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
Timothy Glenn Thrasher	Advisors Asset Management, Inc. other	Investment Professionals, Inc. other	Other	Oct 4, 2013	Mar 24, 2014 (171 d)
Thomas Paul Dalpiaz	Advisors Asset Management, Inc. other	Seelaus Asset Management, LLC other	Other	Sep 18, 2013	Oct 16, 2013
Timothy Aaron Penner	Advisors Asset Management, Inc. other	Agh Wealth Advisors, LLC other	Other	Sep 10, 2013	Oct 4, 2013
Ruben Rene Ramirez	Advisors Asset Management, Inc. other	Fortitude Advisory Group L.L.C. independent RIA	Other	Aug 28, 2013	Jan 7, 2022 (3054 d)
Thomas Engwall Aagaard	Advisors Asset Management, Inc. other	J.P. Morgan Securities LLC wirehouse	Other	Apr 16, 2013	Aug 22, 2014 (493 d)
Philip Terrence Pomella	Advisors Asset Management, Inc. other	LPL Financial LLC other	Other	Jan 2, 2013	May 8, 2014 (491 d)
Edward Tencza	Advisors Asset Management, Inc. other	Cetera Advisor Networks LLC BD affiliated	Other	Sep 7, 2012	Jun 9, 2023 (3927 d)
Noe Jose Fernandez	Advisors Asset Management, Inc. other	Victory Capital Management Inc. asset manager	Other	Aug 6, 2012	Sep 1, 2021 (3313 d)
Jeffrey A. Seitz	Advisors Asset Management, Inc. other	American Portfolios Advisors, Inc other	Other	Jul 27, 2012	Jan 10, 2013 (167 d)
Gerald Steven Reed	Advisors Asset Management, Inc. other	Investment Professionals, Inc. other	Other	Jul 26, 2012	Jan 3, 2018 (1987 d)
Daniel Henry Foley	Advisors Asset Management, Inc. other	Blackrock Fund Advisors other	Other	Jun 25, 2012	Sep 25, 2012 (92 d)
Mark Grafton	Advisors Asset Management, Inc. other	Chase Investment Services Corp. other	Other	Jun 25, 2012	Jul 26, 2012 (31 d)
Christopher Michael Dunlap	Advisors Asset Management, Inc. other	Capital Client Group, Inc. no RAUM	Other	Mar 12, 2012	Apr 25, 2013 (409 d)
Randy Allan Olfers	Advisors Asset Management, Inc. other	Investment Professionals, Inc. other	Other	Feb 10, 2012	Mar 6, 2013 (390 d)
Everett Peroni	Advisors Asset Management, Inc. other	Morgan Stanley wirehouse	Other	Feb 9, 2012	Sep 14, 2026 (5331 d)
Alberto Puentes	Advisors Asset Management, Inc. other	Investment Professionals, Inc. other	Other	Jan 20, 2012	Apr 3, 2012 (74 d)
Daniel Hilario Barajas	Advisors Asset Management, Inc. other	Waddell & Reed other	Other	Jan 12, 2012	Jan 9, 2012
Christopher Cornett	Advisors Asset Management, Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Sep 14, 2011	Nov 19, 2014 (1162 d)
Jason Youngworth Zalarick	Advisors Asset Management, Inc. other	Strategic Advisers LLC national BD	Other	Jul 29, 2011	Aug 16, 2011
Christopher Shea Marmion	Advisors Asset Management, Inc. other	Wells Fargo Advisors wirehouse	Other	Jul 20, 2011	Aug 17, 2011
Michael Stuart Parker	Advisors Asset Management, Inc. other	Thornburg Investment Management Inc other	Other	Jul 13, 2011	Mar 22, 2012 (253 d)
Alfred Fuentes	Advisors Asset Management, Inc. other	Investment Professionals, Inc. other	Other	Jul 13, 2011	Jun 7, 2012 (330 d)
Luke Donenfeld	Advisors Asset Management, Inc. other	First Empire Asset Management, Inc other	Other	Jul 13, 2011	May 4, 2012 (296 d)
Adam Mark Eisenhauer	Advisors Asset Management, Inc. other	Investment Professionals, Inc. other	Other	Jun 14, 2011	Jun 13, 2011
Justin Peter Mclaughlin	Advisors Asset Management, Inc. other	First Allied Securities, Inc. other	Other	Jun 14, 2011	Nov 4, 2011 (143 d)
Andrew Draluck	Advisors Asset Management, Inc. other	Wells Fargo Advisors wirehouse	Other	Apr 29, 2011	Oct 13, 2011 (167 d)
Richard Keith Marrone	Advisors Asset Management, Inc. other	Thomas Weisel Partners LLC other	Other	Mar 29, 2011	Mar 22, 2011
Michael Ross Cocke	Advisors Asset Management, Inc. other	Habanero Capital LLC unclassified	Other	Mar 21, 2011	May 2, 2013 (773 d)
Bradly Keith Hinton	Advisors Asset Management, Inc. other	Ameriprise Financial Services, LLC national BD	Other	Jan 27, 2011	Nov 30, 2012 (673 d)
Mandy Marie Haskell	Advisors Asset Management, Inc. other	Invesco Advisers, Inc. other	Other	Dec 6, 2010	Jul 21, 2011 (227 d)
