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 LPL Financial 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 |
|---|---|---|---|---|---|
| Stacey Neal Brooks | LPL Financial LLC BD affiliated | Maridea Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 15, 2026 | Jun 1, 2026 |
| David Brian Geschke | LPL Financial LLC BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Jun 15, 2026 | Jun 1, 2026 |
| Michael Shawn Anthony | LPL Financial LLC BD affiliated | Maridea Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 15, 2026 | Jun 1, 2026 |
| Keith Donavan Thieman | LPL Financial LLC BD affiliated | Maridea Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 15, 2026 | Jun 1, 2026 |
| Dustin Jacob Becker | LPL Financial LLC BD affiliated | Maridea Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 15, 2026 | Jun 1, 2026 |
| Brayden Sallee | LPL Financial LLC BD affiliated | Maridea Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 15, 2026 | Jun 1, 2026 |
| Owen Ralph Pardo | LPL Financial LLC BD affiliated | Concurrent Investment Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 12, 2026 | May 28, 2026 |
| Eric Douglas Rotolo | LPL Financial LLC BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 12, 2026 | Jun 1, 2026 |
| Thomas Dean Hart | LPL Financial LLC BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 12, 2026 | Jun 1, 2026 |
| Paul Joseph Chlebecek | LPL Financial LLC BD affiliated | J. W. Cole Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 12, 2026 | Jul 2, 2026 |
| Daniel M Lawrence | LPL Financial LLC BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 12, 2026 | Jul 1, 2026 |
| Jennifer L Pazicni | LPL Financial LLC BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 12, 2026 | Jun 1, 2026 |
| Nyisha Patrice Bell | LPL Financial LLC BD affiliated | U.S. Bancorp Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 11, 2026 | Jun 1, 2026 |
| William Brightman Walter | LPL Financial LLC BD affiliated | Mercer Global Advisors Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 11, 2026 | Jun 11, 2026 |
| Chace Christian Antony Jackson | LPL Financial LLC BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 11, 2026 | Aug 7, 2026 (57 d) |
| Charles Joseph Schilleci | LPL Financial LLC BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Jun 10, 2026 | Jun 10, 2026 |
| Daniel Ray Griffey | LPL Financial LLC BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Jun 10, 2026 | Jun 8, 2026 |
| Ryan Charles Dutil | LPL Financial LLC BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 10, 2026 | Jun 1, 2026 |
| Nicholas Chute | LPL Financial LLC BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 10, 2026 | Jun 2, 2026 |
| Emmanuel Pablo | LPL Financial LLC BD affiliated | International Assets Investment Management, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 9, 2026 | Jun 12, 2026 |
| Nikhil Vishal Nayar | LPL Financial LLC BD affiliated | Vanguard Advisers, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 9, 2026 | Sep 8, 2026 (91 d) |
| Reggie Peral | LPL Financial LLC BD affiliated | Clearview Family Wealth, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jun 5, 2026 | May 25, 2026 |
| Perrin Mark Jones | LPL Financial LLC BD affiliated | Bmss Wesson Wealth Solutions independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 5, 2026 | Jun 10, 2026 |
| Logan Adam | LPL Financial LLC BD affiliated | Equitable Advisors, LLC national BD | Affiliated broker-dealer or bank to another | Jun 5, 2026 | May 22, 2026 |
| Michael Thomas Mundo | LPL Financial LLC BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 4, 2026 | May 21, 2026 |
| Cody E Washburn | LPL Financial LLC BD affiliated | Benjamin F. Edwards & Company, Incorporated BD affiliated | Affiliated broker-dealer or bank to another | Jun 4, 2026 | May 21, 2026 |
| Brian Anthony Voss | LPL Financial LLC BD affiliated | Nbt Capital Management, Inc. other | Other | Jun 4, 2026 | Jun 24, 2020 |
| David William Holden | LPL Financial LLC BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Jun 4, 2026 | Jun 4, 2026 |
| Jumana Ghattas Daou | LPL Financial LLC BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Jun 4, 2026 | Jun 1, 2026 |
| Daniel J Strong | LPL Financial LLC BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 4, 2026 | May 21, 2026 |
