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 Transamerica Financial Advisors, 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.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Rafael Mora | Fidelity Personal And Workplace Advisors BD affiliated | Transamerica Financial Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 6, 2023 | Aug 25, 2025 (719 d) |
| Aaron Anshin | Aaron Anshin & Associates LLC unclassified | Transamerica Financial Advisors, LLC BD affiliated | Other | Sep 6, 2023 | Jan 1, 2025 (483 d) |
| Alia S. Mendez-Taylor | Janney Montgomery Scott LLC BD affiliated | Transamerica Financial Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 5, 2023 | Aug 11, 2026 (1133 d) |
| Andrew T Pudenz | Morgan Stanley wirehouse | Transamerica Financial Advisors, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jun 26, 2023 | Jun 30, 2023 |
| Tina Tzu-Yi Tsao | Deutsche Bank Securities Inc. mixed wealth | Transamerica Financial Advisors, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Apr 7, 2023 | Feb 18, 2025 (683 d) |
| Jolene Kay Henn | Cuna Brokerage Services, Inc. BD affiliated | Transamerica Financial Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 30, 2023 | Sep 5, 2023 (159 d) |
| India Elliott | MML Investors Services, LLC BD affiliated | Transamerica Financial Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 28, 2023 | Apr 10, 2023 (41 d) |
| Jonathan Michael Richard | Valic Financial Advisors, Inc. BD affiliated | Transamerica Financial Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 19, 2023 | Mar 24, 2023 (64 d) |
| Gopinath P Chandra | Primerica Advisors national BD | Transamerica Financial Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 5, 2023 | Feb 13, 2023 (39 d) |
| John Michael Twomey | Edward Jones national BD | Transamerica Financial Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 19, 2022 | Aug 23, 2023 (247 d) |
| David Edwin Martinez | Wells Fargo Advisors wirehouse | Transamerica Financial Advisors, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 16, 2022 | Oct 24, 2024 (678 d) |
| Artur Garcia Engler-Pinto | Ernst & Young Investment Advisers Llp no RAUM | Transamerica Financial Advisors, LLC BD affiliated | Other | Nov 8, 2022 | Oct 13, 2023 (339 d) |
| Jamel Evan Wright | Primerica Advisors national BD | Transamerica Financial Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 1, 2022 | Apr 12, 2023 (162 d) |
| Trang Minh Hoang | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Transamerica Financial Advisors, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 3, 2022 | Jan 26, 2023 (115 d) |
| Anton Joseph Halka | Allstate Financial Advisors, LLC BD affiliated | Transamerica Financial Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 29, 2022 | Dec 8, 2023 (435 d) |
| Eric Keith King | My Financial Group, Ltd. unclassified | Transamerica Financial Advisors, LLC other | Other | Sep 26, 2022 | Sep 4, 2009 |
| Jennifer Elaine Yeater | My Financial Group, Ltd. unclassified | Transamerica Financial Advisors, LLC other | Other | Sep 26, 2022 | Sep 4, 2009 |
| Steven Brant Rose | Northwestern Mutual Investment Services,LLC no RAUM | Transamerica Financial Advisors, LLC BD affiliated | Other | Sep 20, 2022 | Sep 17, 2024 (728 d) |
| Shakeeb H Syed | Allstate Financial Advisors, LLC BD affiliated | Transamerica Financial Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 1, 2022 | Feb 2, 2023 (154 d) |
| Stanley William Smrke | Tandem Wealth Advisors independent RIA | Transamerica Financial Advisors, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jul 7, 2022 | May 19, 2023 (316 d) |
| Christina D Kramer | Primerica Advisors national BD | Transamerica Financial Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 1, 2022 | Jun 15, 2022 |
| Thomas Jonghwa Lee | J.P. Morgan Securities LLC wirehouse | Transamerica Financial Advisors, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 18, 2022 | Apr 25, 2024 (708 d) |
| Ronald Edward Groves | Statera Financial, LLC state registered | Transamerica Financial Advisors, LLC BD affiliated | Other | Apr 19, 2022 | May 1, 2024 (743 d) |
| Janet Herdman Dukes | Avantax Advisory Services BD affiliated | Transamerica Financial Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 7, 2022 | Apr 20, 2022 |
| Brett Richard Polzin | Schwab Wealth Advisory, Inc. no RAUM | Transamerica Financial Advisors, LLC BD affiliated | Other | Apr 1, 2022 | Feb 10, 2023 (315 d) |
| Dilmurod S Adkhamov | Mutual Of Omaha Investor Services, Inc. no RAUM | Transamerica Financial Advisors, LLC BD affiliated | Other | Mar 15, 2022 | Apr 20, 2022 (36 d) |
| Tanni J. Gibson | J.P. Morgan Securities LLC wirehouse | Transamerica Financial Advisors, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Mar 2, 2022 | Sep 18, 2023 (565 d) |
| Catherine Patrice Garcia | Edward Jones national BD | Transamerica Financial Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 1, 2022 | Mar 18, 2022 |
| Brett B Megrue | D.A. Davidson & Co. independent RIA | Transamerica Financial Advisors, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Feb 22, 2022 | Feb 24, 2022 |
| Deepa Gibbons | A.G. Morgan Financial Advisors, LLC independent RIA | Transamerica Financial Advisors, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Feb 4, 2022 | Feb 7, 2022 |
