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

Arrivals at Cetera Advisors LLC

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
Ryan Paul ForsterEngage Wealth Advisors, LLC mixed wealthCetera Advisors LLC BD affiliatedRIA to affiliated broker-dealer or bankJun 17, 2020Jun 18, 2020
Ashley Christine McneelyThrivent Investment Management Inc. BD affiliatedCetera Advisors LLC BD affiliatedAffiliated broker-dealer or bank to anotherMay 15, 2020Mar 8, 2021 (297 d)
Brendan Patrick ByrneCitigroup Global Markets Inc. BD affiliatedCetera Advisors LLC BD affiliatedAffiliated broker-dealer or bank to anotherApr 7, 2020Apr 3, 2020
Kristofer Karl PettitCetera Investment Advisers LLC BD affiliatedCetera Advisors LLC otherOtherMar 11, 2020May 14, 2014
Andrew Paul MargolinAmeriprise Financial Services, LLC national BDCetera Advisors LLC BD affiliatedAffiliated broker-dealer or bank to anotherMar 9, 2020Feb 28, 2020
Holly Crystal BrauerEdward Jones national BDCetera Advisors LLC BD affiliatedAffiliated broker-dealer or bank to anotherFeb 13, 2020Feb 12, 2020
Salvatore John DangeloStratos Wealth Partners, Ltd independent RIACetera Advisors LLC BD affiliatedRIA to affiliated broker-dealer or bankFeb 6, 2020Jan 21, 2020
Brian Michael HensleyIntellicents Investment Solutions Inc institutionalCetera Advisors LLC otherOtherJan 7, 2020Oct 13, 2017
Jeremy Scott MocekFaithward Advisors, LLC independent RIACetera Advisors LLC BD affiliatedRIA to affiliated broker-dealer or bankDec 19, 2019Mar 1, 2019
Charles Edmund DillonEquitable Advisors, LLC national BDCetera Advisors LLC BD affiliatedAffiliated broker-dealer or bank to anotherDec 4, 2019Jan 24, 2020 (51 d)
Robert John CondronAvantax Advisory Services BD affiliatedCetera Advisors LLC BD affiliatedAffiliated broker-dealer or bank to anotherNov 8, 2019Nov 1, 2019
Breanna SykesWells Fargo Advisors wirehouseCetera Advisors LLC BD affiliatedWirehouse to affiliated broker-dealer or bankNov 1, 2019Nov 1, 2019
Katherine L DanburyMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseCetera Advisors LLC BD affiliatedWirehouse to affiliated broker-dealer or bankSep 6, 2019Sep 27, 2019
Michael Andrew BrandonU.S. Bancorp Investments, Inc. BD affiliatedCetera Advisors LLC BD affiliatedAffiliated broker-dealer or bank to anotherAug 27, 2019Aug 21, 2019
Michael Thomas JonesNext Financial Group, Inc. BD affiliatedCetera Advisors LLC BD affiliatedAffiliated broker-dealer or bank to anotherAug 26, 2019Aug 22, 2019
Michael Gilbert HacklerLPL Financial LLC BD affiliatedCetera Advisors LLC BD affiliatedAffiliated broker-dealer or bank to anotherAug 19, 2019Aug 1, 2019
Chevalier Roland HomanThrivent Investment Management Inc. BD affiliatedCetera Advisors LLC BD affiliatedAffiliated broker-dealer or bank to anotherAug 14, 2019Aug 14, 2019
Sean Patrick KelleherNext Financial Group, Inc. BD affiliatedCetera Advisors LLC BD affiliatedAffiliated broker-dealer or bank to anotherAug 1, 2019Aug 1, 2019
Joshua William IsherwoodTd Ameritrade Investment Management, LLC independent RIACetera Advisors LLC BD affiliatedRIA to affiliated broker-dealer or bankJul 17, 2019Aug 7, 2019
