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 |
|---|---|---|---|---|---|
| Monica L Owens | Waddell & Reed BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 6, 2021 | Apr 6, 2021 |
| David Spataro | Waddell & Reed BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Apr 1, 2021 | Mar 24, 2021 |
| Daniel Kalani Tano | Waddell & Reed BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 29, 2021 | Mar 24, 2021 |
| John Calvin Mcdonald | Waddell & Reed BD affiliated | Oneascent Financial Services LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 26, 2021 | Mar 19, 2021 |
| Patricia K Dimmer | Waddell & Reed BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Mar 26, 2021 | Mar 22, 2021 |
| Christopher Adam Forbes | Waddell & Reed BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Mar 24, 2021 | Mar 16, 2021 |
| Sophia Maurine Lanting | Waddell & Reed BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Mar 24, 2021 | Mar 22, 2021 |
| Peter W Goldsich | Waddell & Reed BD affiliated | Cuso Financial Services, L.P. BD affiliated | Affiliated broker-dealer or bank to another | Mar 24, 2021 | Mar 23, 2021 |
| Kathleen Mary Morrissy | Waddell & Reed BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Mar 24, 2021 | Mar 16, 2021 |
| David Servatius | Waddell & Reed BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Mar 24, 2021 | Mar 16, 2021 |
| Alexander Garret Peloquin | Waddell & Reed BD affiliated | Oneascent Financial Services LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 24, 2021 | Mar 19, 2021 |
| Deborah Julie Trouw | Waddell & Reed BD affiliated | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 18, 2021 | Mar 12, 2021 |
| Maynard Azose | Waddell & Reed BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 17, 2021 | Mar 11, 2021 |
| Amanda Kathleen Johnson | Waddell & Reed BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 17, 2021 | Mar 10, 2021 |
| Natalie Joanne Trouw | Waddell & Reed BD affiliated | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 17, 2021 | Mar 12, 2021 |
| Nicholas Rau Fuller | Waddell & Reed BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 17, 2021 | Mar 10, 2021 |
| John Nicholas Manocchio | Waddell & Reed BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Feb 25, 2021 | Feb 22, 2021 |
| John Christopher Manocchio | Waddell & Reed BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Feb 25, 2021 | Feb 22, 2021 |
| Frank Paul Janowitsch | Waddell & Reed BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Feb 24, 2021 | Feb 22, 2021 |
| Mark Laverne Wood | Waddell & Reed BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Feb 24, 2021 | Feb 19, 2021 |
| Brian Jonathan Diehlman | Waddell & Reed BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 24, 2021 | Feb 19, 2021 |
| Jason Matthew Hatch | Waddell & Reed BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Feb 24, 2021 | Feb 19, 2021 |
| Kristopher James Sleeman | Waddell & Reed BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Feb 24, 2021 | Feb 22, 2021 |
| Benjamin Esdaile | Waddell & Reed BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Feb 24, 2021 | Feb 19, 2021 |
| Zelalem Baalu Girma | Waddell & Reed BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Feb 18, 2021 | Mar 10, 2021 |
| Joshua Michael Kilsch | Waddell & Reed BD affiliated | Rfg Advisory, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 17, 2021 | Jan 29, 2021 |
| Christian Horacio Ortez | Waddell & Reed BD affiliated | Mariner Advisor Network independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 10, 2021 | Feb 8, 2021 |
| Sydney Lee Pemberton | Waddell & Reed BD affiliated | Ae Wealth Management, LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 10, 2021 | Jan 8, 2026 (1793 d) |
| Nathan Paul Reynolds | Waddell & Reed BD affiliated | Rfg Advisory, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 5, 2021 | Jan 29, 2021 |
| Lance D. Billings | Waddell & Reed BD affiliated | Rfg Advisory, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 3, 2021 | Jan 29, 2021 |
| Jennifer Lee Radford | Waddell & Reed BD affiliated | Next Financial Group, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 27, 2021 | Jan 25, 2021 |
