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 Waddell & Reed
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 |
|---|---|---|---|---|---|
| Frank Alfred Hosmer | Waddell & Reed BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 21, 2021 | Feb 28, 2022 (222 d) |
| Joel Franklin Vlasnik | Waddell & Reed BD affiliated | Integrated Wealth Concepts LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 21, 2021 | May 28, 2026 (1772 d) |
| Eloisa Vela | Waddell & Reed BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 21, 2021 | Oct 6, 2021 (77 d) |
| Joshua David Evans | Waddell & Reed BD affiliated | Convergence Financial independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 21, 2021 | May 12, 2023 (660 d) |
| Leanne Jeannette Geer | Waddell & Reed BD affiliated | Buckingham Strategic Wealth, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 15, 2021 | Mar 3, 2023 (596 d) |
| Armand Pierre Alaverdian | Waddell & Reed BD affiliated | Equitable Advisors, LLC national BD | Affiliated broker-dealer or bank to another | Jul 12, 2021 | Jul 9, 2021 |
| Kelly Dawn Lambert | Waddell & Reed BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Jul 7, 2021 | Jul 23, 2021 |
| William Richard Forte | Waddell & Reed BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 7, 2021 | Jul 13, 2021 |
| Theodore John Koppy | Waddell & Reed BD affiliated | MML Investors Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 30, 2021 | Jun 29, 2023 (729 d) |
| Daniel Guerra | Waddell & Reed BD affiliated | MML Investors Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 29, 2021 | Jun 25, 2021 |
| Logan Stewart Baldner | Waddell & Reed BD affiliated | Mariner BD affiliated | Affiliated broker-dealer or bank to another | Jun 25, 2021 | Jul 14, 2021 |
| Robert Lawrence Bohli | Waddell & Reed BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 15, 2021 | Jun 24, 2021 |
| Mark Martin Rubin | Waddell & Reed BD affiliated | Creativeone Wealth, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 4, 2021 | Jul 14, 2021 (40 d) |
| Dylan Ray Ross | Waddell & Reed BD affiliated | Creative Planning independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 4, 2021 | Jun 18, 2021 |
| Kevin Kingsley Holmes | Waddell & Reed BD affiliated | Black Card Circle state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jun 2, 2021 | Mar 24, 2023 (660 d) |
| Zachary Edward Pflughaupt | Waddell & Reed BD affiliated | Mariner BD affiliated | Affiliated broker-dealer or bank to another | Jun 1, 2021 | Jun 28, 2021 |
| Lisa R. Rohrbaugh | Waddell & Reed BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 28, 2021 | May 27, 2021 |
| Crystina Mercedes Nguyen | Waddell & Reed BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | May 28, 2021 | May 28, 2021 |
| Andrew Jules Chabot | Waddell & Reed BD affiliated | Securities America Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 25, 2021 | May 21, 2021 |
| John M Tanner | Waddell & Reed BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | May 21, 2021 | May 28, 2021 |
| Jonathan Graham | Waddell & Reed BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 14, 2021 | May 19, 2021 |
| Karl Dennis Bobo | Waddell & Reed BD affiliated | Lincoln Investment BD affiliated | Affiliated broker-dealer or bank to another | May 14, 2021 | Jun 23, 2021 (40 d) |
| Penny Lynn Vinson | Waddell & Reed BD affiliated | Esi Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | May 14, 2021 | May 28, 2021 |
| Kimberly Michelle Hayes | Waddell & Reed BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 13, 2021 | May 1, 2023 (718 d) |
| Dustin Meza | Waddell & Reed BD affiliated | Thrivent Investment Management Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 13, 2021 | May 17, 2021 |
| Brian Wayne Willet | Waddell & Reed BD affiliated | Beyond Tangible Wealth unclassified | Other | May 11, 2021 | May 13, 2021 |
| Kirk Matthew Tokheim | Waddell & Reed BD affiliated | Ae Wealth Management, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 10, 2021 | May 14, 2021 |
| Timothy Michael Hogan | Waddell & Reed BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 6, 2021 | May 3, 2021 |
| Peter John Soltesz | Waddell & Reed BD affiliated | Apis Financial Group, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | May 6, 2021 | Apr 30, 2021 |
