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 Cetera Investment Services 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.

AdvisorFromToTypeLeftRegistered
Kenneth A FordMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseCetera Investment Services LLC otherOtherJan 30, 2013Mar 19, 2013 (48 d)
Clifford John YorkFifth Third Securities, Inc. otherCetera Investment Services LLC otherOtherJan 24, 2013Jan 28, 2013
Jeffrey David EastMorgan Keegan & Company, LLC otherCetera Investment Services LLC otherOtherJan 24, 2013Jan 30, 2013
Ronald Todd ProctorCharles Schwab & Co., Inc. national BDCetera Investment Services LLC otherOtherJan 23, 2013Jan 11, 2013
Kerrie CoeJ.P. Morgan Securities LLC wirehouseCetera Investment Services LLC otherOtherJan 23, 2013Jan 31, 2013
Craig HerbertLegend Advisory, LLC otherCetera Investment Services LLC otherOtherJan 22, 2013Feb 4, 2013
Hui ZhangMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseCetera Investment Services LLC otherOtherJan 22, 2013Jan 28, 2013
Anna C MaloneMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseCetera Investment Services LLC otherOtherJan 10, 2013Apr 11, 2013 (91 d)
Christopher BoldingEdward Jones national BDCetera Investment Services LLC otherOtherJan 10, 2013Jan 15, 2013
Donnas Edmond LandryMsi Financial Services, Inc. otherCetera Investment Services LLC otherOtherJan 10, 2013Apr 11, 2013 (91 d)
Wesley Daniel StewartEdward Jones national BDCetera Investment Services LLC otherOtherJan 9, 2013Jan 30, 2013
Damon Merrill MapesLPL Financial LLC otherCetera Investment Services LLC otherOtherJan 8, 2013Feb 26, 2013 (49 d)
Samuel Whitfield HodgesMsi Financial Services, Inc. otherCetera Investment Services LLC otherOtherJan 7, 2013Jan 11, 2013
Chad A ClarkMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseCetera Investment Services LLC otherOtherJan 4, 2013Jan 15, 2013
Brian L. PetersonPnc Wealth Management otherCetera Investment Services LLC otherOtherJan 2, 2013Feb 19, 2013 (48 d)
Lance Christopher ErnestPnc Wealth Management otherCetera Investment Services LLC otherOtherJan 2, 2013Jan 10, 2013
Mark NarrellOsaic Institutions, Inc. otherCetera Investment Services LLC otherOtherJan 2, 2013Jan 16, 2013
Amy SpikerMorgan Stanley wirehouseCetera Investment Services LLC otherOtherDec 20, 2012Dec 18, 2012
James Rhett LankfordFirst Tennessee Advisory Services, Inc. otherCetera Investment Services LLC otherOtherDec 4, 2012Jan 11, 2013 (38 d)
James Daniel LandersMorgan Stanley wirehouseCetera Investment Services LLC otherOtherDec 3, 2012Jan 15, 2013 (43 d)
James Thomas DownhamAlliancebernstein L.P. otherCetera Investment Services LLC otherOtherDec 3, 2012Jul 12, 2013 (221 d)
Steven Mark BeaupreAmeriprise Financial Services, LLC national BDCetera Investment Services LLC otherOtherNov 29, 2012Aug 27, 2013 (271 d)
Carmen Diane BohlkeGeneos Wealth Management, Inc. otherCetera Investment Services LLC otherOtherNov 20, 2012Dec 11, 2012
Chadwick ShullMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseCetera Investment Services LLC otherOtherNov 7, 2012Jan 3, 2013 (57 d)
James Kirk BairdJ.P. Morgan Securities LLC wirehouseCetera Investment Services LLC otherOtherNov 6, 2012Nov 1, 2012
Thomas Christian HallMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseCetera Investment Services LLC otherOtherNov 6, 2012Dec 10, 2013 (399 d)
Mark J. HovanicMorgan Stanley wirehouseCetera Investment Services LLC otherOtherNov 1, 2012Jan 17, 2013 (77 d)
John Tyler StevensEdward Jones national BDCetera Investment Services LLC otherOtherNov 1, 2012Feb 19, 2013 (110 d)
Ann Marie HolderMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseCetera Investment Services LLC otherOtherOct 30, 2012Nov 8, 2012
Douglas Wilson JonesUBS Financial Services Inc. wirehouseCetera Investment Services LLC otherOtherOct 24, 2012Jan 30, 2013 (98 d)