| Ronald Rowell | LPL Financial LLC BD affiliated | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 4, 2026 | Jun 4, 2026 |
| Eder Bracamontes Helguera | LPL Financial LLC BD affiliated | First Command Advisory Services BD affiliated | Affiliated broker-dealer or bank to another | Jun 4, 2026 | May 20, 2026 |
| Stephen Pederson | LPL Financial LLC BD affiliated | Eagle Strategies LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 4, 2026 | Jun 23, 2026 |
| Evan Matthew Valeri | LPL Financial LLC BD affiliated | W&S Brokerage Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 4, 2026 | Jun 12, 2026 |
| Trinity N Hawthorne | LPL Financial LLC BD affiliated | Independent Advisor Alliance, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 4, 2026 | Aug 4, 2026 (61 d) |
| Nicholas Thornhill | LPL Financial LLC BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 4, 2026 | Jul 21, 2026 (47 d) |
| Cole Wigestrand | LPL Financial LLC BD affiliated | Johnson Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 4, 2026 | Jun 4, 2026 |
| Shon Edward Flaharty | LPL Financial LLC BD affiliated | Flaharty Asset Management, LLC no RAUM | Other | Jun 3, 2026 | Sep 9, 2013 |
| Brian Allen Inman | LPL Financial LLC BD affiliated | Modern Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 3, 2026 | Jun 5, 2026 |
| Larry Eugene Weicht | LPL Financial LLC BD affiliated | Flaharty Asset Management, LLC no RAUM | Other | Jun 3, 2026 | Sep 30, 2013 |
| Robert Landon Frits | LPL Financial LLC BD affiliated | Cwm, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 3, 2026 | May 18, 2026 |
| Shawn Dwayne Peschke | LPL Financial LLC BD affiliated | Cwm, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 3, 2026 | May 18, 2026 |
| Jeffrey Carroll Settle | LPL Financial LLC BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 3, 2026 | May 18, 2026 |
| Frank Edward Zaccardo | LPL Financial LLC BD affiliated | Kingswood Wealth Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 3, 2026 | May 26, 2026 |
| Michael Taylor Fielder | LPL Financial LLC BD affiliated | Cwm, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 3, 2026 | May 27, 2026 |
| Andrew Joseph Oswald | LPL Financial LLC BD affiliated | Modern Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 3, 2026 | Jun 15, 2026 |
| Marc-Anthony Richardson | LPL Financial LLC BD affiliated | MML Investors Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 3, 2026 | Aug 18, 2026 (76 d) |
| Jesse Claude Miller | LPL Financial LLC BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Jun 2, 2026 | May 20, 2026 |
| James Michael Mccabe | LPL Financial LLC BD affiliated | Voya Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 2, 2026 | Jun 17, 2026 |
| Matthew D Tardugno | LPL Financial LLC BD affiliated | MML Investors Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 2, 2026 | Jun 3, 2026 |
| Haley Rose Miller | LPL Financial LLC BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Jun 2, 2026 | May 20, 2026 |
| Phillip Andrew Naman | LPL Financial LLC BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Jun 1, 2026 | May 18, 2026 |
| Paul Daniel Aragona | LPL Financial LLC BD affiliated | Cwm, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 1, 2026 | May 18, 2026 |
| Joshua Robert Carter | LPL Financial LLC BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Jun 1, 2026 | May 11, 2026 |
| Anthony Ray Ruiz | LPL Financial LLC BD affiliated | Ruiz Financial Group, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jun 1, 2026 | May 28, 2026 |
| Julia Nicole Naman | LPL Financial LLC BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Jun 1, 2026 | May 18, 2026 |
| Dirk Johannes Coetzee | LPL Financial LLC BD affiliated | Cwm, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 1, 2026 | May 18, 2026 |
| Ramon Ramos | LPL Financial LLC BD affiliated | RBC Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 1, 2026 | Jun 10, 2026 |
| Thomas Alphonse Wenthen | LPL Financial LLC BD affiliated | Cwm, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 1, 2026 | Jul 22, 2026 (51 d) |
| Christopher Paul Bruhl | LPL Financial LLC BD affiliated | Western Wealth Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 29, 2026 | May 15, 2026 |
11,276 moves match.