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 Sagepoint Financial, 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 |
|---|---|---|---|---|---|
| Nicholas Philip Travaglini | Securian Financial Services, Inc. independent RIA | Sagepoint Financial, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Aug 1, 2022 | Jul 28, 2022 |
| Daniel Matthew Johnson | LPL Financial LLC independent RIA | Sagepoint Financial, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jul 21, 2022 | Jul 19, 2022 |
| Brent Arvid Young | Charles Schwab & Co., Inc. national BD | Sagepoint Financial, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 19, 2022 | Sep 7, 2022 (50 d) |
| Michael Murphy | Thrivent Investment Management Inc. BD affiliated | Sagepoint Financial, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 12, 2022 | Jul 8, 2022 |
| Richard Joseph Augustine | Osaic Fa, Inc. BD affiliated | Sagepoint Financial, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 1, 2022 | May 16, 2022 |
| James Edward Stone | Osaic Fa, Inc. BD affiliated | Sagepoint Financial, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 16, 2022 | May 16, 2022 |
| Nicholas A Meyer | Concourse Financial Group Advisors BD affiliated | Sagepoint Financial, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 16, 2022 | May 9, 2022 |
| Conrad Earl Pearson | LPL Financial LLC independent RIA | Sagepoint Financial, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | May 13, 2022 | Aug 31, 2020 |
| Edward Theodore Kemm | Osaic Fa, Inc. BD affiliated | Sagepoint Financial, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 9, 2022 | May 6, 2022 |
| David Clark Gossling | Osaic Fa, Inc. BD affiliated | Sagepoint Financial, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 9, 2022 | May 6, 2022 |
| Robert Lee Hamlin | Osaic Fa, Inc. BD affiliated | Sagepoint Financial, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 9, 2022 | May 6, 2022 |
| Andrea Beth Sheikh | Osaic Fa, Inc. BD affiliated | Sagepoint Financial, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 9, 2022 | May 9, 2022 |
| Cole James Stoneman | Osaic Fa, Inc. BD affiliated | Sagepoint Financial, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 9, 2022 | May 6, 2022 |
| Michael Bentley | Wells Fargo Advisors wirehouse | Sagepoint Financial, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 9, 2022 | Sep 21, 2022 (135 d) |
| James Peter Martin | Osaic Fa, Inc. BD affiliated | Sagepoint Financial, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 6, 2022 | May 6, 2022 |
| Shane Austin Morrow | Osaic Fa, Inc. BD affiliated | Sagepoint Financial, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 6, 2022 | May 6, 2022 |
| Brian Edward Noe | Osaic Fa, Inc. BD affiliated | Sagepoint Financial, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 6, 2022 | May 6, 2022 |
| John Gordon Gutowsky | Cetera Advisors LLC BD affiliated | Sagepoint Financial, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 2, 2022 | Apr 29, 2022 |
| Dustin Neil Christopherson | Cetera Advisors LLC BD affiliated | Sagepoint Financial, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 2, 2022 | Apr 29, 2022 |
| Christina Marie Diloreto King | Raymond James & Associates, Inc. national BD | Sagepoint Financial, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 29, 2022 | Apr 26, 2022 |
| Julio Soria | Esi Financial Advisors BD affiliated | Sagepoint Financial, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 22, 2022 | Aug 2, 2023 (467 d) |
| Tamim Wali | Equitable Advisors, LLC national BD | Sagepoint Financial, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 13, 2022 | Apr 12, 2022 |
| Edward F Terranova | Morgan Stanley wirehouse | Sagepoint Financial, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 13, 2022 | Mar 28, 2022 |
| Erik Arnold Ellsworth | Securian Financial Services, Inc. independent RIA | Sagepoint Financial, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Apr 7, 2022 | Apr 1, 2022 |
| Colin Brubaker | Securian Financial Services, Inc. independent RIA | Sagepoint Financial, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Apr 7, 2022 | Apr 1, 2022 |
| Thomas Joseph Harkins | Securian Financial Services, Inc. independent RIA | Sagepoint Financial, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Apr 6, 2022 | Apr 1, 2022 |
| Scott Robert Long | Securian Financial Services, Inc. independent RIA | Sagepoint Financial, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Apr 6, 2022 | Apr 1, 2022 |
| Amy Martin | Securian Financial Services, Inc. independent RIA | Sagepoint Financial, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Apr 6, 2022 | Apr 4, 2022 |
| Cody Ross Pollock | Thrivent Investment Management Inc. BD affiliated | Sagepoint Financial, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 4, 2022 | Apr 1, 2022 |
