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 Planmember Securities Corporation
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 |
|---|---|---|---|---|---|
| John Italiano | Valic Financial Advisors, Inc. BD affiliated | Planmember Securities Corporation independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 29, 2022 | Oct 11, 2022 |
| Darby Lynn Depauw | Robert W. Baird & Co. Incorporated mixed wealth | Planmember Securities Corporation independent RIA | RIA to RIA | Apr 20, 2022 | May 9, 2022 |
| Nathaniel Moore | LPL Financial LLC independent RIA | Planmember Securities Corporation independent RIA | RIA to RIA | Apr 10, 2022 | Mar 14, 2022 |
| Kurt A. Roddy | Securities America Advisors, Inc. BD affiliated | Planmember Securities Corporation independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 8, 2022 | Apr 4, 2022 |
| Ray Anthony Mcginnis | MML Investors Services, LLC BD affiliated | Planmember Securities Corporation independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 3, 2022 | Feb 23, 2022 |
| Vance Ralph Sanchez | Ameriprise Financial Services, LLC national BD | Planmember Securities Corporation independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 21, 2022 | Apr 26, 2022 (64 d) |
| Edward Frederick Wettig | Osaic Wealth, Inc. BD affiliated | Planmember Securities Corporation independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 4, 2022 | Jan 3, 2022 |
| Elizabeth Ellen Smith | Allstate Financial Advisors, LLC BD affiliated | Planmember Securities Corporation independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 31, 2021 | Dec 23, 2021 |
| Julie H Barron | Gwn Securities Inc. BD affiliated | Planmember Securities Corporation independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 8, 2021 | Dec 7, 2021 |
| Ashley Matheis | Citigroup Global Markets Inc. BD affiliated | Planmember Securities Corporation independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 6, 2021 | Feb 1, 2022 (57 d) |
| Dale Ruppert Hancock | Cetera Advisors LLC BD affiliated | Planmember Securities Corporation independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 10, 2021 | Apr 30, 2025 (1267 d) |
| Martha Patricia Lobo Castro | Pruco Securities, LLC BD affiliated | Planmember Securities Corporation independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 13, 2021 | Jul 23, 2021 |
| Michael Faraci | Transamerica Financial Advisors, LLC BD affiliated | Planmember Securities Corporation independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 8, 2021 | May 12, 2025 (1434 d) |
| James Dean Kersey | J. W. Cole Advisors, Inc. independent RIA | Planmember Securities Corporation independent RIA | RIA to RIA | May 27, 2021 | May 26, 2021 |
| Matthew William Guyette | Edward Jones national BD | Planmember Securities Corporation independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 28, 2021 | Apr 27, 2021 |
| Carroll Clayton Matthews | Lifetyme Financial Advisors, LLC state registered | Planmember Securities Corporation independent RIA | Other | Feb 15, 2021 | Feb 17, 2021 |
| Matthew Wells | Waddell & Reed BD affiliated | Planmember Securities Corporation independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 27, 2021 | Aug 24, 2021 (209 d) |
| Matthew M Warter | Russell Investments other | Planmember Securities Corporation independent RIA | Other | Jan 27, 2021 | Feb 3, 2021 |
| Benjamin Garrett Price | Tortoiseecofin Investments Partners, LLC no RAUM | Planmember Securities Corporation independent RIA | Other | Jan 12, 2021 | Nov 17, 2022 (674 d) |
| David W Conard | First Advisors National, LLC independent RIA | Planmember Securities Corporation independent RIA | RIA to RIA | Jan 4, 2021 | Jan 21, 2021 |
| Ashley Marie Gagne | U.S. Bancorp Advisors, LLC BD affiliated | Planmember Securities Corporation independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 2, 2020 | Apr 29, 2021 (148 d) |
| Terence Owen Smith | Securities America Advisors, Inc. BD affiliated | Planmember Securities Corporation independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 4, 2020 | Nov 10, 2020 |
| Luke William King | Main Management, LLC independent RIA | Planmember Securities Corporation independent RIA | RIA to RIA | Oct 31, 2020 | Jan 14, 2021 (75 d) |
| Michael B Haney | Gradient Wealth Management BD affiliated | Planmember Securities Corporation independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 22, 2020 | Oct 22, 2020 |
| Douglas A Brackin | Oneamerica Securities, Inc. BD affiliated | Planmember Securities Corporation independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 21, 2020 | Oct 8, 2020 |
| Regan A Ertle | Sagepoint Financial, Inc. BD affiliated | Planmember Securities Corporation independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 15, 2020 | Oct 15, 2020 |
| Harriet Knight Chase | Securities America Advisors, Inc. BD affiliated | Planmember Securities Corporation independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 22, 2020 | Sep 18, 2020 |
| Benjamin Valentin Parker | J.P. Morgan Securities LLC wirehouse | Planmember Securities Corporation independent RIA | Wirehouse to independent RIA | Sep 15, 2020 | Sep 17, 2020 |
| Marc Thomas O'Brien | Lincoln Investment BD affiliated | Planmember Securities Corporation independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 7, 2020 | Aug 10, 2020 |
| Andrew Grennan Beaugard | National Pension & Group Consultants, Inc unclassified | Planmember Securities Corporation independent RIA | Other | Jun 8, 2020 | Jun 5, 2020 |
