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 Capital Financial Services, 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.

AdvisorFromToTypeLeftRegistered
Chad ThunerCapital Financial Services, Inc. independent RIACalton & Associates, Inc. independent RIARIA to RIAAug 13, 2019Aug 19, 2019
Brett Eugene NesdahlCapital Financial Services, Inc. independent RIALPL Financial LLC BD affiliatedRIA to affiliated broker-dealer or bankAug 6, 2019Aug 16, 2019
Bart James BohrerCapital Financial Services, Inc. independent RIACalton & Associates, Inc. independent RIARIA to RIAAug 2, 2019Aug 19, 2019
Ronald Allen KerherCapital Financial Services, Inc. independent RIACalton & Associates, Inc. independent RIARIA to RIAJul 31, 2019Aug 7, 2019
Raoul Kelly BrandtCapital Financial Services, Inc. independent RIAWealth Plus Of The Dakotas, Inc. state registeredRIA to a state-registered adviserJul 31, 2019Jun 7, 2019
William Dean ByrdCapital Financial Services, Inc. independent RIAB.B. Graham & Company, Inc. independent RIARIA to RIAJul 31, 2019Sep 18, 2019 (49 d)
John Jay JohnCapital Financial Services, Inc. independent RIACalton & Associates, Inc. independent RIARIA to RIAJul 31, 2019May 16, 2019
David Walter HinsonCapital Financial Services, Inc. independent RIACalton & Associates, Inc. independent RIARIA to RIAJul 31, 2019Jan 2, 2025 (1982 d)
Daniel Richard MichelonCapital Financial Services, Inc. independent RIASagepoint Financial, Inc. BD affiliatedRIA to affiliated broker-dealer or bankJul 31, 2019Jul 31, 2019
Michael Jeffrey VitantonioCapital Financial Services, Inc. independent RIAVolition Financial Network, LLC state registeredRIA to a state-registered adviserJul 31, 2019Jul 31, 2019
William Paul FauzioCapital Financial Services, Inc. independent RIAUnion Capital Company independent RIARIA to RIAJul 30, 2019Jul 30, 2019
Shayne Lawrence FicklingCapital Financial Services, Inc. independent RIACalton & Associates, Inc. independent RIARIA to RIAJul 30, 2019Jul 30, 2019
Larry Thomas WoodsCapital Financial Services, Inc. independent RIACalton & Associates, Inc. independent RIARIA to RIAJul 29, 2019Feb 11, 2026 (2389 d)
William Blair GordonCapital Financial Services, Inc. independent RIAKovack Advisors, Inc. BD affiliatedRIA to affiliated broker-dealer or bankJul 29, 2019Jul 31, 2019
Kirk Leslie DomkeCapital Financial Services, Inc. independent RIACalton & Associates, Inc. independent RIARIA to RIAJul 26, 2019Jul 29, 2019
Robert Lawrence DwonchCapital Financial Services, Inc. independent RIACalton & Associates, Inc. independent RIARIA to RIAJul 25, 2019Jul 25, 2019
Michael James ReynoldsCapital Financial Services, Inc. independent RIACalton & Associates, Inc. independent RIARIA to RIAJul 24, 2019Jul 24, 2019
Lloyd Douglas HodginCapital Financial Services, Inc. independent RIAWealth Plus Of The Dakotas, Inc. state registeredRIA to a state-registered adviserJul 24, 2019Mar 20, 2017
Michael Saverio LongoCapital Financial Services, Inc. independent RIASagepoint Financial, Inc. BD affiliatedRIA to affiliated broker-dealer or bankJul 22, 2019Jul 19, 2019
Josh Alan FrankelCapital Financial Services, Inc. independent RIATrustmont Advisory Group, Inc. BD affiliatedRIA to affiliated broker-dealer or bankJul 18, 2019Jul 30, 2019
James Melvin MershonCapital Financial Services, Inc. independent RIACalton & Associates, Inc. independent RIARIA to RIAJul 15, 2019Jul 15, 2019
Christopher Raymond PeitzCapital Financial Services, Inc. independent RIACalton & Associates, Inc. independent RIARIA to RIAJul 10, 2019Jul 15, 2019
Laurie Ann BraulickCapital Financial Services, Inc. independent RIACalton & Associates, Inc. independent RIARIA to RIAJul 9, 2019Jul 9, 2019
Craig Edward BrandCapital Financial Services, Inc. independent RIACalton & Associates, Inc. independent RIARIA to RIAJul 9, 2019Jul 9, 2019
James Wesley PfeilCapital Financial Services, Inc. independent RIACalton & Associates, Inc. independent RIARIA to RIAJul 9, 2019Jul 9, 2019
Michael Lindquist MckenzieCapital Financial Services, Inc. independent RIACalton & Associates, Inc. independent RIARIA to RIAJul 8, 2019Jul 8, 2019
Stephen Charles SchneiderCapital Financial Services, Inc. independent RIACalton & Associates, Inc. independent RIARIA to RIAJul 8, 2019Jan 9, 2026 (2377 d)
Joann M MorfordCapital Financial Services, Inc. independent RIACalton & Associates, Inc. independent RIARIA to RIAJul 1, 2019Jul 17, 2019
Jeffrey Joseph JohnsonCapital Financial Services, Inc. independent RIACalton & Associates, Inc. independent RIARIA to RIAJul 1, 2019Jul 1, 2019
Swan Sihua ShenCapital Financial Services, Inc. independent RIASagepoint Financial, Inc. BD affiliatedRIA to affiliated broker-dealer or bankJul 1, 2019Jul 3, 2019
Darren M KlumpCapital Financial Services, Inc. independent RIACalton & Associates, Inc. independent RIARIA to RIAJul 1, 2019Jul 1, 2019
