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 |
|---|---|---|---|---|---|
| Shannon Cheah | Waddell & Reed BD affiliated | Copper Financial independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 17, 2020 | Jul 13, 2021 (330 d) |
| Taylor Scott Anderson | Waddell & Reed BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Aug 17, 2020 | Aug 13, 2020 |
| Brooke Dunlap Bontz | Waddell & Reed BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 30, 2020 | Aug 21, 2020 |
| Shawn Skogstad | Waddell & Reed BD affiliated | Capstone Wealth Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 28, 2020 | Jul 27, 2020 |
| Joseph John Glavinich | Waddell & Reed BD affiliated | MML Investors Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 27, 2020 | Feb 3, 2022 (556 d) |
| Brett Skogstad | Waddell & Reed BD affiliated | Capstone Wealth Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 27, 2020 | Jul 27, 2020 |
| James Clemens Duncombe | Waddell & Reed BD affiliated | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 23, 2020 | Jul 22, 2020 |
| Matthew Estel | Waddell & Reed BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 23, 2020 | Jul 27, 2020 |
| Justin Samuel Duncombe | Waddell & Reed BD affiliated | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 23, 2020 | Jul 21, 2020 |
| Tristan Michael Bolton | Waddell & Reed BD affiliated | Lion Street Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 21, 2020 | Jul 15, 2020 |
| Scott Bradley Swinchock | Waddell & Reed BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 9, 2020 | May 29, 2020 |
| Andrew Michael Agree | Waddell & Reed BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jun 3, 2020 | Jun 4, 2020 |
| John Leon Kozar | Waddell & Reed BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 2, 2020 | Jun 3, 2020 |
| Megan Joy Layton | Waddell & Reed BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Jun 1, 2020 | May 22, 2020 |
| Matthew Thomas Jung | Waddell & Reed BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | May 28, 2020 | May 22, 2020 |
| Daniel Alfred Dunham | Waddell & Reed BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | May 28, 2020 | May 22, 2020 |
| Kevin Bryce Fredrickson | Waddell & Reed BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | May 28, 2020 | May 22, 2020 |
| Chun Mei Zhu | Waddell & Reed BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 15, 2020 | May 12, 2020 |
| Joel David Ockey | Waddell & Reed BD affiliated | Cornerstone Wealth Strategies, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | May 7, 2020 | Jul 1, 2020 (55 d) |
| Brittinie Saylor | Waddell & Reed BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | May 7, 2020 | Aug 17, 2020 (102 d) |
| Todd Robert Birkenholz | Waddell & Reed BD affiliated | Genex Consulting independent RIA | Affiliated broker-dealer or bank to independent RIA | May 6, 2020 | Apr 28, 2020 |
| Jason Edward Skifstad | Waddell & Reed BD affiliated | Clear Creek Financial Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 5, 2020 | May 18, 2020 |
| Joseph Clayton Ganote | Waddell & Reed BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Apr 8, 2020 | Apr 2, 2020 |
| Peter M Hansen | Waddell & Reed BD affiliated | Mariner BD affiliated | Affiliated broker-dealer or bank to another | Apr 7, 2020 | Apr 17, 2020 |
| Kelley Anne Manning | Waddell & Reed BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Apr 2, 2020 | Mar 30, 2020 |
| Stacy Lynn Zenger | Waddell & Reed BD affiliated | Putnam Investment Management, LLC asset manager | Other | Mar 25, 2020 | Apr 8, 2020 |
| Brian A. Carlin | Waddell & Reed BD affiliated | Td Ameritrade, Inc. no RAUM | Other | Mar 20, 2020 | Jul 1, 2020 (103 d) |
| Mark Lloyd Post | Waddell & Reed BD affiliated | Empirikal Partners LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Mar 6, 2020 | May 22, 2020 (77 d) |
| Robert Timothy Gump | Waddell & Reed BD affiliated | Facet independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 12, 2020 | Feb 10, 2020 |
| David Brook Fields | Waddell & Reed BD affiliated | United Planners' Financial Services Of America A Limited Partner independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 7, 2020 | Feb 5, 2020 |
| Michael Jesse Black | Waddell & Reed BD affiliated | Ataraxis Financial state registered | Affiliated broker-dealer or bank to a state-registered adviser | Feb 4, 2020 | Dec 13, 2024 (1774 d) |
