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 |
|---|---|---|---|---|---|
| Kevin Wiley | Waddell & Reed BD affiliated | Clear Creek Financial Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 4, 2019 | Mar 8, 2019 (32 d) |
| Kenneth Charles Zehnder | Waddell & Reed BD affiliated | A B L E Wealth Management Solutions LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Feb 1, 2019 | Jan 1, 2026 (2526 d) |
| Joseph David Falcone | Waddell & Reed BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 30, 2019 | Feb 14, 2019 |
| Stephen Glenn Allen | Waddell & Reed BD affiliated | Blackburn Financial state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jan 28, 2019 | Jan 23, 2019 |
| Deborah Jennifer Severn | Waddell & Reed BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 28, 2019 | Jan 22, 2019 |
| Murray Louis Hougen | Waddell & Reed BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 28, 2019 | Jan 22, 2019 |
| Elisabeth Anne Olson | Waddell & Reed BD affiliated | On Investment Management Co BD affiliated | Affiliated broker-dealer or bank to another | Jan 25, 2019 | Jan 22, 2019 |
| Nishann C Lanata | Waddell & Reed BD affiliated | First Command Advisory Services BD affiliated | Affiliated broker-dealer or bank to another | Jan 24, 2019 | May 28, 2019 (124 d) |
| Dorothy Harten Hull | Waddell & Reed BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jan 23, 2019 | Feb 1, 2019 |
| Jeffrey Douglas Wilkinson | Waddell & Reed BD affiliated | V Wealth Advisors LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 22, 2019 | Jan 16, 2019 |
| Jacob Kane Ogle | Waddell & Reed BD affiliated | Woodbury Financial Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 18, 2019 | Mar 22, 2019 (63 d) |
| Tyler Michael Buitenwerf | Waddell & Reed BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Jan 17, 2019 | Feb 13, 2019 |
| Edward Lamont Thomas | Waddell & Reed BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2018 | May 17, 2019 (137 d) |
| Gregory Mark Brawn | Waddell & Reed BD affiliated | Success Wealth Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 31, 2018 | Mar 14, 2019 (73 d) |
| Roohi Khan Darugar | Waddell & Reed BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 21, 2018 | Dec 20, 2018 |
| Andrew Gerry Hackett | Waddell & Reed BD affiliated | Cuso Financial Services, L.P. BD affiliated | Affiliated broker-dealer or bank to another | Dec 21, 2018 | Dec 19, 2018 |
| Janet Ellen Barrett | Waddell & Reed BD affiliated | Cwm, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 13, 2018 | Dec 7, 2018 |
| Kevin Darrell Oconnell | Waddell & Reed BD affiliated | D.A. Davidson & Co. independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 12, 2018 | Jan 15, 2019 (34 d) |
| Joshua Michael Hayes | Waddell & Reed BD affiliated | Benjamin F. Edwards & Company, Incorporated BD affiliated | Affiliated broker-dealer or bank to another | Dec 10, 2018 | Jan 9, 2019 |
| James Frank Tracz | Waddell & Reed BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Dec 10, 2018 | Nov 21, 2018 |
| Christopher M Jacoby | Waddell & Reed BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Dec 10, 2018 | Feb 13, 2019 (65 d) |
| Michael John Reisel | Waddell & Reed BD affiliated | Belpointe Asset Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 10, 2018 | Jan 11, 2019 (32 d) |
| Samantha Stringer | Waddell & Reed BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Dec 10, 2018 | May 13, 2019 (154 d) |
| John Douglas Mcfarland | Waddell & Reed BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 27, 2018 | Nov 26, 2018 |
| Timothy Warren Bennett | Waddell & Reed BD affiliated | Momentum Independent Network Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 21, 2018 | Nov 16, 2018 |
| Johnathon Franklin Thomas | Waddell & Reed BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 21, 2018 | Aug 20, 2026 (2829 d) |
| Bret Alan Ferrante | Waddell & Reed BD affiliated | Black Card Circle state registered | Affiliated broker-dealer or bank to a state-registered adviser | Nov 19, 2018 | Jan 2, 2019 (44 d) |
| Saadia Shakur Ahmed | Waddell & Reed BD affiliated | Kaizen Financial Strategies, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Nov 12, 2018 | Nov 2, 2018 |
| Saul Richard Greene | Waddell & Reed BD affiliated | Kaizen Financial Strategies, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Nov 12, 2018 | Nov 2, 2018 |