Dawn Marie MayCapital Financial Services, Inc. independent RIACalton & Associates, Inc. independent RIARIA to RIAJun 28, 2019Jun 28, 2019
Scott Thomas GrossCapital Financial Services, Inc. independent RIACetera Investment Advisers LLC BD affiliatedRIA to affiliated broker-dealer or bankJun 14, 2019Jun 29, 2023 (1476 d)
Matthew Roy WilsonCapital Financial Services, Inc. independent RIAAusdal Financial Partners, Inc. independent RIARIA to RIAJun 7, 2019Jun 7, 2019
Ronald Lee PerkinsCapital Financial Services, Inc. independent RIARonald L Perkins Dba Perkins Financial state registeredRIA to a state-registered adviserJun 3, 2019Aug 12, 2019 (70 d)
Stephen Nephi AshtonCapital Financial Services, Inc. independent RIALPL Financial LLC independent RIARIA to RIAMay 31, 2019May 31, 2019
Marie Goforth AlbarianCapital Financial Services, Inc. independent RIACentaurus Financial, Inc. BD affiliatedRIA to affiliated broker-dealer or bankMay 20, 2019Jun 7, 2019
Teresa Marie OclairCapital Financial Services, Inc. independent RIACalton & Associates, Inc. independent RIARIA to RIAMay 17, 2019May 20, 2019
Allen DableCapital Financial Services, Inc. independent RIAPruco Securities, LLC BD affiliatedRIA to affiliated broker-dealer or bankMay 8, 2019Jul 10, 2019 (63 d)
Timothy John BrockmannCapital Financial Services, Inc. independent RIAWoodbury Financial Services, Inc. BD affiliatedRIA to affiliated broker-dealer or bankMay 3, 2019May 3, 2019
Chad Thomas SchwoererCapital Financial Services, Inc. independent RIACalton & Associates, Inc. independent RIARIA to RIAMay 3, 2019May 3, 2019
Jory Franklin HeadCapital Financial Services, Inc. independent RIASagepoint Financial, Inc. BD affiliatedRIA to affiliated broker-dealer or bankApr 24, 2019Apr 30, 2019
Richard Michael BielCapital Financial Services, Inc. independent RIAAmerican Independent Securities Group, LLC independent RIARIA to RIAApr 23, 2019Apr 23, 2019
Philip Timothy WielochCapital Financial Services, Inc. independent RIACalton & Associates, Inc. independent RIARIA to RIAApr 22, 2019Apr 22, 2019
Thomas Frederick McginnisCapital Financial Services, Inc. independent RIAB.B. Graham & Company, Inc. independent RIARIA to RIAApr 22, 2019Apr 22, 2019
Todd Justin MannCapital Financial Services, Inc. independent RIAB.B. Graham & Company, Inc. independent RIARIA to RIAApr 22, 2019Apr 22, 2019
Peter Michael ShurowCapital Financial Services, Inc. independent RIAFsc Securities Corporation BD affiliatedRIA to affiliated broker-dealer or bankApr 18, 2019Apr 22, 2019
Steven Joe CombestCapital Financial Services, Inc. independent RIAFsc Securities Corporation BD affiliatedRIA to affiliated broker-dealer or bankApr 18, 2019Apr 18, 2019
Amethyst Judith RothCapital Financial Services, Inc. independent RIACambridge Investment Research Advisors, Inc. BD affiliatedRIA to affiliated broker-dealer or bankApr 18, 2019Apr 18, 2019
Brandyn Duwayne HendricksonCapital Financial Services, Inc. independent RIAAmerican Independent Securities Group, LLC independent RIARIA to RIAMar 19, 2019Mar 25, 2019
Jamie Lee SchlagCapital Financial Services, Inc. independent RIAGradient Wealth Management BD affiliatedRIA to affiliated broker-dealer or bankMar 14, 2019Mar 29, 2019
Carri Le CampbellCapital Financial Services, Inc. independent RIACambridge Investment Research Advisors, Inc. BD affiliatedRIA to affiliated broker-dealer or bankDec 31, 2018Jan 2, 2019
Jeremy Michael RemilyCapital Financial Services, Inc. independent RIAIntercarolina Financial Services, Inc. mixed wealthRIA to RIANov 19, 2018Nov 19, 2018
Jeffre Scott ReiningerCapital Financial Services, Inc. independent RIAQuestar Asset Management, Inc. BD affiliatedRIA to affiliated broker-dealer or bankAug 15, 2018Aug 14, 2018
John Richard CarlsonCapital Financial Services, Inc. independent RIAVoyager Capital Management, LLC otherOtherAug 6, 2018Oct 4, 2010
Jody GundersonCapital Financial Services, Inc. independent RIAInternational Assets Investment Management, LLC BD affiliatedRIA to affiliated broker-dealer or bankJun 6, 2018Sep 10, 2020 (827 d)
Drew Christian MacewenCapital Financial Services, Inc. independent RIAMountain Lakes Capital Management LLC state registeredRIA to a state-registered adviserJun 1, 2018May 3, 2019 (336 d)
Trevor Thomas LeidyCapital Financial Services, Inc. independent RIAPruco Securities, LLC BD affiliatedRIA to affiliated broker-dealer or bankApr 17, 2018Jun 4, 2018 (48 d)
Jon Mark HendricksonCapital Financial Services, Inc. otherVoyager Capital Management, LLC otherOtherMay 31, 2017Sep 27, 2004
Nicholas Alton OstdiekCapital Financial Services, Inc. otherMariner Advisor Network otherOtherMay 30, 2017May 30, 2017
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120 moves match.