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 Prospera Financial Services, Inc.
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 |
|---|---|---|---|---|---|
| Shawn Baxter | Avantax Advisory Services BD affiliated | Prospera Financial Services, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 11, 2023 | Apr 12, 2023 |
| Joshua Michael Howell | Wells Fargo Advisors wirehouse | Prospera Financial Services, Inc. independent RIA | Wirehouse to independent RIA | Mar 27, 2023 | Mar 27, 2023 |
| Michael Andrew Trethewey | Wells Fargo Advisors wirehouse | Prospera Financial Services, Inc. independent RIA | Wirehouse to independent RIA | Mar 24, 2023 | Apr 26, 2023 (33 d) |
| Ralph John Fetrow | Insight Advisors, LLC independent RIA | Prospera Financial Services, Inc. independent RIA | RIA to RIA | Feb 10, 2023 | Jan 31, 2023 |
| Thomas Vincent Caruso | Ameriprise Financial Services, LLC national BD | Prospera Financial Services, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 4, 2023 | Mar 2, 2023 (57 d) |
| Thayer Rockwell Potter | Wells Fargo Advisors wirehouse | Prospera Financial Services, Inc. independent RIA | Wirehouse to independent RIA | Nov 7, 2022 | Oct 24, 2022 |
| Amanda Jo Sheeder | LPL Financial LLC independent RIA | Prospera Financial Services, Inc. independent RIA | RIA to RIA | Sep 12, 2022 | Oct 27, 2022 (45 d) |
| Timothy Charles Boyd | State Farm Investment Management Corp. asset manager | Prospera Financial Services, Inc. independent RIA | Other | Aug 31, 2022 | Sep 1, 2022 |
| Adam Brian Parrie | LPL Financial LLC independent RIA | Prospera Financial Services, Inc. independent RIA | RIA to RIA | Aug 25, 2022 | Aug 11, 2022 |
| Kevin Karon Hampton | Wells Fargo Advisors wirehouse | Prospera Financial Services, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 17, 2022 | Aug 5, 2025 (1084 d) |
| Ryan Matthew Laux | Stifel, Nicolaus & Company, Incorporated national BD | Prospera Financial Services, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 1, 2022 | Aug 2, 2022 (62 d) |
| Larae Ann Duff | Edward Jones national BD | Prospera Financial Services, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | May 25, 2022 | Apr 5, 2023 (315 d) |
| Jerry Wallace Goodman | Wells Fargo Advisors wirehouse | Prospera Financial Services, Inc. independent RIA | Wirehouse to independent RIA | Feb 18, 2022 | Feb 18, 2022 |
| Alex B Shore | Wells Fargo Advisors wirehouse | Prospera Financial Services, Inc. independent RIA | Wirehouse to independent RIA | Feb 18, 2022 | Feb 18, 2022 |
| Amber Goetz | Lion Street Advisors, LLC BD affiliated | Prospera Financial Services, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 24, 2022 | Feb 9, 2022 |
| David Scott Trettel | Charles Schwab & Co., Inc. national BD | Prospera Financial Services, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 20, 2022 | Jan 12, 2022 |
| Russell Sidney Johnson | Johnson Financial Services LLC unclassified | Prospera Financial Services, Inc. independent RIA | Other | Dec 31, 2021 | Jan 25, 2022 |
| Raymond Andrew Thompson | Dorsey & Company Inc. mixed wealth | Prospera Financial Services, Inc. independent RIA | RIA to RIA | Dec 31, 2021 | Dec 5, 2021 |
| Chris S Stocks | Morgan Stanley wirehouse | Prospera Financial Services, Inc. independent RIA | Wirehouse to independent RIA | Dec 8, 2021 | Jan 12, 2022 (35 d) |
| Matthew Paul Herrick | Morgan Stanley wirehouse | Prospera Financial Services, Inc. independent RIA | Wirehouse to independent RIA | Dec 7, 2021 | Dec 2, 2021 |
| Stephen Robert Schuller | Dorsey & Company Inc. mixed wealth | Prospera Financial Services, Inc. independent RIA | RIA to RIA | Dec 3, 2021 | Dec 5, 2021 |
| Julian Saenger Richards | Dorsey & Company Inc. mixed wealth | Prospera Financial Services, Inc. independent RIA | RIA to RIA | Dec 3, 2021 | Dec 5, 2021 |
| Dean Ernest Morris | Dorsey & Company Inc. mixed wealth | Prospera Financial Services, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Dec 3, 2021 | Oct 7, 2024 (1039 d) |
| Michael Louis Stern | Dorsey & Company Inc. mixed wealth | Prospera Financial Services, Inc. independent RIA | RIA to RIA | Dec 3, 2021 | Dec 3, 2021 |
| Joseph Peter Stephens | Dorsey & Company Inc. mixed wealth | Prospera Financial Services, Inc. independent RIA | RIA to RIA | Dec 3, 2021 | Dec 6, 2021 |
| Ned Anthony Chatelain | Dorsey & Company Inc. mixed wealth | Prospera Financial Services, Inc. independent RIA | RIA to RIA | Dec 3, 2021 | Dec 3, 2021 |
| Christopher David Bravender | Dorsey & Company Inc. mixed wealth | Prospera Financial Services, Inc. independent RIA | RIA to RIA | Dec 3, 2021 | Dec 5, 2021 |
| Michael Scott Martin | Dorsey & Company Inc. mixed wealth | Prospera Financial Services, Inc. independent RIA | RIA to RIA | Dec 3, 2021 | Dec 5, 2021 |
| Gregory Michael Hollingsworth | Dorsey & Company Inc. mixed wealth | Prospera Financial Services, Inc. independent RIA | RIA to RIA | Dec 3, 2021 | Dec 6, 2021 |
| Edward Church Bush | Dorsey & Company Inc. mixed wealth | Prospera Financial Services, Inc. independent RIA | RIA to RIA | Dec 3, 2021 | Dec 3, 2021 |
