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 Independent Financial Group, 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
Donald John MonsenIndependent Financial Group, LLC BD affiliatedWoodfield Financial Advisors, Inc. otherOtherDec 31, 2018Jul 2, 2014
Todd Edward WiersumIndependent Financial Group, LLC BD affiliatedCetera Investment Advisers LLC BD affiliatedAffiliated broker-dealer or bank to anotherDec 31, 2018Feb 15, 2019 (46 d)
Xiu Qin HouIndependent Financial Group, LLC BD affiliatedTransamerica Financial Advisors, LLC BD affiliatedAffiliated broker-dealer or bank to anotherDec 31, 2018Mar 1, 2019 (60 d)
Skyler Cooper Forrest StokesIndependent Financial Group, LLC BD affiliatedNewport Wealth Advisors, Inc. independent RIAAffiliated broker-dealer or bank to independent RIADec 31, 2018Jan 23, 2019
Carlos Di PonioIndependent Financial Group, LLC BD affiliatedTransamerica Financial Advisors, LLC BD affiliatedAffiliated broker-dealer or bank to anotherDec 21, 2018Dec 21, 2020 (731 d)
Alexander ZingerIndependent Financial Group, LLC BD affiliatedAmerican Portfolios Advisors, Inc independent RIAAffiliated broker-dealer or bank to independent RIADec 3, 2018Jan 4, 2019 (32 d)
Todd Allen NyeIndependent Financial Group, LLC BD affiliatedAquilant Advisors independent RIAAffiliated broker-dealer or bank to independent RIAOct 19, 2018Oct 24, 2018
Darren CrumeIndependent Financial Group, LLC BD affiliatedClaraphi Advisory Network, LLC independent RIAAffiliated broker-dealer or bank to independent RIAOct 5, 2018Oct 9, 2018
Brandon P AndersonIndependent Financial Group, LLC BD affiliatedMorgan Stanley wirehouseAffiliated broker-dealer or bank to wirehouseSep 5, 2018May 28, 2019 (265 d)
Ivana MusaIndependent Financial Group, LLC BD affiliatedPrincipal Securities, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherAug 6, 2018Aug 23, 2018
Steven I BalabanIndependent Financial Group, LLC BD affiliatedConcorde Asset Management, LLC BD affiliatedAffiliated broker-dealer or bank to anotherJul 31, 2018Aug 2, 2018
Frank Timothy KuiperIndependent Financial Group, LLC BD affiliatedFinancial Designs Ltd. unclassifiedOtherJul 31, 2018Jun 23, 2011
Forrest Jefferson PadillaIndependent Financial Group, LLC BD affiliatedConcorde Asset Management, LLC BD affiliatedAffiliated broker-dealer or bank to anotherJul 31, 2018Aug 1, 2018
Cameron Lloyd MasonIndependent Financial Group, LLC BD affiliatedLPL Financial LLC independent RIAAffiliated broker-dealer or bank to independent RIAJul 31, 2018Oct 2, 2018 (63 d)
William Aubrey MorrowIndependent Financial Group, LLC BD affiliatedConcorde Asset Management, LLC BD affiliatedAffiliated broker-dealer or bank to anotherJul 31, 2018Aug 3, 2018
Anthony Martin BonafedeIndependent Financial Group, LLC BD affiliatedSorrento Pacific Financial, LLC independent RIAAffiliated broker-dealer or bank to independent RIAJul 27, 2018Aug 27, 2018 (31 d)
Peter Joseph McneilIndependent Financial Group, LLC BD affiliatedConcorde Asset Management, LLC BD affiliatedAffiliated broker-dealer or bank to anotherJul 24, 2018Jul 27, 2018
Virginia Jean LeonIndependent Financial Group, LLC BD affiliatedPathway Advisors, LLC state registeredAffiliated broker-dealer or bank to a state-registered adviserJul 24, 2018Sep 8, 2026 (2968 d)
Kevin Francis HughesIndependent Financial Group, LLC BD affiliatedWestpark Capital, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAMay 21, 2018May 24, 2018
Joshua Jorge Anthony PorrasIndependent Financial Group, LLC BD affiliatedNavy Federal Investment Services, LLC BD affiliatedAffiliated broker-dealer or bank to anotherApr 21, 2018Mar 11, 2020 (690 d)
Brent C WellsIndependent Financial Group, LLC BD affiliatedKms Financial Services, Inc BD affiliatedAffiliated broker-dealer or bank to anotherApr 20, 2018Jun 1, 2018 (42 d)
Jedd Morgan WilsonIndependent Financial Group, LLC BD affiliatedSoltis Investment Advisors, LLC independent RIAAffiliated broker-dealer or bank to independent RIAApr 13, 2018May 22, 2018 (39 d)
David Roland MongeauIndependent Financial Group, LLC otherChess Financial Planning LLC state registeredOtherMar 16, 2018Mar 20, 2018
Michael Garvida AcioIndependent Financial Group, LLC otherCuso Financial Services, L.P. BD affiliatedOtherMar 2, 2018Mar 1, 2018
Isaiah MitchellIndependent Financial Group, LLC otherLPL Financial LLC independent RIAOtherMar 2, 2018Mar 14, 2018