| Keith Raymond Corbett | Waddell & Reed BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | May 5, 2021 | Mar 21, 2024 (1051 d) |
| David J Elliott | Waddell & Reed BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Apr 30, 2021 | Aug 11, 2021 (103 d) |
| Fred Ross Rhoads | Waddell & Reed BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 30, 2021 | Jun 7, 2021 (38 d) |
| David Vern Call | Waddell & Reed BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Apr 30, 2021 | May 20, 2021 |
| Terry Morrell Lindner | Waddell & Reed BD affiliated | Van Clemens Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 30, 2021 | Feb 6, 2026 (1743 d) |
| Kathryn L Wallace | Waddell & Reed BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 30, 2021 | Oct 25, 2022 (543 d) |
| Stephen Edward Bielke | Waddell & Reed BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Apr 30, 2021 | Aug 9, 2021 (101 d) |
| Jeffrey Ray Harper | Waddell & Reed BD affiliated | Principal Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 30, 2021 | May 12, 2021 |
| Chris Weston | Waddell & Reed BD affiliated | Belpointe Asset Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 30, 2021 | Sep 22, 2021 (145 d) |
| Ross Patrick Mcdonald | Waddell & Reed BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Apr 28, 2021 | Apr 21, 2021 |
| Ryan Mark Hayden | Waddell & Reed BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Apr 28, 2021 | Apr 21, 2021 |
| Anthony Paul Gorman | Waddell & Reed BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Apr 22, 2021 | Apr 21, 2021 |
| Kurt Donald Haberer | Waddell & Reed BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Apr 22, 2021 | Apr 21, 2021 |
| Mathew Keith Bishop | Waddell & Reed BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Apr 22, 2021 | Apr 21, 2021 |
| Devin Lee Schwartz | Waddell & Reed BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Apr 22, 2021 | Apr 21, 2021 |
| Matthew Todd Cheney | Waddell & Reed BD affiliated | Nomura Investment Management Business Trust other | Other | Apr 21, 2021 | May 4, 2021 |
| Holly Rae Ornelas | Waddell & Reed BD affiliated | T. Rowe Price Associates, Inc. asset manager | Other | Apr 21, 2021 | Jun 4, 2021 (44 d) |
| James Audas | Waddell & Reed BD affiliated | Nuveen Asset Management, LLC other | Other | Apr 21, 2021 | Aug 31, 2021 (132 d) |
| Kelly G Hammond | Waddell & Reed BD affiliated | Zacks Investment Management, Inc. mixed wealth | Affiliated broker-dealer or bank to independent RIA | Apr 21, 2021 | Aug 5, 2021 (106 d) |
| Michael A Ferrer | Waddell & Reed BD affiliated | Nomura Investment Management Business Trust other | Other | Apr 21, 2021 | May 3, 2021 |
| Toby Nathaniel Theel | Waddell & Reed BD affiliated | Empower Advisory Group, LLC other | Other | Apr 21, 2021 | May 27, 2021 (36 d) |
| David Bryce Crupper | Waddell & Reed BD affiliated | Nomura Investment Management Business Trust other | Other | Apr 21, 2021 | May 3, 2021 |
| Joseph Tyler Cinotto | Waddell & Reed BD affiliated | Nomura Investment Management Business Trust other | Other | Apr 21, 2021 | May 4, 2021 |
| Thomas Joseph Kanyok | Waddell & Reed BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 20, 2021 | Apr 5, 2024 (1081 d) |
| Eric S Bowen | Waddell & Reed BD affiliated | Cetera Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 20, 2021 | Jun 7, 2023 (778 d) |
| Joan Elizabeth Bellows | Waddell & Reed BD affiliated | Copper Financial independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 14, 2021 | May 13, 2021 |
| Anna M Licata | Waddell & Reed BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Apr 13, 2021 | Jan 18, 2023 (645 d) |
| Jason William Worley | Waddell & Reed BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 7, 2021 | Jun 29, 2023 (813 d) |
| Mark J. Hovanic | Waddell & Reed BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 7, 2021 | May 6, 2021 |
| Amy Martin | Waddell & Reed BD affiliated | Cetera Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 7, 2021 | Mar 24, 2021 |
| Jarett Atkins | Waddell & Reed BD affiliated | Palmer Square Capital Management LLC asset manager | Other | Apr 7, 2021 | Jun 16, 2021 (70 d) |
2,486 moves match.