| Brian Holland | National Pension & Group Consultants, Inc unclassified | Planmember Securities Corporation independent RIA | Other | May 18, 2020 | May 19, 2020 |
| Thomas Mitchell Desroches | Pruco Securities, LLC BD affiliated | Planmember Securities Corporation independent RIA | Affiliated broker-dealer or bank to independent RIA | May 14, 2020 | Jul 1, 2021 (413 d) |
| Alexander Earl Kaye | Mcmorgan & Company LLC other | Planmember Securities Corporation independent RIA | Other | Apr 30, 2020 | May 6, 2021 (371 d) |
| Lisa Marie Kelly | Voya Financial Advisors, Inc. BD affiliated | Planmember Securities Corporation independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 7, 2020 | Jul 14, 2020 (98 d) |
| Kerry Andrew Lang | National Pension & Group Consultants, Inc unclassified | Planmember Securities Corporation independent RIA | Other | Mar 19, 2020 | Mar 25, 2020 |
| Edward James Tritschler | National Pension & Group Consultants, Inc unclassified | Planmember Securities Corporation independent RIA | Other | Mar 18, 2020 | Mar 20, 2020 |
| Erica Goltra | National Pension & Group Consultants, Inc unclassified | Planmember Securities Corporation independent RIA | Other | Mar 18, 2020 | Mar 24, 2020 |
| Susan Dawson | Pruco Securities, LLC BD affiliated | Planmember Securities Corporation independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 21, 2020 | Jan 21, 2020 |
| Roy C Lines | Avantax Planning Partners, Inc. independent RIA | Planmember Securities Corporation independent RIA | RIA to RIA | Jan 15, 2020 | Dec 23, 2020 (343 d) |
| Matthew David Clark | Gwn Securities Inc. BD affiliated | Planmember Securities Corporation independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 23, 2019 | Jan 23, 2020 (31 d) |
| Jo Laurie Schmeltzer | E*Trade Capital Management, LLC independent RIA | Planmember Securities Corporation independent RIA | RIA to RIA | Dec 16, 2019 | Jul 27, 2021 (589 d) |
| Kimberly Kay Anderson | National Pension & Group Consultants, Inc unclassified | Planmember Securities Corporation independent RIA | Other | Dec 10, 2019 | Aug 30, 2023 (1359 d) |
| Gregory Joseph Garbeff | Creativeone Wealth, LLC independent RIA | Planmember Securities Corporation independent RIA | RIA to RIA | Dec 3, 2019 | Feb 4, 2020 (63 d) |
| Jonathan James Wolfe | Voya Financial Advisors, Inc. BD affiliated | Planmember Securities Corporation independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 19, 2019 | Dec 4, 2019 |
| Mark Anthony Bucciere | Pnc Capital Advisors LLC other | Planmember Securities Corporation independent RIA | Other | Nov 18, 2019 | Mar 22, 2021 (490 d) |
| Marina Alexandra Armbruster | Securities America Advisors, Inc. BD affiliated | Planmember Securities Corporation independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 11, 2019 | Nov 5, 2019 |
| Hunter Alexander Hayden | Ameriprise Financial Services, LLC national BD | Planmember Securities Corporation independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 29, 2019 | Jan 11, 2021 (440 d) |
| James Michael Adgar | Valley Wealth Strategies, LLC independent RIA | Planmember Securities Corporation independent RIA | RIA to RIA | Sep 27, 2019 | Oct 4, 2019 |
| Ryan Joseph Herits | Vanderbilt Advisory Services BD affiliated | Planmember Securities Corporation independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 20, 2019 | Aug 23, 2019 |
| Linwood Alexander Orenduff | Voya Financial Advisors, Inc. BD affiliated | Planmember Securities Corporation independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 3, 2019 | Jun 5, 2019 |
| Aaron D. Jacoby | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Planmember Securities Corporation independent RIA | Wirehouse to independent RIA | May 9, 2019 | Aug 28, 2019 (111 d) |
| Nicholas Ross Orenduff | Orenduff & Associates, Ltd. unclassified | Planmember Securities Corporation independent RIA | Other | Apr 3, 2019 | Apr 10, 2019 |
| Kyle Austin Knopp | Lincoln Investment BD affiliated | Planmember Securities Corporation independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 25, 2019 | Mar 11, 2019 |
| Ryan Matthew Jordan | Foresters Advisory Services, LLC BD affiliated | Planmember Securities Corporation independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 6, 2019 | Feb 7, 2019 |
| Howard Graham Jones | Cetera Advisor Networks LLC BD affiliated | Planmember Securities Corporation independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 31, 2018 | Jan 18, 2019 |
| Juan Pablo Novoa | Thrivent Investment Management Inc. BD affiliated | Planmember Securities Corporation independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 26, 2018 | Dec 17, 2018 |
| Brian Paul Nauman | Spc BD affiliated | Planmember Securities Corporation independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2018 | Nov 13, 2018 |
| Judith Ann Ienatsch | Legend Advisory, LLC BD affiliated | Planmember Securities Corporation independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 1, 2018 | Oct 31, 2018 |
| Haim Shepes | Lincoln Investment BD affiliated | Planmember Securities Corporation independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 24, 2018 | Oct 30, 2018 |
| Timothy Bain Howe | Herbert J. Sims Capital Management, Inc. independent RIA | Planmember Securities Corporation independent RIA | RIA to RIA | Sep 5, 2018 | Sep 25, 2018 |
339 moves match.