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 Pruco 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.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Thoma Capo | Pruco Securities, LLC BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 31, 2024 | Feb 11, 2025 (377 d) |
| Jack Thomas Paulson | Pruco Securities, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 30, 2024 | Mar 11, 2024 (41 d) |
| Benjamin Tallman May | Pruco Securities, LLC BD affiliated | Truist Advisory Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 29, 2024 | May 15, 2024 (107 d) |
| David Robert Izat | Pruco Securities, LLC BD affiliated | Principal Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 26, 2024 | Feb 6, 2024 |
| Velislav Danailov | Pruco Securities, LLC BD affiliated | Blackrock Investment Management, LLC other | Other | Jan 26, 2024 | Feb 2, 2024 |
| Austin Dillon | Pruco Securities, LLC BD affiliated | Huntington Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jan 24, 2024 | Mar 1, 2024 (37 d) |
| Jared P Taylor | Pruco Securities, LLC BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jan 23, 2024 | Feb 21, 2024 |
| Beatrice Julie Rivard | Pruco Securities, LLC BD affiliated | Alight Financial Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 23, 2024 | Feb 13, 2024 |
| Bryce Coy | Pruco Securities, LLC BD affiliated | Legacy Financial Strategies, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 20, 2024 | Jan 22, 2024 |
| Joseph Andrew Eck | Pruco Securities, LLC BD affiliated | Stage Ready Financial Planning state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jan 19, 2024 | Jan 12, 2024 |
| Tyler Pesola | Pruco Securities, LLC BD affiliated | Esi Financial Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 18, 2024 | Feb 7, 2024 |
| Nathan A Wetzel | Pruco Securities, LLC BD affiliated | Equitable Advisors, LLC national BD | Affiliated broker-dealer or bank to another | Jan 16, 2024 | Feb 23, 2024 (38 d) |
| John Von Buren | Pruco Securities, LLC BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jan 11, 2024 | Jan 25, 2024 |
| Ramon Luis Martinez | Pruco Securities, LLC BD affiliated | Esi Financial Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 11, 2024 | Apr 22, 2024 (102 d) |
| Herbert Jay Roman | Pruco Securities, LLC BD affiliated | Avantax Advisory Services BD affiliated | Affiliated broker-dealer or bank to another | Jan 11, 2024 | Jan 4, 2024 |
| Frederick William Stansberry | Pruco Securities, LLC BD affiliated | Integrity Alliance, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 10, 2024 | Jan 19, 2024 |
| Jessica Kelly Titus | Pruco Securities, LLC BD affiliated | Tlg Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 10, 2024 | Jan 22, 2024 |
| Stephan Karl Stoimenoff | Pruco Securities, LLC BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 9, 2024 | Jan 8, 2024 |
| Brian Witte | Pruco Securities, LLC BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 9, 2024 | Feb 23, 2024 (45 d) |
| Michael Thomas Kastler | Pruco Securities, LLC BD affiliated | Kastler Financial Planning state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jan 8, 2024 | Dec 2, 2024 (329 d) |
| Brendan Pease | Pruco Securities, LLC BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jan 7, 2024 | Mar 19, 2024 (72 d) |
| Lisa Hunt | Pruco Securities, LLC BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jan 6, 2024 | Jan 29, 2025 (389 d) |
| Joseph Austin Parker | Pruco Securities, LLC BD affiliated | Transamerica Retirement Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 5, 2024 | Jan 16, 2024 |
| Jacob Sang Wook Lee | Pruco Securities, LLC BD affiliated | Park Avenue Securities LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 4, 2024 | Jan 4, 2024 |
| Ryan Michael Tice | Pruco Securities, LLC BD affiliated | Mosley Wealth Management, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 4, 2024 | Jan 26, 2024 |
| David Courlang | Pruco Securities, LLC BD affiliated | Principal Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 4, 2024 | Jan 3, 2024 |
| John Spinetto | Pruco Securities, LLC BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Dec 31, 2023 | Nov 4, 2024 (309 d) |
| Brennen Carlsen | Pruco Securities, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 22, 2023 | Nov 20, 2025 (699 d) |
| Arthur Ring Best | Pruco Securities, LLC BD affiliated | Equitable Advisors, LLC national BD | Affiliated broker-dealer or bank to another | Dec 21, 2023 | Dec 19, 2023 |
