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 Regal Investment 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.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Mark Andrew Jones | Bates Financial Advisors, Inc. independent RIA | Regal Investment Advisors LLC BD affiliated | RIA to affiliated broker-dealer or bank | Sep 3, 2020 | Sep 2, 2020 |
| Joseph B Kindig | Bankers Life Advisory Services, Inc. BD affiliated | Regal Investment Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 3, 2020 | Mar 4, 2021 (213 d) |
| Ranjan Jagetia | Arbor Point Advisors BD affiliated | Regal Investment Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | May 14, 2020 | May 14, 2020 |
| Matthew Scott Schiller | Arbor Point Advisors BD affiliated | Regal Investment Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | May 14, 2020 | May 14, 2020 |
| Tiffany L Boval | Arbor Point Advisors BD affiliated | Regal Investment Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | May 14, 2020 | May 14, 2020 |
| Scott Winfield Burch | Sage Investment Group unclassified | Regal Investment Advisors LLC BD affiliated | Other | May 12, 2020 | May 26, 2020 |
| Anthony Grey Kulka | Arbor Point Advisors BD affiliated | Regal Investment Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | May 12, 2020 | Jun 4, 2020 |
| Jason Tyler Eagle | Joyn Advisors, Inc. independent RIA | Regal Investment Advisors LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jan 24, 2020 | Feb 21, 2020 |
| Spencer Lademan | W&S Brokerage Services, Inc. no RAUM | Regal Investment Advisors LLC BD affiliated | Other | Jan 17, 2020 | Jan 16, 2020 |
| Gregory H. Oray | Corecap Advisors BD affiliated | Regal Investment Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 20, 2019 | Jan 6, 2020 |
| Adam David Talbert | Lucas Group Financial Advisors, Inc. unclassified | Regal Investment Advisors LLC BD affiliated | Other | Nov 18, 2019 | May 31, 2019 |
| Lucas Arthur Beggin | Lucas Group Financial Advisors, Inc. unclassified | Regal Investment Advisors LLC BD affiliated | Other | Nov 18, 2019 | May 23, 2019 |
| Andrew Lee Stewart | Lucas Group Financial Advisors, Inc. unclassified | Regal Investment Advisors LLC BD affiliated | Other | Nov 18, 2019 | Jun 4, 2019 |
| Kristin A Anderson | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Regal Investment Advisors LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Nov 4, 2019 | Oct 28, 2021 (724 d) |
| Alfred Eugene Townsend | Cs Advisors Inc. other | Regal Investment Advisors LLC BD affiliated | Other | Sep 24, 2019 | Oct 8, 2019 |
| Alfred Eugene Townsend | Cs Advisors Inc. other | Regal Investment Advisors LLC BD affiliated | Other | Sep 24, 2019 | Oct 15, 2019 |
| Kristen Kelly Smigelski | Woodbury Financial Services, Inc. BD affiliated | Regal Investment Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 26, 2019 | Oct 7, 2019 (42 d) |
| Adam Wayne Fliehman | Cetera Advisors LLC BD affiliated | Regal Investment Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 30, 2019 | Jul 19, 2019 |
| Brian Stuart Jolles | Momentum Independent Network Inc. BD affiliated | Regal Investment Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 25, 2019 | Jun 21, 2019 |
| Robert Allan Palma | Capital Analysts BD affiliated | Regal Investment Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 7, 2019 | Jun 6, 2019 |
| Brian Dufort Lowery | Coppell Advisory Solutions LLC independent RIA | Regal Investment Advisors LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jun 4, 2019 | Jun 4, 2019 |
| Jeremy William Watson | Bankers Life Advisory Services, Inc. BD affiliated | Regal Investment Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | May 17, 2019 | Aug 19, 2019 (94 d) |
| Christopher James Hoxie | Bankers Life Advisory Services, Inc. BD affiliated | Regal Investment Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 4, 2019 | Apr 4, 2019 |
| Tamara Leah Higgins | Kestra Advisory Services, LLC BD affiliated | Regal Investment Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 29, 2019 | May 8, 2019 (40 d) |
| Mark Benjamin Grooters | Securities America Advisors, Inc. BD affiliated | Regal Investment Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 12, 2019 | Mar 5, 2019 |
| Phillip Wayne Olney | Woodbury Financial Services, Inc. BD affiliated | Regal Investment Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 8, 2019 | Mar 8, 2019 |
| Anthony Steven Thornton | Momentum Independent Network Inc. BD affiliated | Regal Investment Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 27, 2019 | Mar 12, 2019 |
| Steven Michael Martinez | Secure Investment Management, LLC independent RIA | Regal Investment Advisors LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jan 31, 2019 | Feb 1, 2019 |
| Matthew Edward Herman | Questar Asset Management, Inc. BD affiliated | Regal Investment Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 28, 2019 | Jan 25, 2019 |