| Peyvand Pourhosseini | Waddell & Reed BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 3, 2020 | Jul 21, 2020 (169 d) |
| Timothy D Jansen | Waddell & Reed BD affiliated | Two West Capital Advisors LLC institutional | Other | Feb 3, 2020 | Feb 6, 2020 |
| Olivier P Martinez | Waddell & Reed BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 29, 2020 | Jan 24, 2020 |
| Daniel Curtis Frasier | Waddell & Reed BD affiliated | Principal Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 27, 2020 | Jan 29, 2020 |
| Kenneth William Newberry | Waddell & Reed BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Jan 23, 2020 | Jan 22, 2020 |
| David Colley | Waddell & Reed BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Jan 23, 2020 | Jan 22, 2020 |
| David Tamashiro | Waddell & Reed BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Jan 23, 2020 | Jan 22, 2020 |
| Deana J Dyjor | Waddell & Reed BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Jan 23, 2020 | Jan 22, 2020 |
| Madhavi Niranjan Holay | Waddell & Reed BD affiliated | Goldman Sachs Wealth Services, L.P. BD affiliated | Affiliated broker-dealer or bank to another | Jan 22, 2020 | Feb 13, 2020 |
| Roger Glen Stukkie | Waddell & Reed BD affiliated | Pax Financial Group independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 3, 2020 | Oct 21, 2020 (292 d) |
| Virginia Elizabeth Stukkie | Waddell & Reed BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Dec 31, 2019 | Jul 15, 2021 (562 d) |
| Jason Edward Domer | Waddell & Reed BD affiliated | Pnc Wealth Management BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2019 | Feb 24, 2020 (55 d) |
| Barry Craine | Waddell & Reed BD affiliated | Black Card Circle state registered | Affiliated broker-dealer or bank to a state-registered adviser | Dec 11, 2019 | Jan 1, 2025 (1848 d) |
| Kay-Anne Imperial | Waddell & Reed BD affiliated | Black Card Circle state registered | Affiliated broker-dealer or bank to a state-registered adviser | Dec 11, 2019 | Jan 1, 2025 (1848 d) |
| Lucinda Barbara Candal | Waddell & Reed BD affiliated | Thornburg Investment Management Inc asset manager | Other | Dec 9, 2019 | Jan 8, 2020 |
| Dhillon Thomas Taylor | Waddell & Reed BD affiliated | Crown Capital Securities, L.P. independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 4, 2019 | Dec 2, 2019 |
| Phillip Frederick Fournier | Waddell & Reed BD affiliated | American Century Investments Private Client Group, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 18, 2019 | Nov 10, 2020 (358 d) |
| Eric William Rumbaugh | Waddell & Reed BD affiliated | Osaic Fs, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 6, 2019 | Nov 1, 2019 |
| Brian Christopher Lauer | Waddell & Reed BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 6, 2019 | Nov 1, 2019 |
| Patrick Ryan Barry | Waddell & Reed BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 5, 2019 | Nov 1, 2019 |
| Nicole Rae Bowen | Waddell & Reed BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Nov 4, 2019 | Nov 12, 2019 |
| Daniel Mackenzie Yerger | Waddell & Reed BD affiliated | My Wealth Planners state registered | Affiliated broker-dealer or bank to a state-registered adviser | Oct 29, 2019 | Dec 6, 2019 (38 d) |
| Samuel Phillip Davis | Waddell & Reed BD affiliated | American Century Investments Private Client Group, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 28, 2019 | Nov 4, 2019 |
| Dominic Francis Cespino | Waddell & Reed BD affiliated | Securities America Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 28, 2019 | Oct 16, 2020 (354 d) |
| Kimberly Dawn Clark | Waddell & Reed BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 24, 2019 | Oct 29, 2019 |
| Matthew James Seigfreid | Waddell & Reed BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 23, 2019 | Jan 29, 2021 (464 d) |
| Keith Richard Young | Waddell & Reed BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Oct 18, 2019 | Nov 22, 2019 (35 d) |
| Bevin E Hartnett | Waddell & Reed BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Oct 17, 2019 | Oct 16, 2019 |
| Tonya West | Waddell & Reed BD affiliated | Napa Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 2, 2019 | Jul 20, 2021 (657 d) |
2,486 moves match.