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.

AdvisorFromToTypeLeftRegistered
Kevin William FeitenWaddell & Reed BD affiliatedWells Fargo Advisors wirehouseAffiliated broker-dealer or bank to wirehouseOct 1, 2019Sep 27, 2019
David Jerome JacksonWaddell & Reed BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherSep 24, 2019Sep 20, 2019
Michael Keith NapierWaddell & Reed BD affiliatedSecurities America Advisors, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherSep 24, 2019Sep 19, 2019
Amanda Erin CampbellWaddell & Reed BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherSep 24, 2019Sep 20, 2019
Sharon Ellen GreenfieldWaddell & Reed BD affiliatedCreative Planning independent RIAAffiliated broker-dealer or bank to independent RIASep 16, 2019Oct 14, 2019
Nicholas Wilken ClarkWaddell & Reed BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherAug 29, 2019Oct 16, 2019 (48 d)
Kevin Corey ChristensenWaddell & Reed BD affiliatedPrincipal Securities, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherAug 27, 2019Sep 9, 2019
Chad Michael WinnWaddell & Reed BD affiliatedLPL Financial LLC independent RIAAffiliated broker-dealer or bank to independent RIAJul 30, 2019Jul 25, 2019
Thomas George DelaneyWaddell & Reed BD affiliatedFinancial Advocates Investment Management independent RIAAffiliated broker-dealer or bank to independent RIAJul 30, 2019Sep 20, 2019 (52 d)
Michael Peter SchlegelWaddell & Reed BD affiliatedCambridge Investment Research Advisors, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherJul 30, 2019Aug 2, 2019
Jill Marie MinetteWaddell & Reed BD affiliatedPruco Securities, LLC BD affiliatedAffiliated broker-dealer or bank to anotherJul 23, 2019Jul 22, 2019
Ryan John SmithWaddell & Reed BD affiliatedMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseAffiliated broker-dealer or bank to wirehouseJun 28, 2019Jul 15, 2019
Daniel Ryan StewartWaddell & Reed BD affiliatedMissionsquare Retirement asset managerOtherJun 27, 2019Nov 8, 2019 (134 d)
Robert Joseph BraunWaddell & Reed BD affiliatedConvergence Financial no RAUMAffiliated broker-dealer or bank to a newly registered adviserJun 25, 2019Jun 20, 2019
Steven Duane DyeWaddell & Reed BD affiliatedIndependent Advisor Alliance, LLC independent RIAAffiliated broker-dealer or bank to independent RIAJun 19, 2019Jun 18, 2019
Rebekah Renee Von BergWaddell & Reed BD affiliatedLPL Financial LLC independent RIAAffiliated broker-dealer or bank to independent RIAJun 6, 2019Jun 3, 2019
Edward John FrellyWaddell & Reed BD affiliatedLPL Financial LLC independent RIAAffiliated broker-dealer or bank to independent RIAJun 5, 2019Jun 3, 2019
Shawn M PowellWaddell & Reed BD affiliatedCwm, LLC BD affiliatedAffiliated broker-dealer or bank to anotherJun 5, 2019May 29, 2019
Brent Dean DomeWaddell & Reed BD affiliatedCwm, LLC BD affiliatedAffiliated broker-dealer or bank to anotherJun 3, 2019May 29, 2019
Micoli Donn BatesWaddell & Reed BD affiliatedCwm, LLC BD affiliatedAffiliated broker-dealer or bank to anotherJun 3, 2019May 29, 2019
Marta Elena CurryWaddell & Reed BD affiliatedCwm, LLC BD affiliatedAffiliated broker-dealer or bank to anotherJun 3, 2019Jun 7, 2019
Karsten Gabriel BondWaddell & Reed BD affiliatedCwm, LLC BD affiliatedAffiliated broker-dealer or bank to anotherJun 3, 2019May 29, 2019
Byron Reed WatkinsWaddell & Reed BD affiliatedCwm, LLC BD affiliatedAffiliated broker-dealer or bank to anotherJun 3, 2019May 29, 2019
Clark James McdonaldWaddell & Reed BD affiliatedCwm, LLC BD affiliatedAffiliated broker-dealer or bank to anotherJun 3, 2019May 29, 2019
Jerry Leland BelnapWaddell & Reed BD affiliatedCalton & Associates, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAMay 31, 2019May 31, 2019
Chad Edward PhippsWaddell & Reed BD affiliatedCwm, LLC BD affiliatedAffiliated broker-dealer or bank to anotherMay 31, 2019May 29, 2019
Benjamin Jerome HeerenWaddell & Reed BD affiliatedCwm, LLC BD affiliatedAffiliated broker-dealer or bank to anotherMay 31, 2019May 29, 2019
Kevin Paul GruetterWaddell & Reed BD affiliatedCwm, LLC BD affiliatedAffiliated broker-dealer or bank to anotherMay 31, 2019May 29, 2019
Jacob Eli MurrayWaddell & Reed BD affiliatedLPL Financial LLC independent RIAAffiliated broker-dealer or bank to independent RIAMay 24, 2019May 23, 2019
Jill Hoelscher PhillipsWaddell & Reed BD affiliatedLPL Financial LLC independent RIAAffiliated broker-dealer or bank to independent RIAMay 24, 2019May 23, 2019
Michael David CanavanWaddell & Reed BD affiliatedLPL Financial LLC independent RIAAffiliated broker-dealer or bank to independent RIAMay 24, 2019May 23, 2019