| John Green Christman | Dorsey & Company Inc. mixed wealth | Prospera Financial Services, Inc. independent RIA | RIA to RIA | Dec 3, 2021 | Dec 3, 2021 |
| John Nunzio Rossi | UBS Financial Services Inc. wirehouse | Prospera Financial Services, Inc. independent RIA | Wirehouse to independent RIA | Nov 15, 2021 | Dec 6, 2021 |
| Julia Denise Lovejoy | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Prospera Financial Services, Inc. independent RIA | Wirehouse to independent RIA | Sep 13, 2021 | Sep 27, 2021 |
| Robert James Podraza | Edward Jones national BD | Prospera Financial Services, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 16, 2021 | Jul 6, 2021 |
| Jonathan Fuimaono | Edward Jones national BD | Prospera Financial Services, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 7, 2021 | Jul 14, 2021 |
| Kole G Bosworth | Morgan Stanley wirehouse | Prospera Financial Services, Inc. independent RIA | Wirehouse to independent RIA | Jul 2, 2021 | Jul 2, 2021 |
| Carol Ann Scatolini | Cetera Advisor Networks LLC BD affiliated | Prospera Financial Services, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 30, 2021 | May 5, 2021 |
| Lee Carl Handley | LPL Financial LLC BD affiliated | Prospera Financial Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 22, 2021 | Sep 19, 2024 (1246 d) |
| Leslie Dawn Lamotte | LPL Financial LLC BD affiliated | Prospera Financial Services, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 22, 2021 | Apr 13, 2021 |
| Anna Meiners Hansen | LPL Financial LLC BD affiliated | Prospera Financial Services, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 22, 2021 | Apr 13, 2021 |
| Gerard Thaddeus Taylor | Summit Financial Group Inc BD affiliated | Prospera Financial Services, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 19, 2021 | Apr 20, 2021 |
| Erik Edward Lundy | Summit Financial Group Inc BD affiliated | Prospera Financial Services, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 19, 2021 | Apr 20, 2021 |
| Sonya Gwyn Palumbo | Summit Financial Group Inc BD affiliated | Prospera Financial Services, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 19, 2021 | Apr 28, 2021 |
| James E Baltzersen | Summit Financial Group Inc BD affiliated | Prospera Financial Services, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 9, 2021 | Apr 9, 2021 |
| Michael Keith Kaplan | Morgan Stanley wirehouse | Prospera Financial Services, Inc. independent RIA | Wirehouse to independent RIA | Apr 6, 2021 | Mar 25, 2021 |
| Brendan Reed Lewis | Summit Financial Group Inc BD affiliated | Prospera Financial Services, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 24, 2021 | Oct 24, 2022 (579 d) |
| Tyler Reed Lewis | Summit Financial Group Inc BD affiliated | Prospera Financial Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 24, 2021 | Apr 29, 2024 (1132 d) |
| Ricki Joseph Wilson | Summit Financial Group Inc BD affiliated | Prospera Financial Services, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 3, 2021 | Mar 4, 2021 |
| Stephen R Crone | Summit Financial Group Inc BD affiliated | Prospera Financial Services, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 3, 2021 | Mar 4, 2021 |
| Daniel Hall Phillips | Edward Jones national BD | Prospera Financial Services, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 2, 2021 | Mar 8, 2021 |
| John Edward Mayeux | LPL Financial LLC BD affiliated | Prospera Financial Services, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 4, 2021 | Feb 1, 2023 (727 d) |
| David Walton Lummus | Morgan Stanley wirehouse | Prospera Financial Services, Inc. independent RIA | Wirehouse to independent RIA | Feb 1, 2021 | Apr 7, 2021 (65 d) |
| Mark Adam Eriksen | Summit Financial Group Inc BD affiliated | Prospera Financial Services, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 26, 2021 | Jan 25, 2021 |
| Ian Carl Eriksen | Summit Financial Group Inc BD affiliated | Prospera Financial Services, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 26, 2021 | Jan 25, 2021 |
| Anthony Dean Ossola | Wells Fargo Advisors wirehouse | Prospera Financial Services, Inc. independent RIA | Wirehouse to independent RIA | Jan 11, 2021 | Jan 8, 2021 |
| Brandon James Stockman | Summit Financial Group Inc BD affiliated | Prospera Financial Services, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 8, 2021 | Dec 7, 2020 |
| 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 |
| David Nathaniel Johnson | Summit Financial Group Inc BD affiliated | Prospera Financial Services, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 15, 2020 | Dec 7, 2020 |
| Steven Wayne Loerke | UBS Financial Services Inc. wirehouse | Prospera Financial Services, Inc. independent RIA | Wirehouse to independent RIA | Nov 25, 2020 | Dec 2, 2020 |
| Thadius Beavers | E*Trade Capital Management, LLC independent RIA | Prospera Financial Services, Inc. independent RIA | RIA to RIA | Nov 24, 2020 | Feb 4, 2021 (72 d) |
278 moves match.