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 Berthel Fisher & Company Financial Services, 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
Richard Mobley Ringgold	Vsr Advisory Services other	Berthel Fisher & Company Financial Services, Inc. other	Other	Apr 6, 2010	Apr 13, 2010
Robert Lane Johnson	Questar Asset Management, Inc. other	Berthel Fisher & Company Financial Services, Inc. other	Other	Apr 5, 2010	Apr 1, 2010
Bruce E Schreiner	Osaic Fs, Inc. other	Berthel Fisher & Company Financial Services, Inc. other	Other	Apr 5, 2010	Feb 8, 2011 (309 d)
Keith David Johnson	Esi Financial Advisors other	Berthel Fisher & Company Financial Services, Inc. other	Other	Mar 31, 2010	Mar 30, 2010
Albert Sidney Browning	Esi Financial Advisors other	Berthel Fisher & Company Financial Services, Inc. other	Other	Mar 31, 2010	Mar 30, 2010
Karl Theodor Jacobsen	Securities America Advisors, Inc. other	Berthel Fisher & Company Financial Services, Inc. other	Other	Mar 1, 2010	Mar 1, 2010
David Greg Birrell	Wells Fargo Advisors wirehouse	Berthel Fisher & Company Financial Services, Inc. other	Other	Feb 26, 2010	Mar 1, 2010
Jeffrey Stuart Boettcher	Wells Fargo Advisors wirehouse	Berthel Fisher & Company Financial Services, Inc. other	Other	Feb 25, 2010	Mar 2, 2010
Charles Thomas Cammack	First Legacy Securities, LLC unclassified	Berthel Fisher & Company Financial Services, Inc. other	Other	Feb 23, 2010	Mar 10, 2010
James Henry Perry	First Legacy Securities, LLC unclassified	Berthel Fisher & Company Financial Services, Inc. other	Other	Feb 23, 2010	Mar 10, 2010
Joseph Robert Weinbauer	National Planning Corporation ("Npc Of America" In Fl & Ny) other	Berthel Fisher & Company Financial Services, Inc. other	Other	Feb 1, 2010	Feb 1, 2010
James Howard Dockens	E*Trade Capital Management, LLC other	Berthel Fisher & Company Financial Services, Inc. other	Other	Jan 8, 2010	Jan 7, 2010
Lawrence Sheldon Steinberg	LPL Financial LLC other	Berthel Fisher & Company Financial Services, Inc. other	Other	Nov 3, 2009	Nov 2, 2009
Spencer Allen Mills	Capital Financial Services, Inc. other	Berthel Fisher & Company Financial Services, Inc. other	Other	Nov 2, 2009	Nov 13, 2009
Lorne David Enquist	Wells Fargo Advisors wirehouse	Berthel Fisher & Company Financial Services, Inc. other	Other	Oct 20, 2009	Oct 2, 2009
Timothy M Garretson	Cambridge Investment Research Advisors, Inc. other	Berthel Fisher & Company Financial Services, Inc. other	Other	Sep 29, 2009	Sep 25, 2009
William Clay Tucker	Bb&T Investment Services, Inc. no RAUM	Berthel Fisher & Company Financial Services, Inc. other	Other	Sep 28, 2009	Jan 11, 2010 (105 d)
John Huey Neely	Wfg Advisors, LP other	Berthel Fisher & Company Financial Services, Inc. other	Other	Aug 14, 2009	Aug 19, 2009
Ritchie Lynn Hoffman	Park Avenue Securities LLC other	Berthel Fisher & Company Financial Services, Inc. other	Other	Jul 29, 2009	Aug 3, 2009
Kevin Patrick Wong	LPL Financial LLC other	Berthel Fisher & Company Financial Services, Inc. other	Other	Jul 7, 2009	Jul 7, 2009
Nancy Elaine Schulze	Vsr Advisory Services other	Berthel Fisher & Company Financial Services, Inc. other	Other	Jun 5, 2009	Jun 16, 2009
Danielle Michelle Traylor	Strategic Financial Concepts, LLC other	Berthel Fisher & Company Financial Services, Inc. other	Other	May 4, 2009	Apr 29, 2009
Lester Lovell Holmes	Banc Of America Investment Services, Inc. unclassified	Berthel Fisher & Company Financial Services, Inc. other	Other	Apr 20, 2009	Apr 20, 2009
Peter Alan Wierenga	Voya Financial Advisors, Inc. other	Berthel Fisher & Company Financial Services, Inc. other	Other	Apr 2, 2009	Apr 13, 2009
Randal James Gabaldon	National Planning Corporation ("Npc Of America" In Fl & Ny) other	Berthel Fisher & Company Financial Services, Inc. other	Other	Mar 5, 2009	Mar 4, 2009
Connie John Reha	Nfp Advisor Services, LLC other	Berthel Fisher & Company Financial Services, Inc. other	Other	Feb 13, 2009	Feb 18, 2009
Bryan Hugh Pepper	Wells Fargo Advisors wirehouse	Berthel Fisher & Company Financial Services, Inc. other	Other	Feb 13, 2009	Feb 3, 2009
Michael Todd Shinn	Sorrento Pacific Financial, LLC other	Berthel Fisher & Company Financial Services, Inc. other	Other	Dec 31, 2008	Jun 24, 2015 (2366 d)
Alan David Luttman	Prospera Financial Services, Inc. other	Berthel Fisher & Company Financial Services, Inc. other	Other	Dec 12, 2008	Nov 19, 2008
Michael Patrick Braddy	Prospera Financial Services, Inc. other	Berthel Fisher & Company Financial Services, Inc. other	Other	Dec 12, 2008	Nov 19, 2008