Kyle Tate LaughlinNext Financial Group, Inc. BD affiliatedCetera Advisors LLC BD affiliatedAffiliated broker-dealer or bank to anotherJul 8, 2019Jul 5, 2019
Matthew GaetaWells Fargo Advisors wirehouseCetera Advisors LLC BD affiliatedWirehouse to affiliated broker-dealer or bankJun 20, 2019Jun 17, 2019
Jeffrey Reed SmithMorgan Stanley wirehouseCetera Advisors LLC BD affiliatedWirehouse to affiliated broker-dealer or bankJun 4, 2019Jun 10, 2019
Matthew Thomas MarcomNext Financial Group, Inc. independent RIACetera Advisors LLC BD affiliatedRIA to affiliated broker-dealer or bankApr 23, 2019Apr 22, 2019
Christopher M ReedLPL Financial LLC independent RIACetera Advisors LLC BD affiliatedRIA to affiliated broker-dealer or bankMar 18, 2019Mar 4, 2019
Alfonso Rocco SaverinoAmeriprise Financial Services, LLC national BDCetera Advisors LLC BD affiliatedAffiliated broker-dealer or bank to anotherMar 12, 2019Aug 5, 2020 (512 d)
Brian John HackerOpus Wealth Management Group independent RIACetera Advisors LLC BD affiliatedRIA to affiliated broker-dealer or bankMar 4, 2019Feb 28, 2019
Richard Warren FleccaWells Fargo Advisors wirehouseCetera Advisors LLC BD affiliatedWirehouse to affiliated broker-dealer or bankFeb 27, 2019Feb 1, 2019
Jason Abel JonesEdward Jones national BDCetera Advisors LLC BD affiliatedAffiliated broker-dealer or bank to anotherFeb 26, 2019Feb 25, 2019
Justin Peter MclaughlinQuestar Asset Management, Inc. BD affiliatedCetera Advisors LLC BD affiliatedAffiliated broker-dealer or bank to anotherFeb 25, 2019Feb 14, 2019
Kenneth DerKestra Advisory Services, LLC BD affiliatedCetera Advisors LLC BD affiliatedAffiliated broker-dealer or bank to anotherFeb 1, 2019Feb 6, 2019
John Scott PimentalQuestar Asset Management, Inc. BD affiliatedCetera Advisors LLC BD affiliatedAffiliated broker-dealer or bank to anotherJan 31, 2019Jan 29, 2019
Cindy S BojanskiNorthwestern Mutual Investment Services,LLC no RAUMCetera Advisors LLC BD affiliatedOtherJan 23, 2019Feb 21, 2019
Deborah Waynell AndrewsQuestar Asset Management, Inc. BD affiliatedCetera Advisors LLC BD affiliatedAffiliated broker-dealer or bank to anotherJan 10, 2019Jan 10, 2019
Lang Phu NguyenEdward Jones national BDCetera Advisors LLC BD affiliatedAffiliated broker-dealer or bank to anotherJan 7, 2019Feb 14, 2019 (38 d)
Audrey Ivy PiersonLPL Financial LLC independent RIACetera Advisors LLC BD affiliatedRIA to affiliated broker-dealer or bankDec 31, 2018Dec 4, 2020 (704 d)
David Wayne MatthewsSwbc Investment Company independent RIACetera Advisors LLC BD affiliatedRIA to affiliated broker-dealer or bankDec 26, 2018Mar 28, 2019 (92 d)
Graham Granger MerkQuestar Asset Management, Inc. BD affiliatedCetera Advisors LLC BD affiliatedAffiliated broker-dealer or bank to anotherDec 26, 2018Jan 29, 2019 (34 d)
Carol Ann WhelanQuestar Asset Management, Inc. BD affiliatedCetera Advisors LLC BD affiliatedAffiliated broker-dealer or bank to anotherDec 24, 2018Dec 26, 2018
Lloyd Patrick HebertQuestar Asset Management, Inc. BD affiliatedCetera Advisors LLC BD affiliatedAffiliated broker-dealer or bank to anotherDec 21, 2018Dec 21, 2018
Andrew McalisterQuestar Asset Management, Inc. BD affiliatedCetera Advisors LLC BD affiliatedAffiliated broker-dealer or bank to anotherDec 21, 2018Mar 18, 2019 (87 d)