David Allen KroeningerWaddell & Reed BD affiliatedIndependent Advisor Alliance, LLC independent RIAAffiliated broker-dealer or bank to independent RIAMay 23, 2019May 21, 2019
Gregory Edward AlftWaddell & Reed BD affiliatedIndependent Advisor Alliance, LLC independent RIAAffiliated broker-dealer or bank to independent RIAMay 22, 2019May 21, 2019
Jeffrey Michael GartenWaddell & Reed BD affiliatedAmeriprise Financial Services, LLC national BDAffiliated broker-dealer or bank to anotherMay 17, 2019Jun 5, 2019
Travis William JohansonWaddell & Reed BD affiliatedPrincipal Securities, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherMay 15, 2019Jun 26, 2019 (42 d)
Michael Robert PetersonWaddell & Reed BD affiliatedEdward Jones national BDAffiliated broker-dealer or bank to anotherMay 13, 2019Jun 14, 2019 (32 d)
Cory WerlingerWaddell & Reed BD affiliatedThrivent Investment Management Inc. BD affiliatedAffiliated broker-dealer or bank to anotherMay 7, 2019Jun 6, 2019
Daniel NeuenfeldtWaddell & Reed BD affiliatedFbl Wealth Management, LLC no RAUMAffiliated broker-dealer or bank to a newly registered adviserMay 2, 2019Oct 9, 2019 (160 d)
Boris Dragan DesancicWaddell & Reed BD affiliatedClear Creek Financial Management, LLC independent RIAAffiliated broker-dealer or bank to independent RIAApr 25, 2019Aug 26, 2025 (2315 d)
Sarah Elise BerryWaddell & Reed BD affiliatedMcgee Wealth Management, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAApr 23, 2019Apr 23, 2019
Samir BushraWaddell & Reed BD affiliatedNo B.S. Advising unclassifiedOtherApr 23, 2019Jan 16, 2020 (268 d)
Christian LewisWaddell & Reed BD affiliatedTransamerica Retirement Advisors, LLC BD affiliatedAffiliated broker-dealer or bank to anotherApr 10, 2019Aug 5, 2019 (117 d)
Mehul Amritlal KhivesaraWaddell & Reed BD affiliatedCharles Schwab & Co., Inc. national BDAffiliated broker-dealer or bank to anotherApr 10, 2019Jul 12, 2019 (93 d)
Benjamin Armando LopezWaddell & Reed BD affiliatedMorgan Stanley wirehouseAffiliated broker-dealer or bank to wirehouseApr 1, 2019Apr 18, 2019
Leo Frank PalliardiWaddell & Reed BD affiliatedVoya Financial Advisors, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherMar 29, 2019Mar 26, 2019
Eva ObregonWaddell & Reed BD affiliatedOsaic Fa, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherMar 28, 2019Mar 26, 2019
King Wei MahWaddell & Reed BD affiliatedOsaic Fa, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherMar 28, 2019Mar 26, 2019
Geoff Colby ReedWaddell & Reed BD affiliatedVisionary Wealth Advisors, LLC independent RIAAffiliated broker-dealer or bank to independent RIAMar 14, 2019Mar 8, 2019
Deann Michele ElmoreWaddell & Reed BD affiliatedMariner BD affiliatedAffiliated broker-dealer or bank to anotherMar 13, 2019Apr 3, 2019
Daniel J LauraineWaddell & Reed BD affiliatedCharles Schwab & Co., Inc. national BDAffiliated broker-dealer or bank to anotherMar 11, 2019Mar 25, 2019
Link Todd CothamWaddell & Reed BD affiliatedAmeriprise Financial Services, LLC national BDAffiliated broker-dealer or bank to anotherMar 11, 2019Mar 1, 2019
Taina Shylene GudeWaddell & Reed BD affiliatedSagepoint Financial, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherMar 11, 2019Mar 1, 2019
Albert ArmendarizWaddell & Reed BD affiliatedMutual Of Omaha Investor Services, Inc. no RAUMOtherMar 7, 2019Mar 11, 2019
Todd Aaron SterlingWaddell & Reed BD affiliatedCambridge Investment Research Advisors, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherFeb 28, 2019Feb 22, 2019
Vincent Philip PassarielloWaddell & Reed BD affiliatedAvantax Advisory Services BD affiliatedAffiliated broker-dealer or bank to anotherFeb 22, 2019Feb 20, 2019
Jodi Marie JohnstonWaddell & Reed BD affiliatedAmeriprise Financial Services, LLC national BDAffiliated broker-dealer or bank to anotherFeb 21, 2019Feb 28, 2019
Michael LandisWaddell & Reed BD affiliatedPrincipal Securities, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherFeb 21, 2019Mar 4, 2019
Christopher Charles BuckleyWaddell & Reed BD affiliatedCambridge Investment Research Advisors, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherFeb 21, 2019Feb 18, 2019
Robert W DiazWaddell & Reed BD affiliatedEdward Jones national BDAffiliated broker-dealer or bank to anotherFeb 5, 2019Mar 1, 2019
Joseph John WenrichWaddell & Reed BD affiliatedWenrich Consulting unclassifiedOtherFeb 4, 2019Jun 5, 2019 (121 d)
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2,486 moves match.