	Jun 14, 2016	Jun 6, 2016
Raymond Key	Advisors Asset Management, Inc. other	Valic Financial Advisors, Inc. other	Other	Jun 14, 2016	Jun 20, 2016
Christina Martinez	Advisors Asset Management, Inc. other	Stifel, Nicolaus & Company, Incorporated national BD	Other	May 23, 2016	Feb 16, 2023 (2460 d)
William David Harwood	Advisors Asset Management, Inc. other	Cuso Financial Services, L.P. other	Other	Apr 13, 2016	Nov 28, 2016 (229 d)
Thomas William Donnelly	Advisors Asset Management, Inc. other	Navellier & Associates Inc other	Other	Mar 17, 2016	Jul 18, 2016 (123 d)
Kevin D Oliver	Advisors Asset Management, Inc. other	J.P. Morgan Securities LLC wirehouse	Other	Mar 17, 2016	Sep 1, 2016 (168 d)
Russell Edward Jones	Advisors Asset Management, Inc. other	J.P. Morgan Securities LLC wirehouse	Other	Feb 16, 2016	May 26, 2016 (100 d)
Michael Sauve Koury	Advisors Asset Management, Inc. other	J.P. Morgan Securities LLC wirehouse	Other	Feb 16, 2016	Apr 19, 2016 (63 d)
Timothy Jon Briggs	Advisors Asset Management, Inc. other	LPL Financial LLC independent RIA	Other	Sep 29, 2015	Aug 29, 2018 (1065 d)
Edward Mckay Felt	Advisors Asset Management, Inc. other	Usaa Financial Planning Services no RAUM	Other	Aug 18, 2015	Jul 29, 2016 (346 d)
Sean Patrick Tuohy	Advisors Asset Management, Inc. other	Swbc Investment Company other	Other	Aug 18, 2015	Aug 3, 2015
Ryan Garrett Riffe	Advisors Asset Management, Inc. other	Swbc Investment Company other	Other	Aug 18, 2015	Aug 17, 2015
Alexandria Lorrissa Nicole Segura	Advisors Asset Management, Inc. other	UBS Financial Services Inc. wirehouse	Other	Mar 10, 2015	Mar 20, 2015
Paul Kenneth Marshall	Advisors Asset Management, Inc. other	Swbc Investment Company other	Other	Feb 26, 2015	Feb 19, 2015
Tai S. Park	Advisors Asset Management, Inc. other	Chartwell Investment Partners, LLC other	Other	Feb 11, 2015	Mar 30, 2015 (47 d)
Bradley Robert Yocum	Advisors Asset Management, Inc. other	Nuveen Asset Management, LLC other	Other	Jan 13, 2015	Jan 13, 2015
Matthew Petrizzo	Advisors Asset Management, Inc. other	Guggenheim Investments other	Other	Oct 13, 2014	Oct 10, 2014
Michael Vincent Mccormick	Advisors Asset Management, Inc. other	Guggenheim Investments other	Other	Oct 10, 2014	Oct 13, 2014
Jarret Michael Shattuck	Advisors Asset Management, Inc. other	Nuveen Asset Management, LLC other	Other	Sep 26, 2014	Nov 14, 2014 (49 d)
Gregory Jason Mclean	Advisors Asset Management, Inc. other	LPL Financial LLC other	Other	Aug 14, 2014	Feb 17, 2015 (187 d)
Malcolm Kirk Leslie	Advisors Asset Management, Inc. other	Envestnet Pmc BD affiliated	Other	Aug 5, 2014	Feb 19, 2019 (1659 d)
Bryan Robert Huhn	Advisors Asset Management, Inc. other	Hennion & Walsh Asset Management, Inc. other	Other	Aug 5, 2014	Jun 28, 2016 (693 d)
Roberto W Roffo	Advisors Asset Management, Inc. other	Herbert J. Sims Capital Management, Inc. independent RIA	Other	Jul 30, 2014	Jul 5, 2016 (706 d)
Aj Helgerson	Advisors Asset Management, Inc. other	Delaware Capital Management Advisers, Inc no RAUM	Other	Jul 18, 2014	Jul 22, 2014
Andrew Michael Almeida	Advisors Asset Management, Inc. other	RBC Rochdale, LLC other	Other	Apr 2, 2014	Jul 25, 2014 (114 d)
Janet Mary Haley	Advisors Asset Management, Inc. other	Usaa Financial Planning Services no RAUM	Other	Mar 25, 2014	Jun 26, 2014 (93 d)
James Jimmy Vera	Advisors Asset Management, Inc. other	Usaa Financial Planning Services no RAUM	Other	Jan 28, 2014	Feb 11, 2014
Erin Klisser Arellano	Advisors Asset Management, Inc. other	LPL Financial LLC other	Other	Jan 14, 2014	Jan 31, 2014
Richard H Addy	Advisors Asset Management, Inc. other	Td Ameritrade Investment Management, LLC other	Other	Dec 19, 2013	Mar 7, 2017 (1174 d)
Kami Lyn Vidor	Advisors Asset Management, Inc. other	State Farm Investment Management Corp. asset manager	Other	Dec 13, 2013	Oct 17, 2018 (1769 d)
Christopher C. Elbrecht	Advisors Asset Management, Inc. other	Swbc Investment Company other	Other	Oct 22, 2013	Oct 22, 2013
Michael Kenneth Korzenko	Advisors Asset Management, Inc. other	RBC Rochdale, LLC other	Other	Oct 22, 2013	Nov 12, 2013
Ernest William Ross	Advisors Asset Management, Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Oct 4, 2013	May 1, 2014 (209 d)

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182 moves match.