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 Sb Advisory, 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
Douglas Everett WellsMorgan Stanley wirehouseSb Advisory, LLC otherOtherNov 6, 2017Nov 3, 2017
Ralph Edward TrecasoMorgan Stanley wirehouseSb Advisory, LLC otherOtherNov 6, 2017Nov 3, 2017
Christopher C WaltersMorgan Stanley wirehouseSb Advisory, LLC otherOtherNov 6, 2017Nov 3, 2017
Derrick GirardInvestment Centers Of America, Inc. otherSb Advisory, LLC otherOtherNov 3, 2017Nov 1, 2017
Charles Allen BirbaraMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseSb Advisory, LLC otherOtherSep 20, 2017Nov 8, 2017 (49 d)
Joseph WebbG. A. Repple & Company otherSb Advisory, LLC otherOtherJun 19, 2017Jan 17, 2018 (212 d)
Odalis Mercedes LopezG. A. Repple & Company otherSb Advisory, LLC otherOtherJun 16, 2017Oct 24, 2017 (130 d)
Daniel Edward PeltierRaymond James & Associates, Inc. national BDSb Advisory, LLC otherOtherMay 1, 2017Apr 26, 2017
Jay Alexander LizanichVoya Financial Advisors, Inc. otherSb Advisory, LLC otherOtherFeb 16, 2017Mar 2, 2017
Rodney KresgeFoothill Securities, Inc. otherSb Advisory, LLC BD affiliatedOtherDec 31, 2016Oct 26, 2018 (664 d)
Luis Jacob Alayo RieraRaymond James & Associates, Inc. national BDSb Advisory, LLC otherOtherDec 27, 2016Jun 2, 2017 (157 d)
Jay H LevyH. Beck, Inc. otherSb Advisory, LLC otherOtherDec 23, 2016Dec 6, 2016
Frank J BodiRealta Investment Advisors, Inc otherSb Advisory, LLC otherOtherSep 1, 2016Sep 2, 2016
Michael Franklin BreadyEagle Strategies LLC otherSb Advisory, LLC otherOtherJul 12, 2016Jul 12, 2016
Frank Dominic CortoSummit Financial Group Inc otherSb Advisory, LLC otherOtherJul 1, 2016Jul 1, 2016
Eric GraupenspergerSummit Financial Group Inc otherSb Advisory, LLC otherOtherJul 1, 2016Jul 8, 2016
Stephen Harlowe PrindleSummit Financial Group Inc otherSb Advisory, LLC otherOtherJul 1, 2016Jul 8, 2016
Adam SmithSummit Financial Group Inc otherSb Advisory, LLC otherOtherMar 22, 2016Apr 18, 2016
Robert Daniel SteinOsaic Fa, Inc. otherSb Advisory, LLC otherOtherMar 3, 2016Mar 17, 2016
Bradley Seth MayerMayer Financial Services Group, LLC unclassifiedSb Advisory, LLC otherOtherDec 31, 2015May 30, 2017 (516 d)
David Romeo DicensoSummit Financial Group Inc otherSb Advisory, LLC otherOtherDec 10, 2015Dec 4, 2015
Reed Norman LengelJ P Turner & Company Capital Management, LLC otherSb Advisory, LLC otherOtherDec 3, 2015Jan 6, 2016 (34 d)
Guy B DeemerOppenheimer & Co. Inc. otherSb Advisory, LLC otherOtherSep 29, 2015Jan 4, 2016 (97 d)
Bradley John DonnerJ P Turner & Company Capital Management, LLC otherSb Advisory, LLC otherOtherSep 11, 2015Sep 4, 2015
Jose Ivan Acosta JordanInvestacorp Advisory Services Inc otherSb Advisory, LLC otherOtherJul 30, 2015Jul 1, 2015
Julia Rong ChengGirard Securities, Inc. otherSb Advisory, LLC otherOtherJun 8, 2015Mar 27, 2017 (658 d)
Andrew Stephen RodgersBerthel Fisher & Company Financial Services, Inc. otherSb Advisory, LLC otherOtherMar 18, 2015Jun 30, 2015 (104 d)
Eric Martin RuthFirst American Securities, Inc. unclassifiedSb Advisory, LLC otherOtherFeb 2, 2015Jan 30, 2015
Meredith Denise SimsTransamerica Financial Advisors, LLC otherSb Advisory, LLC otherOtherDec 31, 2014Jan 13, 2015
Edward Heath BenwayThe Commonwealth Group no RAUMSb Advisory, LLC otherOtherDec 19, 2014Dec 1, 2016 (713 d)
Kenneth Shawn HyattRaymond James Financial Services Advisors, Inc otherSb Advisory, LLC otherOtherMar 24, 2014Apr 16, 2014
William Warren BellWells Fargo Advisors wirehouseSb Advisory, LLC otherOtherNov 19, 2013Nov 15, 2013
Cecelia Wynette FairfaxGwn Securities Inc. otherSb Advisory, LLC otherOtherMay 10, 2013May 17, 2013
Christopher Louis LicataPlatinum Planning, Inc. state registeredSb Advisory, LLC BD affiliatedOtherApr 25, 2013Nov 2, 2018 (2017 d)
Bruce Lee MusselmanNfsg Corporation otherSb Advisory, LLC otherOtherFeb 6, 2013Jul 10, 2013 (154 d)
James Todd NewtonNfsg Corporation otherSb Advisory, LLC otherOtherDec 31, 2012Jan 14, 2014 (379 d)
Joe Dennis MurrayAmeriprise Financial Services, LLC national BDSb Advisory, LLC otherOtherNov 8, 2012Aug 5, 2014 (635 d)
Stuart Alan EpleyAmeriprise Financial Services, LLC national BDSb Advisory, LLC otherOtherMay 9, 2012Oct 23, 2012 (167 d)
Lucien SanchezMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseSb Advisory, LLC otherOtherApr 24, 2012Aug 2, 2012 (100 d)
Jeffrey Rodriguez-AponteFreedom Advisory otherSb Advisory, LLC otherOtherApr 13, 2012Apr 12, 2012
Jared Scott FriedmanSynergy Investment Group, LLC otherSb Advisory, LLC otherOtherMar 6, 2012Mar 5, 2012
Patrick John FitzsimmonsMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseSb Advisory, LLC otherOtherNov 18, 2011Feb 2, 2012 (76 d)
Giuliana PelletierMorgan Stanley wirehouseSb Advisory, LLC otherOtherOct 14, 2011Feb 28, 2012 (137 d)
Kathryn Rene' BentonEquitable Advisors, LLC national BDSb Advisory, LLC otherOtherJul 11, 2011May 17, 2012 (311 d)
Brian Lon BiedermanIfs Securities unclassifiedSb Advisory, LLC otherOtherSep 20, 2010Sep 21, 2010
Daryl Anthony ArnettFifth Third Securities, Inc. otherSb Advisory, LLC otherOtherAug 11, 2010Nov 5, 2010 (86 d)
Brian Robin DunhillRaymond James & Associates, Inc. national BDSb Advisory, LLC otherOtherJul 26, 2010Jun 14, 2012 (689 d)
Joquinn Thomas SadlerIfs Securities unclassifiedSb Advisory, LLC otherOtherFeb 24, 2010Oct 4, 2011 (587 d)
Janet Marie Bentley-EwersMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseSb Advisory, LLC otherOtherNov 14, 2006Apr 16, 2012 (1980 d)
Page 2 of 2Previous
109 moves match.