Adam Blake Peters	Advisors Asset Management, Inc. other	Allworth Financial, L.P. other	Other	Sep 2, 2010	Jul 1, 2014 (1398 d)
Bruno Vera	Advisors Asset Management, Inc. other	Capital Client Group, Inc. no RAUM	Other	Aug 20, 2010	Oct 1, 2024 (5156 d)
James Eric Inman	Advisors Asset Management, Inc. other	Investment Professionals, Inc. other	Other	Aug 10, 2010	Jan 18, 2012 (526 d)
Nathan Carlson	Advisors Asset Management, Inc. other	First Trust Advisors LP other	Other	Jul 27, 2010	Jul 12, 2010
Jeffrey A. Seitz	Advisors Asset Management, Inc. other	Td Ameritrade, Inc. no RAUM	Other	Jun 11, 2010	Aug 3, 2010 (53 d)
Jason Lauderback	Advisors Asset Management, Inc. other	Calamos Advisors LLC other	Other	Jun 11, 2010	Feb 8, 2011 (242 d)
Alan Brum	Advisors Asset Management, Inc. other	Td Ameritrade Investment Management, LLC other	Other	May 12, 2010	Jul 15, 2010 (64 d)
Brad Lee Hallock	Advisors Asset Management, Inc. other	Msi Financial Services, Inc. other	Other	Apr 14, 2010	Aug 18, 2010 (126 d)
Robert Cecil Alston	Advisors Asset Management, Inc. other	Quadcap Wealth Management, LLC other	Other	Mar 18, 2010	Oct 16, 2015 (2038 d)
Bradley Vaughn Livingston	Advisors Asset Management, Inc. other	Capital Guardian Wealth Management, LLC other	Other	Mar 18, 2010	Jan 19, 2011 (307 d)
Brian Anthony Marchiori	Advisors Asset Management, Inc. other	Swbc Investment Company other	Other	Mar 3, 2010	Feb 23, 2010
Lejo Abraham	Advisors Asset Management, Inc. other	Chase Investment Services Corp. other	Other	Feb 1, 2010	Aug 30, 2010 (210 d)
Elizabeth Ann Folland	Advisors Asset Management, Inc. other	Swbc Investment Company other	Other	Jan 14, 2010	Jan 14, 2010
Margaret Mary Oleary	Advisors Asset Management, Inc. other	Voya Investment Management Co. LLC other	Other	Oct 16, 2009	Oct 12, 2009
Arturo Andrews	Advisors Asset Management, Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Sep 16, 2009	Sep 29, 2009
Katya Lynn Thompson-Cantu	Advisors Asset Management, Inc. other	Cuna Brokerage Services, Inc. other	Other	Sep 4, 2009	Jul 27, 2010 (326 d)
Jimi Sidhu	Advisors Asset Management, Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Aug 14, 2009	Aug 21, 2019 (3659 d)
Bryan Scott Pecherek	Advisors Asset Management, Inc. other	Wells Fargo Advisors wirehouse	Other	Aug 14, 2009	Aug 4, 2010 (355 d)
Todd Robert Marsell	Advisors Asset Management, Inc. other	Americafirst Capital Management, LLC other	Other	Jul 31, 2009	Oct 13, 2010 (439 d)
Eileen Renee Hayes	Advisors Asset Management, Inc. other	Contravisory Investment Management, Inc. other	Other	Apr 28, 2009	Apr 29, 2009
John Vito Sacchetti	Advisors Asset Management, Inc. other	Investment Professionals, Inc. other	Other	Feb 18, 2009	Feb 23, 2009
Jeffrey Alan Churba	Advisors Asset Management, Inc. other	Putnam Investment Management, LLC other	Other	Nov 17, 2008	Aug 4, 2016 (2817 d)
Brian M Lowrance	Advisors Asset Management, Inc. other	Softwealth state registered	Other	May 16, 2008	Jan 1, 2026 (6439 d)
Larry Allen Anderson	Advisors Asset Management, Inc. other	Td Ameritrade Investment Management, LLC other	Other	Feb 12, 2008	Mar 7, 2008
Mark S Sargon	Advisors Asset Management, Inc. other	Charles Schwab & Co., Inc. national BD	Other	Feb 1, 2008	Jun 23, 2008 (143 d)
Shannon Taylor	Advisors Asset Management, Inc. other	Usaa Financial Planning Services no RAUM	Other	Sep 11, 2007	Nov 16, 2007 (66 d)
Scott Brandon Dooley	Advisors Asset Management, Inc. other	Manning & Napier Advisory Advantage Company, LLC other	Other	Feb 6, 2007	Mar 1, 2007
Scott Larson Collins	Advisors Asset Management, Inc. other	Morgan Stanley Dw Inc. unclassified	Other	Jan 30, 2007	Feb 6, 2007
Felisha Marie Pullen	Advisors Asset Management, Inc. other	Chase Investment Services Corp. other	Other	Dec 15, 2006	Jan 3, 2007
Sherry Larae Egenolf	Advisors Asset Management, Inc. other	Usaa Investment Services Company other	Other	Nov 16, 2005	Jan 12, 2006 (57 d)

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182 moves match.