| Carlos Alberto Guzman | Brookstone Capital Management LLC independent RIA | Regal Investment Advisors LLC BD affiliated | RIA to affiliated broker-dealer or bank | Nov 20, 2018 | Nov 19, 2018 |
| Adam Burton | Edward Jones national BD | Regal Investment Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 14, 2018 | Dec 5, 2018 |
| Richard William Wasson | Questar Asset Management, Inc. BD affiliated | Regal Investment Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 7, 2018 | Jan 25, 2019 (79 d) |
| Massimo Paone | Altrius Capital Management, Inc. independent RIA | Regal Investment Advisors LLC BD affiliated | RIA to affiliated broker-dealer or bank | Oct 25, 2018 | Apr 22, 2019 (179 d) |
| Robert Christopher Beaulieu | Bankers Life Advisory Services, Inc. BD affiliated | Regal Investment Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 18, 2018 | Jan 29, 2019 (103 d) |
| Peter Donald Thaldorf | Secure Investment Management, LLC independent RIA | Regal Investment Advisors LLC BD affiliated | RIA to affiliated broker-dealer or bank | Oct 8, 2018 | Oct 9, 2018 |
| James Patrick White | Fifth Third Securities, Inc. BD affiliated | Regal Investment Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 13, 2018 | Sep 7, 2018 |
| Chad Michael Curtis | Bankers Life Advisory Services, Inc. BD affiliated | Regal Investment Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 10, 2018 | Apr 1, 2019 (203 d) |
| Vint Wayne Stevenson | Securities America Advisors, Inc. BD affiliated | Regal Investment Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 13, 2018 | Aug 29, 2018 |
| Thomas Michael Stoltman | Secure Investment Management, LLC independent RIA | Regal Investment Advisors LLC BD affiliated | RIA to affiliated broker-dealer or bank | Aug 13, 2018 | Aug 13, 2018 |
| Matthew Nicholas Hudak | Raymond James Financial Services Advisors, Inc BD affiliated | Regal Investment Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 26, 2018 | Sep 7, 2018 (43 d) |
| Anthony Burton | Questar Asset Management, Inc. BD affiliated | Regal Investment Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 20, 2018 | Jul 10, 2018 |
| Joel David Heinlein | Legacy Planning & Associates, Inc. independent RIA | Regal Investment Advisors LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jun 27, 2018 | Jul 1, 2019 (369 d) |
| James Richard Reim | Ic Advisory Services, Inc. BD affiliated | Regal Investment Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 17, 2018 | Apr 18, 2018 |
| Jeffrey Lloyd Gibbens | Ic Advisory Services, Inc. BD affiliated | Regal Investment Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 17, 2018 | Apr 18, 2018 |
| David Dennis Peters | Arrow Financial Group state registered | Regal Investment Advisors LLC BD affiliated | Other | Mar 20, 2018 | Apr 3, 2018 |
| Matteo Petrillo | 1914 Advisors other | Regal Investment Advisors LLC BD affiliated | Other | Mar 9, 2018 | Apr 27, 2018 (49 d) |
| Katherine Alicia Downing | Equitable Advisors, LLC national BD | Regal Investment Advisors LLC other | Other | Mar 2, 2018 | Mar 2, 2018 |
| Jon Robert Erickson | Institute For Wealth Advisors, Inc. no RAUM | Regal Investment Advisors LLC other | Other | Feb 1, 2018 | Jan 30, 2018 |
| Douglas Stephen Garban | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Regal Investment Advisors LLC other | Other | Jan 31, 2018 | Jan 18, 2018 |
| Mohamed Eldawy | Morgan Stanley wirehouse | Regal Investment Advisors LLC other | Other | Jan 19, 2018 | Jan 25, 2018 |
| William Joseph Demarco | Oneamerica Securities, Inc. other | Regal Investment Advisors LLC other | Other | Jan 17, 2018 | Mar 9, 2018 (51 d) |
| Louis Ralph Petrillo | 1914 Advisors other | Regal Investment Advisors LLC other | Other | Jan 12, 2018 | Jan 17, 2018 |
| Bradley Wallick | Canby Grove Capital Inc. unclassified | Regal Investment Advisors LLC other | Other | Jan 2, 2018 | Feb 15, 2018 (44 d) |
| Paul Thomas Swift | MML Investors Services, LLC other | Regal Investment Advisors LLC other | Other | Nov 20, 2017 | Feb 20, 2018 (92 d) |
| Ross E Welte | Park Avenue Securities LLC other | Regal Investment Advisors LLC other | Other | Oct 27, 2017 | Oct 17, 2017 |
| Stavros Moforis | Principal Securities, Inc. other | Regal Investment Advisors LLC other | Other | Oct 10, 2017 | Oct 17, 2017 |
| Alvin J Rudder | Asset Management Strategies, Inc. other | Regal Investment Advisors LLC BD affiliated | Other | Oct 6, 2017 | Mar 16, 2020 (892 d) |
| Jean Jacques Pierre | Principal Securities, Inc. other | Regal Investment Advisors LLC other | Other | Sep 27, 2017 | Oct 12, 2017 |
| George Elias | Integrity Alliance, LLC other | Regal Investment Advisors LLC other | Other | Sep 1, 2017 | Sep 1, 2017 |
| Angel Richelle Way | Integrity Alliance, LLC other | Regal Investment Advisors LLC other | Other | Sep 1, 2017 | Sep 1, 2017 |
265 moves match.