Mark Richard HoemannIndependent Financial Group, LLC otherOn Investment Management Co otherOtherFeb 28, 2018Mar 1, 2018
John M LockwoodIndependent Financial Group, LLC otherMorgan Stanley wirehouseOtherFeb 23, 2018Mar 2, 2018
Jennifer R AkhlaghiIndependent Financial Group, LLC otherRood Financial, LLC no RAUMOtherFeb 1, 2018Feb 2, 2018
Damon David GeorgeIndependent Financial Group, LLC otherCambridge Investment Research Advisors, Inc. otherOtherDec 31, 2017Jan 5, 2018
Megan PolizziIndependent Financial Group, LLC otherWestern International Securities BD affiliatedOtherDec 31, 2017May 1, 2025 (2678 d)
Charles Henry GoodmillerIndependent Financial Group, LLC otherHenry + Horne Wealth Management independent RIAOtherDec 12, 2017Dec 5, 2019 (723 d)
Jeremy Allen SmithIndependent Financial Group, LLC otherHenry + Horne Wealth Management otherOtherDec 12, 2017Feb 20, 2018 (70 d)
Michael James SackettIndependent Financial Group, LLC otherSackett Wealth Advisors, Inc. no RAUMOtherNov 1, 2017Oct 31, 2017
Ben PutmanIndependent Financial Group, LLC otherEmpirical Wealth Management otherOtherNov 1, 2017Nov 29, 2017
Shaun James SackettIndependent Financial Group, LLC otherSackett Wealth Advisors, Inc. independent RIAOtherNov 1, 2017Jan 1, 2025 (2618 d)
Craig R CokerIndependent Financial Group, LLC otherAllstate Financial Advisors, LLC BD affiliatedOtherOct 13, 2017Aug 15, 2018 (306 d)
Rodney Scott PalmerIndependent Financial Group, LLC otherBelpointe Asset Management LLC otherOtherSep 18, 2017Aug 11, 2017
Lawrence Douglas KriesmerIndependent Financial Group, LLC otherMeasured Risk Portfolios otherOtherSep 15, 2017Jul 24, 2012
Bernard Aaron SurovskyIndependent Financial Group, LLC otherMeasured Risk Portfolios otherOtherSep 15, 2017Jul 25, 2012
Kenneth Lee RiglerIndependent Financial Group, LLC otherMain Street Advisors, LLC otherOtherSep 15, 2017May 7, 2018 (234 d)
Brett A CohenIndependent Financial Group, LLC otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherSep 14, 2017Aug 24, 2018 (344 d)
Raymond Paul RadikasIndependent Financial Group, LLC otherJohnson Brunetti otherOtherAug 23, 2017Mar 15, 2018 (204 d)
Daryl Tomobu SerizawaIndependent Financial Group, LLC otherWoodbury Financial Services, Inc. otherOtherJul 31, 2017Aug 10, 2017
Craig D BreitsprecherIndependent Financial Group, LLC otherPrivate Advisor Group, LLC otherOtherJul 12, 2017Jul 12, 2017
Scott Matthew RoseIndependent Financial Group, LLC otherSilverhawk Asset Management, LLC otherOtherJun 21, 2017Oct 10, 2017 (111 d)
Robert David MizaurIndependent Financial Group, LLC otherEnvestnet Retirement Solutions, LLC institutionalOtherJun 20, 2017May 31, 2018 (345 d)
James Mcrae IzettIndependent Financial Group, LLC otherAdviseme National Advisors otherOtherMay 1, 2017Sep 11, 2014
Jason Allen GrothIndependent Financial Group, LLC otherCrown Capital Securities, L.P. otherOtherApr 21, 2017Apr 21, 2017
William M SwayneIndependent Financial Group, LLC otherSandlapper Wealth Management, LLC otherOtherApr 21, 2017May 17, 2017
Theodore Hendrickus FranseIndependent Financial Group, LLC otherSandlapper Wealth Management, LLC otherOtherApr 11, 2017May 2, 2017
John Paul LedesmaIndependent Financial Group, LLC otherSutter Capital Partners, LLC unclassifiedOtherMar 27, 2017Mar 26, 2019 (729 d)
Javier Enrique Cordero CondeIndependent Financial Group, LLC otherAdviseme National Advisors otherOtherMar 27, 2017Jan 30, 2015
Sean Allen OrickIndependent Financial Group, LLC otherOnedigital otherOtherMar 7, 2017Mar 23, 2017
Henry Giovany NarvaezIndependent Financial Group, LLC otherJ.P. Morgan Securities LLC wirehouseOtherMar 7, 2017May 9, 2017 (63 d)
Joseph Anthony TrovatoIndependent Financial Group, LLC otherValmark Advisers, Inc. otherOtherMar 5, 2017Mar 6, 2017
Shane Austin BryanIndependent Financial Group, LLC otherValmark Advisers, Inc. otherOtherMar 5, 2017Mar 6, 2017
Besjana HustedIndependent Financial Group, LLC otherTd Ameritrade, Inc. no RAUMOtherFeb 26, 2017Jan 22, 2019 (695 d)
Scott Ashley HadleyIndependent Financial Group, LLC otherSilverhawk Asset Management, LLC otherOtherFeb 22, 2017Mar 9, 2017
William Stephen FazekasIndependent Financial Group, LLC otherKestra Advisory Services, LLC otherOtherJan 20, 2017Feb 2, 2017
Harold Irwin GorenIndependent Financial Group, LLC otherSt. Bernard Financial Services, Inc. otherOtherJan 10, 2017Feb 7, 2017
Page 5 of 8PreviousNext
431 moves match.