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 Sorrento Pacific Financial, 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
Kristina Page Campbell	Uvest Financial Services Group, Inc. unclassified	Sorrento Pacific Financial, LLC other	Other	Aug 16, 2011	Feb 7, 2012 (175 d)
Ryan Brett Reeves	Uvest Financial Services Group, Inc. unclassified	Sorrento Pacific Financial, LLC other	Other	Aug 16, 2011	Sep 14, 2011
Heather Mckinney Venrick	Uvest Financial Services Group, Inc. unclassified	Sorrento Pacific Financial, LLC other	Other	Aug 16, 2011	Sep 14, 2011
Kelly Luckhaus	Uvest Financial Services Group, Inc. unclassified	Sorrento Pacific Financial, LLC other	Other	Aug 16, 2011	Sep 14, 2011
Andrew A Dalrymple	Uvest Financial Services Group, Inc. unclassified	Sorrento Pacific Financial, LLC other	Other	Aug 16, 2011	Sep 14, 2011
Walter Steven Less	Uvest Financial Services Group, Inc. unclassified	Sorrento Pacific Financial, LLC other	Other	Aug 16, 2011	Sep 14, 2011
Neal Webb	Uvest Financial Services Group, Inc. unclassified	Sorrento Pacific Financial, LLC other	Other	Aug 16, 2011	Sep 14, 2011
Susan Lyle	Uvest Financial Services Group, Inc. unclassified	Sorrento Pacific Financial, LLC other	Other	May 23, 2011	May 18, 2011
Adam Louis Nieto	Uvest Financial Services Group, Inc. unclassified	Sorrento Pacific Financial, LLC other	Other	May 23, 2011	May 18, 2011
Brian Dat Nguyen	Uvest Financial Services Group, Inc. unclassified	Sorrento Pacific Financial, LLC other	Other	May 23, 2011	May 19, 2011
Chad Michael Webster	Chase Investment Services Corp. other	Sorrento Pacific Financial, LLC other	Other	May 3, 2011	May 5, 2011
Curtis Godt	Edward Jones national BD	Sorrento Pacific Financial, LLC other	Other	Mar 8, 2011	Mar 9, 2011
Douglas Paul Caesare	LPL Financial LLC other	Sorrento Pacific Financial, LLC other	Other	Jan 31, 2011	Jan 19, 2011
Geoff Louis Grabe	LPL Financial LLC other	Sorrento Pacific Financial, LLC other	Other	Jan 31, 2011	Jan 19, 2011
William Scott Baber	LPL Financial LLC other	Sorrento Pacific Financial, LLC other	Other	Jan 11, 2011	Mar 8, 2011 (56 d)
Daniel Craig Mozer	Edward Jones national BD	Sorrento Pacific Financial, LLC other	Other	Dec 9, 2010	Feb 18, 2011 (71 d)
Keith Dilloway	Equitable Advisors, LLC national BD	Sorrento Pacific Financial, LLC other	Other	Oct 26, 2010	Oct 26, 2010
Bruce Craig Mcculloch	John Hancock Investment Management LLC other	Sorrento Pacific Financial, LLC independent RIA	Other	May 6, 2010	Nov 16, 2018 (3116 d)
Nicholas Thomas Poulos	Uvest Financial Services Group, Inc. unclassified	Sorrento Pacific Financial, LLC other	Other	Dec 12, 2008	Dec 2, 2014 (2181 d)
Derek Wayne Border	Edward Jones national BD	Sorrento Pacific Financial, LLC other	Other	Dec 9, 2008	Apr 3, 2009 (115 d)
Michael Thomas Karbouski	LPL Financial LLC other	Sorrento Pacific Financial, LLC other	Other	Jul 22, 2008	Oct 9, 2008 (79 d)
Allen Dale Smith	Cuso Financial Services, L.P. other	Sorrento Pacific Financial, LLC other	Other	Oct 26, 2007	Oct 5, 2009 (710 d)
Brandon Michael Mann	Securities America Advisors, Inc. other	Sorrento Pacific Financial, LLC other	Other	Jan 9, 2007	Jan 4, 2007
Michael Todd Shinn	Investment Centers Of America, Inc. other	Sorrento Pacific Financial, LLC other	Other	Mar 1, 2006	Mar 22, 2006
Wendi Kernels Drennon	Icba Financial Services Corporation unclassified	Sorrento Pacific Financial, LLC other	Other	Dec 31, 2005	Feb 1, 2006 (32 d)
Adam J. Bay	Icba Financial Services Corporation unclassified	Sorrento Pacific Financial, LLC other	Other	Nov 14, 2005	Nov 14, 2005
Paul Anthony Modafferi	Citigroup Global Markets Inc. other	Sorrento Pacific Financial, LLC other	Other	Sep 26, 2005	Jul 15, 2008 (1023 d)
Michael J Calvelli	Cuso Financial Services, L.P. other	Sorrento Pacific Financial, LLC other	Other	Sep 9, 2005	Dec 14, 2004
Richard Stewart Dahl	LPL Financial LLC other	Sorrento Pacific Financial, LLC other	Other	Jun 1, 2005	Jun 8, 2005
Frank Boyd Smith	New England Securities Corporation other	Sorrento Pacific Financial, LLC other	Other	Jan 30, 2003	Mar 28, 2006 (1153 d)

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90 moves match.