| Shkira Singh | Supreme Alliance LLC independent RIA | Transamerica Financial Advisors, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Feb 2, 2022 | Mar 1, 2023 (392 d) |
| Josue E. Flores | Citigroup Global Markets Inc. BD affiliated | Transamerica Financial Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 1, 2022 | Jul 28, 2022 (177 d) |
| Jamie Michael Johnson | Ip Financial Advisory Services LLC BD affiliated | Transamerica Financial Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 1, 2022 | Feb 11, 2022 |
| Sean Michael Facey | Edward Jones national BD | Transamerica Financial Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 27, 2022 | Jul 6, 2023 (525 d) |
| Nicholas Mcgovern Raupp | Oneamerica Securities, Inc. BD affiliated | Transamerica Financial Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 10, 2021 | Dec 13, 2021 |
| Matthew John Short | Oneamerica Securities, Inc. BD affiliated | Transamerica Financial Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 24, 2021 | Apr 5, 2022 (132 d) |
| Qiang Lu | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Transamerica Financial Advisors, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Nov 12, 2021 | May 5, 2025 (1270 d) |
| Nathan A Smith | Ameriprise Financial Services, LLC national BD | Transamerica Financial Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 3, 2021 | Dec 8, 2021 (35 d) |
| Denise Marie Daugherty | Cetera Advisor Networks LLC BD affiliated | Transamerica Financial Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 22, 2021 | Nov 18, 2021 |
| Yongyi Fan | Tlg Advisors, Inc. BD affiliated | Transamerica Financial Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 1, 2021 | Oct 20, 2021 |
| Cary Peter Green | Margo Park Financial state registered | Transamerica Financial Advisors, LLC BD affiliated | Other | Sep 10, 2021 | Oct 13, 2021 (33 d) |
| Jason Frank Wetmore | Waddell & Reed BD affiliated | Transamerica Financial Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 23, 2021 | Jul 15, 2022 (326 d) |
| Yehudah Judah | Prime Opportunities Investment Group LLC state registered | Transamerica Financial Advisors, LLC BD affiliated | Other | Jul 20, 2021 | Mar 12, 2025 (1331 d) |
| Latricia Peck | Key Investment Services LLC BD affiliated | Transamerica Financial Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 15, 2021 | Jul 20, 2021 |
| Rodger A Jordan | Pnc Wealth Management BD affiliated | Transamerica Financial Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 23, 2021 | Mar 23, 2022 (273 d) |
| Joyce Ghu | MML Investors Services, LLC BD affiliated | Transamerica Financial Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 11, 2021 | Jun 25, 2021 |
| Carol A. Rosenstock | J.P. Morgan Securities LLC wirehouse | Transamerica Financial Advisors, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 26, 2021 | Jun 3, 2021 |
| Eric Todd Harris | Pruco Securities, LLC BD affiliated | Transamerica Financial Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 23, 2021 | Oct 12, 2021 (172 d) |
| Theresa Ayers | Ascensus Investment Advisors, LLC institutional | Transamerica Financial Advisors, LLC BD affiliated | Other | Feb 16, 2021 | Jan 18, 2023 (701 d) |
| Chase Fryer | Huntington Financial Advisors BD affiliated | Transamerica Financial Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 9, 2021 | May 14, 2021 (94 d) |
| Andrew Michael Machenheimer | Td Ameritrade, Inc. no RAUM | Transamerica Financial Advisors, LLC BD affiliated | Other | Jan 11, 2021 | Jun 10, 2021 (150 d) |
| Carlo Berti | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Transamerica Financial Advisors, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 17, 2020 | Dec 19, 2024 (1463 d) |
| Robert C Hall | International Assets Investment Management, LLC BD affiliated | Transamerica Financial Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 2, 2020 | Feb 8, 2021 (98 d) |
| Shelly Marie Malone | Allstate Financial Advisors, LLC BD affiliated | Transamerica Financial Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 29, 2020 | Sep 29, 2020 |
| Ronald Edward Wilson | Allstate Financial Advisors, LLC BD affiliated | Transamerica Financial Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 9, 2020 | Sep 17, 2020 |
| Raymond Hao Wong | Osaic Wealth, Inc. BD affiliated | Transamerica Financial Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 2, 2020 | Nov 9, 2020 (68 d) |
| Olaf Boris Kinstler | Pruco Securities, LLC BD affiliated | Transamerica Financial Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 25, 2020 | Sep 29, 2025 (1861 d) |
| Dakota Loray Best | Edward Jones national BD | Transamerica Financial Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 25, 2020 | Feb 2, 2023 (891 d) |
| Graham Edward Macneill | B. Riley Wealth Advisors, Inc. BD affiliated | Transamerica Financial Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 24, 2020 | Aug 26, 2020 (33 d) |
| Matthew Joseph Campbell | Pruco Securities, LLC BD affiliated | Transamerica Financial Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 16, 2020 | Dec 16, 2020 (153 d) |
537 moves match.