Mark Radley Emberton	Banc Of America Investment Services, Inc. unclassified	Berthel Fisher & Company Financial Services, Inc. other	Other	Dec 3, 2008	Nov 12, 2010 (709 d)
Guenter Michael Wesch	Ameriprise Financial Services, LLC national BD	Berthel Fisher & Company Financial Services, Inc. other	Other	Nov 26, 2008	Nov 20, 2008
James Andrew Cecil	Raymond James Financial Services, Inc. unclassified	Berthel Fisher & Company Financial Services, Inc. other	Other	Nov 13, 2008	Nov 25, 2008
Rod Paul Olson	LPL Financial LLC other	Berthel Fisher & Company Financial Services, Inc. other	Other	Nov 6, 2008	Nov 5, 2008
Sterling Jasper	Park Avenue Securities LLC other	Berthel Fisher & Company Financial Services, Inc. other	Other	Nov 3, 2008	Oct 22, 2008
Charles Michael Haddad	Ferris, Baker Watts, LLC unclassified	Berthel Fisher & Company Financial Services, Inc. other	Other	Oct 28, 2008	Jan 5, 2010 (434 d)
Kevin Lee Czarnecki	LPL Financial LLC other	Berthel Fisher & Company Financial Services, Inc. other	Other	Sep 16, 2008	Sep 16, 2008
Joshua Eugene Stroud	LPL Financial LLC other	Berthel Fisher & Company Financial Services, Inc. other	Other	Sep 12, 2008	Sep 11, 2008
Kevin Auguste Carroll	Spc other	Berthel Fisher & Company Financial Services, Inc. other	Other	Sep 8, 2008	Jun 25, 2010 (655 d)
Craig M Fredrickson	Money Concepts Advisory Service other	Berthel Fisher & Company Financial Services, Inc. other	Other	Aug 21, 2008	Aug 21, 2008
Jimmy Elton Sloan	USA Financial Securities LLC other	Berthel Fisher & Company Financial Services, Inc. other	Other	Aug 4, 2008	Aug 4, 2008
Dean Charles Erickson	UBS Financial Services Inc. wirehouse	Berthel Fisher & Company Financial Services, Inc. other	Other	Jul 24, 2008	Jul 9, 2008
John Thomas Peak	Successful Resource Management, Ltd. state registered	Berthel Fisher & Company Financial Services, Inc. other	Other	Jul 2, 2008	May 13, 2008
Laura Carrera Warnock	Money Concepts Advisory Service other	Berthel Fisher & Company Financial Services, Inc. other	Other	May 14, 2008	May 15, 2008
Arthur Brian Chalekian	LPL Financial LLC other	Berthel Fisher & Company Financial Services, Inc. other	Other	Apr 4, 2008	May 29, 2008 (55 d)
Kevin Craig Koslofski	Equitable Advisors, LLC national BD	Berthel Fisher & Company Financial Services, Inc. other	Other	Mar 5, 2008	Mar 4, 2008
Robyn D Simons	Money Concepts Advisory Service other	Berthel Fisher & Company Financial Services, Inc. other	Other	Feb 28, 2008	Feb 29, 2008
Lucius Williamson	Ssn Advisory, Inc. other	Berthel Fisher & Company Financial Services, Inc. other	Other	Feb 28, 2008	Mar 31, 2008 (32 d)
Alexander Schaefer	Equitable Advisors, LLC national BD	Berthel Fisher & Company Financial Services, Inc. other	Other	Feb 22, 2008	Nov 8, 2013 (2086 d)
Robert Eran Shelton	Independent Financial Group, LLC other	Berthel Fisher & Company Financial Services, Inc. other	Other	Feb 1, 2008	Feb 7, 2008
Thomas Scott Nevitt	Charles Schwab & Co., Inc. national BD	Berthel Fisher & Company Financial Services, Inc. other	Other	Dec 3, 2007	Feb 15, 2008 (74 d)
Sarah Maire Berner	Vsr Advisory Services other	Berthel Fisher & Company Financial Services, Inc. other	Other	Oct 30, 2007	Oct 30, 2007
Lewis D Baker	Piedmont Investment Advisors, LLC other	Berthel Fisher & Company Financial Services, Inc. other	Other	Oct 2, 2007	Oct 3, 2007
Bradley Joseph Schmitz	Morgan Stanley & Co. LLC unclassified	Berthel Fisher & Company Financial Services, Inc. other	Other	Sep 5, 2007	Oct 31, 2007 (56 d)
Brian Wallace Schilling	Global Portfolio Strategies, Inc. other	Berthel Fisher & Company Financial Services, Inc. other	Other	Aug 3, 2007	Feb 13, 2008 (194 d)
Edward Allen Kolanko	Mpm Wealth Advisors other	Berthel Fisher & Company Financial Services, Inc. other	Other	Jul 20, 2007	Apr 8, 2003
Brian David Havermann	Geneos Wealth Management, Inc. other	Berthel Fisher & Company Financial Services, Inc. other	Other	Jun 29, 2007	Jun 29, 2007
James Welby Troutman	Brookstreet Securities Corporation unclassified	Berthel Fisher & Company Financial Services, Inc. other	Other	Jun 26, 2007	Jun 26, 2007
Kevin Patrick Fitzgerald	Brookstreet Securities Corporation unclassified	Berthel Fisher & Company Financial Services, Inc. other	Other	Jun 26, 2007	Jun 26, 2007
Clemont Lee Bevill	Next Financial Group, Inc. other	Berthel Fisher & Company Financial Services, Inc. other	Other	Jun 20, 2007	Jun 28, 2007

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166 moves match.