| Tyler Mccuen | Pruco Securities, LLC BD affiliated | Equitable Advisors, LLC national BD | Affiliated broker-dealer or bank to another | Dec 21, 2023 | Dec 19, 2023 |
| Laron Triston Williams | Pruco Securities, LLC BD affiliated | Equitable Advisors, LLC national BD | Affiliated broker-dealer or bank to another | Dec 20, 2023 | Jan 11, 2024 |
| Richard James Rugel | Pruco Securities, LLC BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 18, 2023 | Dec 12, 2023 |
| Shannon L Clifton | Pruco Securities, LLC BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Dec 18, 2023 | Jan 16, 2024 |
| Ousman Bojang | Pruco Securities, LLC BD affiliated | Vanguard Advisers, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 18, 2023 | Mar 3, 2025 (441 d) |
| Liam D King | Pruco Securities, LLC BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 18, 2023 | Jan 23, 2024 (36 d) |
| Alan Warren Liljegren | Pruco Securities, LLC BD affiliated | Park Avenue Securities LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 15, 2023 | Jan 24, 2024 (40 d) |
| Jack Wilson Brown | Pruco Securities, LLC BD affiliated | Morgan House Capital, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Dec 15, 2023 | Jun 6, 2024 (174 d) |
| Fei Chen | Pruco Securities, LLC BD affiliated | Equitable Advisors, LLC national BD | Affiliated broker-dealer or bank to another | Dec 13, 2023 | Dec 18, 2023 |
| Paul Inwhan Kim | Pruco Securities, LLC BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Dec 12, 2023 | Jan 18, 2024 (37 d) |
| Jarrod Council | Pruco Securities, LLC BD affiliated | LPL Enterprise, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Dec 11, 2023 | Jan 17, 2025 (403 d) |
| Emanuel Mahand | Pruco Securities, LLC BD affiliated | Nationwide Investment Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 5, 2023 | Dec 19, 2023 |
| Courtney Campbell Gold Cox | Pruco Securities, LLC BD affiliated | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 4, 2023 | Mar 15, 2025 (467 d) |
| Winifred Holzwarth | Pruco Securities, LLC BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Dec 4, 2023 | Mar 8, 2024 (95 d) |
| Leonardo Gomez | Pruco Securities, LLC BD affiliated | Huntington Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Dec 1, 2023 | Dec 8, 2023 |
| Sebastian A Cooper | Pruco Securities, LLC BD affiliated | Oneamerica Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 1, 2023 | Jun 16, 2025 (563 d) |
| Derek R. Strombotne | Pruco Securities, LLC BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Dec 1, 2023 | Mar 13, 2024 (103 d) |
| Keith Michael Preston | Pruco Securities, LLC BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 30, 2023 | Feb 2, 2024 (64 d) |
| Matthew Benjamin Cote | Pruco Securities, LLC BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Nov 30, 2023 | Jan 5, 2024 (36 d) |
| Adam Mark Kazinec | Pruco Securities, LLC BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 30, 2023 | Nov 28, 2023 |
| Jordan Janene Ireland | Pruco Securities, LLC BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 30, 2023 | Nov 27, 2023 |
| Jonathan D Leuchs | Pruco Securities, LLC BD affiliated | Oneamerica Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 29, 2023 | Dec 20, 2023 |
| Jonathan Lee Warner | Pruco Securities, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 28, 2023 | Nov 28, 2023 |
| Brian David Mirman | Pruco Securities, LLC BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Nov 28, 2023 | Apr 15, 2024 (139 d) |
| Stephen Hoem | Pruco Securities, LLC BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 28, 2023 | Jun 9, 2024 (194 d) |
| Milton A Ares | Pruco Securities, LLC BD affiliated | Equitable Advisors, LLC national BD | Affiliated broker-dealer or bank to another | Nov 27, 2023 | Jan 25, 2024 (59 d) |
| Jessica Rhoades | Pruco Securities, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 27, 2023 | Nov 28, 2023 |
| Stephan Robert Edward Jarvie | Pruco Securities, LLC BD affiliated | Pnc Wealth Management BD affiliated | Affiliated broker-dealer or bank to another | Nov 24, 2023 | Nov 29, 2023 |
| Ted Leroy Spurgeon | Pruco Securities, LLC BD affiliated | Key Investment Services LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 21, 2023 | May 8, 2024 (169 d) |
| Benjamin James Lawson | Pruco Securities, LLC BD affiliated | LPL Enterprise, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 21, 2023 | Apr 28, 2026 (889 d) |
| Jean-Paul Ceballo | Pruco Securities, LLC BD affiliated | Equitable Advisors, LLC national BD | Affiliated broker-dealer or bank to another | Nov 21, 2023 | Mar 28, 2024 (128 d) |
2,236 moves match.