| Matthew Wells | Waddell & Reed BD affiliated | Planmember Securities Corporation independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 27, 2021 | Aug 24, 2021 (209 d) |
| Christopher John Sullivan | Waddell & Reed BD affiliated | Ae Wealth Management, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 20, 2021 | Apr 16, 2021 (86 d) |
| Lana Hurley | Waddell & Reed BD affiliated | Lfn Advisors Inc. no RAUM | Other | Jan 15, 2021 | Jul 6, 2021 (172 d) |
| Edward Matthew Perry | Waddell & Reed BD affiliated | Advize Wealth Management state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jan 8, 2021 | Feb 5, 2021 |
| Jeffrey L Goff | Waddell & Reed BD affiliated | Empower Advisory Group, LLC institutional | Other | Dec 16, 2020 | Jan 20, 2021 (35 d) |
| Michael Anthony Duboise | Waddell & Reed BD affiliated | Prospera Financial Services, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 16, 2020 | Dec 14, 2020 |
| Jacob A Haynes | Waddell & Reed BD affiliated | Ae Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 16, 2020 | Feb 11, 2021 (57 d) |
| Ryan Christopher Whitley | Waddell & Reed BD affiliated | Rfg Advisory, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 16, 2020 | Nov 12, 2020 |
| Brian David Swilling | Waddell & Reed BD affiliated | Rfg Advisory, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 16, 2020 | Nov 12, 2020 |
| Thomas Earl Seifert | Waddell & Reed BD affiliated | Stratos Wealth Partners, Ltd BD affiliated | Affiliated broker-dealer or bank to another | Nov 6, 2020 | Oct 30, 2020 |
| Mickey Charles Speck | Waddell & Reed BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Nov 5, 2020 | Nov 2, 2020 |
| Cameron Mark Burch | Waddell & Reed BD affiliated | Cornerstone Wealth Strategies, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 3, 2020 | Oct 29, 2020 |
| Robin Leslie Faulkner-Harrison | Waddell & Reed BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Nov 2, 2020 | Mar 22, 2021 (140 d) |
| Jeffery Wagner | Waddell & Reed BD affiliated | Copper Financial independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 20, 2020 | Oct 13, 2020 |
| Erica Jean Cortez | Waddell & Reed BD affiliated | Empirical Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 19, 2020 | Oct 20, 2021 (366 d) |
| Brent Mathew Pryor | Waddell & Reed BD affiliated | Ae Wealth Management, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 7, 2020 | May 24, 2021 (229 d) |
| Robert Christian Oldaker | Waddell & Reed BD affiliated | Nomura Investment Management Business Trust other | Other | Oct 7, 2020 | May 3, 2021 (208 d) |
| Peter Edward Johnson | Waddell & Reed BD affiliated | Principal Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 28, 2020 | Jan 19, 2021 (113 d) |
| Albert Gonzalez | Waddell & Reed BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 10, 2020 | Sep 3, 2020 |
| Bellann Morales Hyten | Waddell & Reed BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 10, 2020 | Sep 3, 2020 |
| Christopher Brian Mankoff | Waddell & Reed BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 10, 2020 | Sep 3, 2020 |
| Teresa Marie Watters | Waddell & Reed BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 10, 2020 | Sep 3, 2020 |
| Jeffrey Michael Nunes | Waddell & Reed BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 10, 2020 | Sep 3, 2020 |
| Harry Russell Grant | Waddell & Reed BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 10, 2020 | Feb 17, 2021 (160 d) |
| Jimmy Tsong(Hsin) Lee | Waddell & Reed BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 9, 2020 | Sep 3, 2020 |
| Vincent Paul Montenegro | Waddell & Reed BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 9, 2020 | Sep 3, 2020 |
| Joseph Anthony Rosio | Waddell & Reed BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 8, 2020 | Sep 3, 2020 |
| William Carron | Waddell & Reed BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Aug 19, 2020 | Feb 8, 2021 (173 d) |
| Michael Lewis Vanderhoff | Waddell & Reed BD affiliated | Ae Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 17, 2020 | Sep 18, 2020 (32 d) |
2,486 moves match.