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 Level Four Advisory Services

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.

AdvisorFromToTypeLeftRegistered
Noelle Granville McintyreMid-Atlantic Securities, Inc. independent RIALevel Four Advisory Services BD affiliatedRIA to affiliated broker-dealer or bankOct 31, 2022Oct 14, 2022
Cathy Lynn PoeMid-Atlantic Securities, Inc. independent RIALevel Four Advisory Services BD affiliatedRIA to affiliated broker-dealer or bankOct 31, 2022Aug 17, 2022
James D LeeMid-Atlantic Securities, Inc. independent RIALevel Four Advisory Services BD affiliatedRIA to affiliated broker-dealer or bankOct 31, 2022Oct 14, 2022
Robert Murray WoronoffMid-Atlantic Securities, Inc. independent RIALevel Four Advisory Services BD affiliatedRIA to affiliated broker-dealer or bankOct 31, 2022Oct 14, 2022
Glenn Frederick VerityMid-Atlantic Securities, Inc. independent RIALevel Four Advisory Services BD affiliatedRIA to affiliated broker-dealer or bankOct 31, 2022Aug 17, 2022
Kenyon Lee AllmanMid-Atlantic Securities, Inc. independent RIALevel Four Advisory Services BD affiliatedRIA to affiliated broker-dealer or bankOct 31, 2022Oct 14, 2022
Rosilyn Hoffman OvertonMid-Atlantic Securities, Inc. independent RIALevel Four Advisory Services BD affiliatedRIA to affiliated broker-dealer or bankOct 31, 2022Oct 14, 2022
Kerry Constantine GeaneasCantella & Co., Inc. BD affiliatedLevel Four Advisory Services BD affiliatedAffiliated broker-dealer or bank to anotherOct 20, 2022Nov 14, 2022
Karen Marie LessardRaymond James Financial Services Advisors, Inc BD affiliatedLevel Four Advisory Services BD affiliatedAffiliated broker-dealer or bank to anotherOct 14, 2022Oct 20, 2022
Peter Henry GoreCantella & Co., Inc. BD affiliatedLevel Four Advisory Services BD affiliatedAffiliated broker-dealer or bank to anotherOct 6, 2022Sep 30, 2022
Philip Benjamin SadtlerCantella & Co., Inc. BD affiliatedLevel Four Advisory Services BD affiliatedAffiliated broker-dealer or bank to anotherOct 6, 2022Sep 30, 2022
Rafael Sosa MatosMutual Of Omaha Investor Services, Inc. independent RIALevel Four Advisory Services BD affiliatedRIA to affiliated broker-dealer or bankSep 13, 2022Apr 25, 2023 (224 d)
William Saunders MccloudCantella & Co., Inc. BD affiliatedLevel Four Advisory Services BD affiliatedAffiliated broker-dealer or bank to anotherJul 26, 2022Jul 8, 2022
Thadius BeaversProspera Financial Services, Inc. independent RIALevel Four Advisory Services BD affiliatedRIA to affiliated broker-dealer or bankJun 30, 2022Jun 27, 2022
Wendy Anne HosnerAmeriprise Financial Services, LLC national BDLevel Four Advisory Services BD affiliatedAffiliated broker-dealer or bank to anotherFeb 17, 2022Feb 24, 2022
Matthew CraigMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseLevel Four Advisory Services BD affiliatedWirehouse to affiliated broker-dealer or bankJan 3, 2022Jan 3, 2022
Michael Tilton DollHarbor Financial Services, LLC BD affiliatedLevel Four Advisory Services BD affiliatedAffiliated broker-dealer or bank to anotherDec 21, 2021Dec 21, 2021
Curtis Lee HowardHarbor Financial Services, LLC BD affiliatedLevel Four Advisory Services BD affiliatedAffiliated broker-dealer or bank to anotherDec 21, 2021Dec 21, 2021
Michael Gerard HickeyHarbor Financial Services, LLC BD affiliatedLevel Four Advisory Services BD affiliatedAffiliated broker-dealer or bank to anotherDec 21, 2021Dec 21, 2021