| John Antone Stachnick | Waddell & Reed BD affiliated | Kaizen Financial Strategies, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Nov 12, 2018 | Nov 2, 2018 |
| William Earl Benner | Waddell & Reed BD affiliated | Aviator Financial, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Nov 12, 2018 | Feb 22, 2019 (102 d) |
| Iftikhar Mahmud Ahmed | Waddell & Reed BD affiliated | Kaizen Financial Strategies, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Nov 12, 2018 | Nov 2, 2018 |
| Gregory Clark Collins | Waddell & Reed BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 8, 2018 | Nov 30, 2018 |
| John David Shubert | Waddell & Reed BD affiliated | Cuso Financial Services, L.P. BD affiliated | Affiliated broker-dealer or bank to another | Nov 6, 2018 | Nov 12, 2018 |
| Rachna Rajesh Bijlani | Waddell & Reed BD affiliated | Brsquared L.L.C. state registered | Affiliated broker-dealer or bank to a state-registered adviser | Nov 6, 2018 | Nov 2, 2018 |
| Joel Harvey Fishman | Waddell & Reed BD affiliated | Quest Capital Strategies, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 5, 2018 | Feb 5, 2019 (92 d) |
| Robert Willis Lester | Waddell & Reed BD affiliated | H. Beck, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 31, 2018 | Oct 29, 2018 |
| James Penn Van Putten Vink | Waddell & Reed BD affiliated | H. Beck, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 30, 2018 | Oct 29, 2018 |
| Kendle Francom Smith | Waddell & Reed BD affiliated | Householder Group Estate & Retirement Specialists independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 30, 2018 | Oct 25, 2018 |
| Chad Michael Belitz | Waddell & Reed BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Oct 25, 2018 | Oct 23, 2018 |
| Jonathan Tyler Belnap | Waddell & Reed BD affiliated | Clear Creek Financial Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 18, 2018 | Oct 17, 2018 |
| Samuel Joseph Detke | Waddell & Reed BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 16, 2018 | Nov 7, 2018 |
| Shane W Toner | Waddell & Reed BD affiliated | Copper Financial independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 12, 2018 | Oct 31, 2018 |
| Jason Andrew Black | Waddell & Reed BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 5, 2018 | Oct 2, 2018 |
| Kosuke Takahashi | Waddell & Reed BD affiliated | Capstone Wealth Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 5, 2018 | Sep 28, 2018 |
| Christopher Lee Moyer | Waddell & Reed BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 5, 2018 | Oct 2, 2018 |
| Thomas Michael Smith | Waddell & Reed BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 4, 2018 | Sep 28, 2018 |
| Matthew Charles Hunter | Waddell & Reed BD affiliated | Darwin Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 3, 2018 | Jun 4, 2019 (244 d) |
| Andrew Robert Adams | Waddell & Reed BD affiliated | Alera Investment Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 2, 2018 | Oct 3, 2018 |
| Sterling Scot Gary | Waddell & Reed BD affiliated | M Stevens Wealth Advisors, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Sep 27, 2018 | Jan 3, 2019 (98 d) |
| Robert Corwin Martin | Waddell & Reed BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 25, 2018 | Sep 14, 2018 |
| Adam Wayne Wilson | Waddell & Reed BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 25, 2018 | Sep 14, 2018 |
| Paul Edward Staniszewski | Waddell & Reed BD affiliated | Edelman Financial Engines independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 18, 2018 | Sep 26, 2018 |
| Joseph Arthur Toepke | Waddell & Reed BD affiliated | Greenleaf Financial Network, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 18, 2018 | Dec 22, 2021 (1191 d) |
| Steven Macnear | Waddell & Reed BD affiliated | Next Financial Group, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 14, 2018 | Sep 12, 2018 |
| Michael Charles Berry | Waddell & Reed BD affiliated | Allstate Financial Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 14, 2018 | Oct 9, 2018 |
| David Anthony Miller | Waddell & Reed BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 13, 2018 | Sep 26, 2018 |
| Adam J Locascio | Waddell & Reed BD affiliated | Cetera Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 12, 2018 | Sep 7, 2018 |
| Paul Jason Caruso | Waddell & Reed BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Sep 4, 2018 | Sep 4, 2018 |
| Charles Francis Lawrence | Waddell & Reed BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Aug 30, 2018 | Sep 5, 2018 |
2,486 moves match.