Jeffrey Scott BoehmRaymond James Financial Services Advisors, Inc otherCetera Investment Services LLC otherOtherOct 16, 2012Oct 12, 2012
Susan Johanna RogersWells Fargo Advisors wirehouseCetera Investment Services LLC otherOtherSep 24, 2012Nov 5, 2012 (42 d)
Michael Stephen HodgesPnc Wealth Management otherCetera Investment Services LLC otherOtherSep 20, 2012Feb 15, 2013 (148 d)
Vernon Terrell KalmbachEdward Jones national BDCetera Investment Services LLC otherOtherSep 20, 2012May 13, 2013 (235 d)
John Worden ColemanHancock Whitney Investment Services Inc. otherCetera Investment Services LLC otherOtherSep 20, 2012Mar 13, 2013 (174 d)
Derek David SimkowitzLPL Financial LLC otherCetera Investment Services LLC otherOtherSep 19, 2012Sep 25, 2012
Joseph Christopher ThibeauxEdward Jones national BDCetera Investment Services LLC otherOtherSep 14, 2012Jan 9, 2014 (482 d)
Ying Juan XieWaddell & Reed otherCetera Investment Services LLC otherOtherSep 13, 2012Jan 22, 2013 (131 d)
Sybil Lee PoageLPL Financial LLC otherCetera Investment Services LLC otherOtherSep 6, 2012Aug 13, 2012
Douglas SchroederLPL Financial LLC otherCetera Investment Services LLC otherOtherSep 6, 2012Sep 6, 2012
Ervie Don HoustonEdward Jones national BDCetera Investment Services LLC otherOtherAug 30, 2012Aug 27, 2012
Kelly Ron HubrigBancwest Investment Services, Inc. (Bwis) otherCetera Investment Services LLC otherOtherAug 28, 2012Sep 7, 2012
Coyt Lamar NicholsonTransamerica Financial Advisors, LLC otherCetera Investment Services LLC otherOtherAug 28, 2012Oct 23, 2013 (421 d)
Kimberley Gayle ColeRaymond James Financial Services Advisors, Inc otherCetera Investment Services LLC otherOtherAug 27, 2012Sep 5, 2012
Kevin Glenn AlbrechtCuso Financial Services, L.P. otherCetera Investment Services LLC otherOtherAug 22, 2012Nov 19, 2012 (89 d)
Adriane Marie ShawEdward Jones national BDCetera Investment Services LLC otherOtherAug 21, 2012Aug 30, 2012
Steven John LiebzeitBancwest Investment Services, Inc. (Bwis) otherCetera Investment Services LLC otherOtherAug 15, 2012Aug 23, 2012
Boo Young SongStrategic Advisers LLC national BDCetera Investment Services LLC otherOtherJul 17, 2012Mar 5, 2013 (231 d)
Brad Richard BakkenBancwest Investment Services, Inc. (Bwis) otherCetera Investment Services LLC otherOtherJun 28, 2012Jul 2, 2012
Charlotte Anne McconnellRea Capital Management, LLC otherCetera Investment Services LLC otherOtherJun 14, 2012Oct 12, 2012 (120 d)
Thomas Steven WegnerLPL Financial LLC otherCetera Investment Services LLC otherOtherMay 25, 2012Jan 11, 2013 (231 d)
Evad Patrick VanspooreSgl Investment Advisors, Inc. otherCetera Investment Services LLC otherOtherMay 22, 2012May 24, 2012
Robert Michael HebertJ.P. Morgan Securities LLC wirehouseCetera Investment Services LLC otherOtherMay 15, 2012Nov 13, 2013 (547 d)
Chih-Tao MaU.S. Bancorp Advisors, LLC otherCetera Investment Services LLC otherOtherMay 10, 2012May 29, 2012
Kyle Joseph FrushMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseCetera Investment Services LLC otherOtherMay 7, 2012May 25, 2012
Brian Douglas TrainerNationwide Securities, LLC no RAUMCetera Investment Services LLC otherOtherMay 1, 2012May 1, 2012
Michael David SeelyInvestment Centers Of America, Inc. otherCetera Investment Services LLC otherOtherApr 30, 2012Feb 22, 2013 (298 d)
Brooke Christen BakerEdward Jones national BDCetera Investment Services LLC otherOtherApr 25, 2012May 1, 2012
Andrew Patrick CampbellLPL Financial LLC otherCetera Investment Services LLC otherOtherApr 5, 2012Apr 2, 2012
Gena Jacobs WolbrechtMorgan Keegan & Company, LLC otherCetera Investment Services LLC otherOtherMar 31, 2012Feb 7, 2013 (313 d)
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527 moves match.