| Marcus Anthony Groeneveld | Fisher Investments independent RIA | Sagepoint Financial, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Mar 24, 2022 | Jul 28, 2022 (126 d) |
| Chad Hill | Global Wealth Management Investment Advisory, Inc. independent RIA | Sagepoint Financial, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Mar 24, 2022 | Mar 15, 2022 |
| Jerel Gadberry | Wells Fargo Advisors wirehouse | Sagepoint Financial, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Mar 18, 2022 | Mar 18, 2022 |
| Justin Ryan Martinez | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Sagepoint Financial, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Mar 14, 2022 | Mar 11, 2022 |
| Michelle Arrowood Brooks | Raymond James Financial Services Advisors, Inc BD affiliated | Sagepoint Financial, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 25, 2022 | Feb 10, 2022 |
| Nicholas William Arre | Arre Investment Services, Inc. unclassified | Sagepoint Financial, Inc. other | Other | Feb 18, 2022 | Oct 31, 2005 |
| Cory Robert Nickel | Edward Jones national BD | Sagepoint Financial, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 14, 2022 | Feb 11, 2022 |
| Lars Antony Lambrecht | Ameriprise Financial Services, LLC national BD | Sagepoint Financial, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 10, 2022 | Feb 4, 2022 |
| Joshua Roland Johnson | Severin Investments LLC independent RIA | Sagepoint Financial, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Feb 4, 2022 | Jul 12, 2022 (158 d) |
| Jonathan James Macko | Morgan Stanley wirehouse | Sagepoint Financial, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 27, 2022 | Jan 14, 2022 |
| Jake Anton Balistreri | Mcadam LLC independent RIA | Sagepoint Financial, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jan 10, 2022 | Jan 18, 2023 (373 d) |
| Mario Hernandez | Gemmer Asset Management LLC independent RIA | Sagepoint Financial, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jan 7, 2022 | Mar 21, 2022 (73 d) |
| Nicholas Charles Hunzinger | Mutual Advisors, LLC BD affiliated | Sagepoint Financial, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 21, 2021 | Dec 20, 2021 |
| Todd William Lowe | Mutual Advisors, LLC BD affiliated | Sagepoint Financial, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 21, 2021 | Dec 20, 2021 |
| Denise Julius Zumbrun | LPL Financial LLC BD affiliated | Sagepoint Financial, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 13, 2021 | Mar 16, 2022 (93 d) |
| Isiah Brown | Morgan Stanley wirehouse | Sagepoint Financial, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 13, 2021 | Jan 28, 2022 (46 d) |
| Kelcie Larue Schiraldi | Voya Financial Advisors, Inc. BD affiliated | Sagepoint Financial, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 6, 2021 | Dec 1, 2021 |
| Jennifer Cerra Vawter | Independent Financial Group, LLC BD affiliated | Sagepoint Financial, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 1, 2021 | Jan 4, 2022 (34 d) |
| Drew Scott Marloe | Independent Capital Management unclassified | Sagepoint Financial, Inc. other | Other | Nov 10, 2021 | Jan 25, 2016 |
| Kevin Jiro Yoneda | Independent Capital Management unclassified | Sagepoint Financial, Inc. other | Other | Nov 10, 2021 | Aug 21, 2014 |
| Jonathan Scott Isaac | Independent Capital Management unclassified | Sagepoint Financial, Inc. BD affiliated | Other | Nov 10, 2021 | Jun 29, 2021 |
| Marie Louise Cammack | Independent Capital Management unclassified | Sagepoint Financial, Inc. BD affiliated | Other | Nov 10, 2021 | Jun 23, 2021 |
| Alan Iinuma | Independent Capital Management unclassified | Sagepoint Financial, Inc. other | Other | Nov 10, 2021 | Jun 27, 2017 |
| Kevin Scott Etter | Cml Wealth Management, LLC independent RIA | Sagepoint Financial, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Nov 8, 2021 | Nov 10, 2021 |
| Kevin Rooplall | Cml Wealth Management, LLC independent RIA | Sagepoint Financial, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Nov 8, 2021 | Sep 8, 2021 |
| Christopher R Ruiz | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Sagepoint Financial, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 29, 2021 | Nov 19, 2021 |
| Matthew David Arkfeld | Wells Fargo Advisors wirehouse | Sagepoint Financial, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 24, 2021 | Oct 12, 2021 |
| Aries Abueg Jimenez | San Diego Wealth Management, LLC unclassified | Sagepoint Financial, Inc. BD affiliated | Other | Sep 1, 2021 | May 11, 2020 |
| William Thomas Toner | Plains Coastal, LLC unclassified | Sagepoint Financial, Inc. BD affiliated | Other | Aug 25, 2021 | Jun 7, 2022 (286 d) |
| Andrew Bjorklund | Gradient Advisors, LLC independent RIA | Sagepoint Financial, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Aug 24, 2021 | May 16, 2022 (265 d) |
| Jacqueline Latrice Reinert | Waddell & Reed BD affiliated | Sagepoint Financial, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 23, 2021 | Feb 8, 2022 (169 d) |
977 moves match.