Robert Arthur Oliver AndersonHarbor Financial Services, LLC BD affiliatedLevel Four Advisory Services BD affiliatedAffiliated broker-dealer or bank to anotherDec 21, 2021Dec 21, 2021
Alexis Allen MaloyHarbor Financial Services, LLC BD affiliatedLevel Four Advisory Services BD affiliatedAffiliated broker-dealer or bank to anotherDec 21, 2021Dec 21, 2021
Suzanne Robin DurbinAltera Advisors, LLC no RAUMLevel Four Advisory Services BD affiliatedOtherDec 17, 2021Feb 22, 2022 (67 d)
Stacey Lynn LavenderMywallst Advisory LLC no RAUMLevel Four Advisory Services BD affiliatedOtherNov 17, 2021Dec 21, 2021 (34 d)
Matthew King EstesPruco Securities, LLC BD affiliatedLevel Four Advisory Services BD affiliatedAffiliated broker-dealer or bank to anotherOct 26, 2021Dec 13, 2021 (48 d)
Vannessa Quinn MarleyLPL Financial LLC BD affiliatedLevel Four Advisory Services BD affiliatedAffiliated broker-dealer or bank to anotherSep 11, 2021Sep 8, 2021
Kevin Scott WelchFidelity Personal And Workplace Advisors BD affiliatedLevel Four Advisory Services BD affiliatedAffiliated broker-dealer or bank to anotherJul 9, 2021Aug 5, 2021
Caroline Crisp HallSagespring Wealth Partners independent RIALevel Four Advisory Services BD affiliatedRIA to affiliated broker-dealer or bankJul 8, 2021Jul 6, 2021
Thomas Joseph NeunerSb Advisory, LLC independent RIALevel Four Advisory Services BD affiliatedRIA to affiliated broker-dealer or bankDec 31, 2020Dec 21, 2021 (355 d)
Jeffery Brian HarperOpus Wealth Management Group independent RIALevel Four Advisory Services BD affiliatedRIA to affiliated broker-dealer or bankDec 10, 2020May 13, 2020
Amanda Lynn MitchumRaymond James Financial Services Advisors, Inc BD affiliatedLevel Four Advisory Services BD affiliatedAffiliated broker-dealer or bank to anotherNov 16, 2020Apr 12, 2021 (147 d)
Natasha Boris TitovaLPL Financial LLC BD affiliatedLevel Four Advisory Services BD affiliatedAffiliated broker-dealer or bank to anotherOct 29, 2020Jan 5, 2021 (68 d)
Carly Marie JeavonsLPL Financial LLC BD affiliatedLevel Four Advisory Services BD affiliatedAffiliated broker-dealer or bank to anotherOct 19, 2020Oct 21, 2020
Ryan RaphaelEdward Jones national BDLevel Four Advisory Services BD affiliatedAffiliated broker-dealer or bank to anotherAug 28, 2020Jan 15, 2021 (140 d)
Kimberly Kay MillerKestra Advisory Services, LLC BD affiliatedLevel Four Advisory Services BD affiliatedAffiliated broker-dealer or bank to anotherJul 1, 2020Mar 10, 2021 (252 d)
Pedro Sergio ChavezPnc Managed Account Solutions, Inc. BD affiliatedLevel Four Advisory Services BD affiliatedAffiliated broker-dealer or bank to anotherJun 1, 2020Jun 9, 2020
Jeffery Allen GrecuOpus Wealth Management Group independent RIALevel Four Advisory Services BD affiliatedRIA to affiliated broker-dealer or bankApr 8, 2020Apr 3, 2020
Kyle Brookes McbroomOpus Wealth Management Group independent RIALevel Four Advisory Services BD affiliatedRIA to affiliated broker-dealer or bankApr 8, 2020Apr 1, 2020
Charles Wesley BaierOpus Wealth Management Group independent RIALevel Four Advisory Services BD affiliatedRIA to affiliated broker-dealer or bankApr 8, 2020Apr 1, 2020
Kyle Donald HarperOpus Wealth Management Group independent RIALevel Four Advisory Services BD affiliatedRIA to affiliated broker-dealer or bankApr 8, 2020Apr 1, 2020
Daniel Isaias RodriguezWealth Advisors-Southeast, Inc. unclassifiedLevel Four Advisory Services BD affiliatedOtherMar 19, 2020Dec 13, 2019