Ryan C. WaltonAmeriprise Financial Services, LLC national BDCetera Advisors LLC BD affiliatedAffiliated broker-dealer or bank to anotherDec 20, 2018Dec 13, 2018
Robert Charles GrowQuestar Asset Management, Inc. BD affiliatedCetera Advisors LLC BD affiliatedAffiliated broker-dealer or bank to anotherDec 18, 2018Dec 20, 2018
Tami Lee MendellQuestar Asset Management, Inc. BD affiliatedCetera Advisors LLC BD affiliatedAffiliated broker-dealer or bank to anotherDec 18, 2018Dec 20, 2018
William Edward LourceyAmeriprise Financial Services, LLC national BDCetera Advisors LLC BD affiliatedAffiliated broker-dealer or bank to anotherDec 18, 2018Dec 13, 2018
Alan Blake MclellanMorgan Stanley wirehouseCetera Advisors LLC BD affiliatedWirehouse to affiliated broker-dealer or bankDec 13, 2018Dec 12, 2018
Christopher Chad SoileauCetera Investment Advisers LLC BD affiliatedCetera Advisors LLC BD affiliatedAffiliated broker-dealer or bank to anotherNov 30, 2018Jan 7, 2019 (38 d)
Matthew James SeigfreidEdward Jones national BDCetera Advisors LLC BD affiliatedAffiliated broker-dealer or bank to anotherNov 7, 2018Feb 11, 2019 (96 d)
Adam J LocascioWaddell & Reed BD affiliatedCetera Advisors LLC BD affiliatedAffiliated broker-dealer or bank to anotherSep 12, 2018Sep 7, 2018
Jimmy Ray NashOneamerica Securities, Inc. BD affiliatedCetera Advisors LLC BD affiliatedAffiliated broker-dealer or bank to anotherAug 30, 2018Aug 27, 2018
Randall Bernard RichardsonOneamerica Securities, Inc. BD affiliatedCetera Advisors LLC BD affiliatedAffiliated broker-dealer or bank to anotherJul 12, 2018Jul 13, 2018
Kevin Bernard RichardsonOneamerica Securities, Inc. BD affiliatedCetera Advisors LLC BD affiliatedAffiliated broker-dealer or bank to anotherJul 12, 2018Jul 5, 2018
Jessica Ann MusshafenSignal Research Group LLC state registeredCetera Advisors LLC BD affiliatedOtherJun 22, 2018Aug 23, 2018 (62 d)
Kenneth Judson FicklingWells Fargo Advisors wirehouseCetera Advisors LLC BD affiliatedWirehouse to affiliated broker-dealer or bankJun 14, 2018Jun 8, 2018
Joy Michelle SchlieStrategic Advisers LLC national BDCetera Advisors LLC BD affiliatedAffiliated broker-dealer or bank to anotherJun 13, 2018Sep 3, 2019 (447 d)
Rachel Jane HallowellFirst Command Advisory Services BD affiliatedCetera Advisors LLC BD affiliatedAffiliated broker-dealer or bank to anotherMay 18, 2018Jun 5, 2019 (383 d)
Theodore Mark MillerWells Fargo Advisors wirehouseCetera Advisors LLC BD affiliatedWirehouse to affiliated broker-dealer or bankMay 2, 2018May 1, 2018
Pamela Yvonne DobsonD.A. Davidson & Co. independent RIACetera Advisors LLC BD affiliatedRIA to affiliated broker-dealer or bankApr 30, 2018Sep 19, 2018 (142 d)
Llewellyn Raymond HayesPence Capital Management, LLC no RAUMCetera Advisors LLC otherOtherMar 4, 2018Nov 7, 2017
Kelly Lynn BaumanNational Planning Corporation ("Npc Of America" In Fl & Ny) otherCetera Advisors LLC otherOtherFeb 26, 2018Mar 12, 2018
Carrie Boliek LetsingerConcourse Financial Group Advisors otherCetera Advisors LLC otherOtherFeb 26, 2018Jan 30, 2018
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513 moves match.