Paul Lawrence SterzingerEdward Jones national BDLevel Four Advisory Services BD affiliatedAffiliated broker-dealer or bank to anotherJan 9, 2020Jan 6, 2020
Michael Edward SheltonColonial River Wealth Management LLC independent RIALevel Four Advisory Services BD affiliatedRIA to affiliated broker-dealer or bankDec 18, 2019Dec 4, 2019
Ernest Allan TannisSb Advisory, LLC BD affiliatedLevel Four Advisory Services BD affiliatedAffiliated broker-dealer or bank to anotherDec 11, 2019Dec 21, 2021 (741 d)
Crystal Lynn SmithersMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseLevel Four Advisory Services BD affiliatedWirehouse to affiliated broker-dealer or bankNov 18, 2019Dec 21, 2021 (764 d)
Brian Haruo KuriharaCantella & Co., Inc. BD affiliatedLevel Four Advisory Services BD affiliatedAffiliated broker-dealer or bank to anotherOct 29, 2019Dec 22, 2021 (785 d)
Angela Marie TaccoEdward Jones national BDLevel Four Advisory Services BD affiliatedAffiliated broker-dealer or bank to anotherJul 23, 2019Dec 21, 2021 (882 d)
Ricky Alan SanfordCetera Investment Advisers LLC BD affiliatedLevel Four Advisory Services BD affiliatedAffiliated broker-dealer or bank to anotherJul 1, 2019Dec 21, 2021 (904 d)
Samuel Lee WilliamsCompass Capital Corporation independent RIALevel Four Advisory Services BD affiliatedRIA to affiliated broker-dealer or bankJun 21, 2019Dec 21, 2021 (914 d)
Jill Marie ZachaCapital One Advisors, LLC no RAUMLevel Four Advisory Services BD affiliatedOtherMay 6, 2019May 8, 2019
Austin Robert MurphyTruist Advisory Services, Inc. BD affiliatedLevel Four Advisory Services BD affiliatedAffiliated broker-dealer or bank to anotherApr 30, 2019May 17, 2019
Justin Derrick JonesValiant Wealth Management unclassifiedLevel Four Advisory Services BD affiliatedOtherDec 31, 2018Apr 26, 2019 (116 d)
Christopher Lee FackaTruist Advisory Services, Inc. BD affiliatedLevel Four Advisory Services BD affiliatedAffiliated broker-dealer or bank to anotherDec 7, 2018Oct 26, 2023 (1784 d)
Frank Joseph MaldonadoOsaic Fa, Inc. BD affiliatedLevel Four Advisory Services BD affiliatedAffiliated broker-dealer or bank to anotherOct 30, 2018Nov 2, 2018
Marshall Charles BarclayLPL Financial LLC independent RIALevel Four Advisory Services BD affiliatedRIA to affiliated broker-dealer or bankOct 26, 2018Nov 12, 2018
Brian Dale Trowbridge1st Global Advisors Inc BD affiliatedLevel Four Advisory Services BD affiliatedAffiliated broker-dealer or bank to anotherSep 25, 2018Sep 21, 2018
Randy R. MooreheadSignator Investors, Inc. BD affiliatedLevel Four Advisory Services BD affiliatedAffiliated broker-dealer or bank to anotherSep 24, 2018Sep 27, 2018
Lucas McneelyWells Fargo Advisors wirehouseLevel Four Advisory Services BD affiliatedWirehouse to affiliated broker-dealer or bankAug 14, 2018Aug 14, 2018
Lawrence A CrispPark Avenue Securities LLC BD affiliatedLevel Four Advisory Services BD affiliatedAffiliated broker-dealer or bank to anotherAug 6, 2018Aug 10, 2018
Anthony Robert HendersonConcourse Financial Group Advisors BD affiliatedLevel Four Advisory Services BD affiliatedAffiliated broker-dealer or bank to anotherApr 23, 2018Apr 13, 2018
Paul Ray MorrisRaymond James Financial Services Advisors, Inc BD affiliatedLevel Four Advisory Services BD affiliatedAffiliated broker-dealer or bank to anotherJan 9, 2018Dec 21, 2021 (1442 d)
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284 moves match.