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 Harbour Investments, 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.

AdvisorFromToTypeLeftRegistered
Tyler Dean SassAssociated Investment Services, Inc. independent RIAHarbour Investments, Inc. independent RIARIA to RIAJun 2, 2021Jun 1, 2021
Stephen Gerard SmithLPL Financial LLC BD affiliatedHarbour Investments, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAMay 24, 2021May 13, 2021
Jeffrey Charles JanewayArbor Point Advisors BD affiliatedHarbour Investments, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAApr 27, 2021Apr 22, 2021
Valerie SaucedoSecurities America Advisors, Inc. BD affiliatedHarbour Investments, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAApr 27, 2021Apr 22, 2021
Nathan Lee OlsenEdward Jones national BDHarbour Investments, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAMar 9, 2021Jan 6, 2022 (303 d)
Sandra Naomi EichelNorthwestern Mutual Investment Services,LLC no RAUMHarbour Investments, Inc. independent RIAOtherMar 4, 2021Feb 16, 2021
Kim Diane WoodenCompass Financial Advisors LLC independent RIAHarbour Investments, Inc. independent RIARIA to RIAJan 6, 2021Jan 5, 2021
James Wesley PfeilCalton & Associates, Inc. independent RIAHarbour Investments, Inc. independent RIARIA to RIANov 12, 2020Nov 12, 2020
Christian Joel O'ConnorCalton & Associates, Inc. independent RIAHarbour Investments, Inc. independent RIARIA to RIANov 12, 2020Nov 12, 2020
George James ZeckKovack Advisors, Inc. BD affiliatedHarbour Investments, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAAug 27, 2020Oct 20, 2023 (1149 d)
Connor John BausermanGasaway Investment Advisors, Inc. otherHarbour Investments, Inc. independent RIAOtherAug 21, 2020Aug 5, 2020
Kim I MarshallCreative Financial Designs, Inc. BD affiliatedHarbour Investments, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAMar 4, 2020Jan 7, 2022 (674 d)
Ian C DickCompass Financial Advisors LLC independent RIAHarbour Investments, Inc. independent RIARIA to RIAMar 4, 2020Feb 5, 2020
Michael J SkalaAvantax Advisory Services BD affiliatedHarbour Investments, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAOct 18, 2019Oct 10, 2019
Herbert Frederick AllenSummit Financial Group Inc BD affiliatedHarbour Investments, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAAug 26, 2019Sep 9, 2019
Travis Leigh BatorAmeriprise Financial Services, LLC national BDHarbour Investments, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAAug 13, 2019Feb 8, 2021 (545 d)
Jennifer Michelle HipkissThrivent Investment Management Inc. BD affiliatedHarbour Investments, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAJul 18, 2019Aug 6, 2019
Sandy Kaye DerbyLPL Financial LLC independent RIAHarbour Investments, Inc. independent RIARIA to RIAJun 19, 2019Jul 23, 2019 (34 d)
Daniel OsbornMML Investors Services, LLC BD affiliatedHarbour Investments, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAFeb 19, 2019Feb 14, 2019
Joshua Michael RyanCornerstone Wealth Management, LLC independent RIAHarbour Investments, Inc. independent RIARIA to RIAJan 31, 2019Jan 17, 2025 (2178 d)
Keith Arvid WicklundCornerstone Wealth Management, LLC independent RIAHarbour Investments, Inc. independent RIARIA to RIAJan 31, 2019Feb 2, 2019
Brock Anthony WeaverLoucks & Weaver Financial, Inc. unclassifiedHarbour Investments, Inc. otherOtherNov 26, 2018Nov 3, 2015
Laurie Ann Ellis-McleodInternational Assets Investment Management, LLC BD affiliatedHarbour Investments, Inc. independent RIAAffiliated broker-dealer or bank to independent RIANov 19, 2018Nov 2, 2018
Lawrence Joseph KimmelAusdal Financial Partners, Inc. independent RIAHarbour Investments, Inc. independent RIARIA to RIASep 28, 2018Sep 28, 2018
Jeffrey Charles BusbeeSecurian Financial Services, Inc. BD affiliatedHarbour Investments, Inc. independent RIAAffiliated broker-dealer or bank to independent RIASep 10, 2018Aug 17, 2018
Kimberly Lynn NiedfeldtTransamerica Financial Advisors, LLC BD affiliatedHarbour Investments, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAJun 13, 2018Apr 22, 2020 (679 d)
Jeffrey Alan JahnkeWoodbury Financial Services, Inc. BD affiliatedHarbour Investments, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAMay 29, 2018May 17, 2018
Heather Lynn FosterUSA Financial Securities LLC independent RIAHarbour Investments, Inc. independent RIARIA to RIAMay 23, 2018May 22, 2018
John Clarence BoddenAnnex Wealth Management, LLC independent RIAHarbour Investments, Inc. independent RIARIA to RIAApr 16, 2018Apr 16, 2018
Eric D IwanskiWoodbury Financial Services, Inc. BD affiliatedHarbour Investments, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAMar 2, 2018Apr 5, 2018 (34 d)
Mark Allen HerdingCambridge Investment Research Advisors, Inc. otherHarbour Investments, Inc. otherOtherFeb 14, 2018Feb 1, 2018
Neal Alexander ThompsonCambridge Investment Research Advisors, Inc. otherHarbour Investments, Inc. otherOtherJan 30, 2018Jan 12, 2018
Myra K AlportCambridge Investment Research Advisors, Inc. otherHarbour Investments, Inc. otherOtherJan 22, 2018Feb 12, 2018
Denise Ann JaehnkeGlobal Financial Private Capital, Inc. otherHarbour Investments, Inc. otherOtherDec 31, 2017Jan 2, 2018
Mark Allen ThompsonTransamerica Financial Advisors, LLC otherHarbour Investments, Inc. otherOtherDec 19, 2017Dec 18, 2017
Douglas James WaelchliSii Investments, Inc. otherHarbour Investments, Inc. otherOtherDec 8, 2017Dec 11, 2017
Alan Lloyd WinsandCambridge Investment Research Advisors, Inc. otherHarbour Investments, Inc. otherOtherSep 27, 2017Sep 7, 2017
Jeremy A ArgueCambridge Investment Research Advisors, Inc. otherHarbour Investments, Inc. otherOtherSep 27, 2017Sep 7, 2017
Jeffrey Jay LambCambridge Investment Research Advisors, Inc. otherHarbour Investments, Inc. otherOtherSep 27, 2017Sep 7, 2017
Kyle William FrenchCambridge Investment Research Advisors, Inc. otherHarbour Investments, Inc. otherOtherSep 27, 2017Sep 7, 2017
Thomas Arthur BrienMML Investors Services, LLC otherHarbour Investments, Inc. otherOtherSep 11, 2017Sep 8, 2017
Evan W KluttzStark Financial Advisers, Inc. independent RIAHarbour Investments, Inc. otherOtherJun 6, 2017Jun 6, 2017
Mark Gerard SweeneyCapital Financial Services, Inc. otherHarbour Investments, Inc. otherOtherApr 13, 2017Apr 13, 2017
Roger Dale HaagNext Financial Group, Inc. otherHarbour Investments, Inc. otherOtherFeb 21, 2017Feb 17, 2017
Ralph Alton WoodNext Financial Group, Inc. otherHarbour Investments, Inc. otherOtherFeb 17, 2017Feb 17, 2017
William Scott DijakNext Financial Group, Inc. otherHarbour Investments, Inc. otherOtherFeb 13, 2017Feb 10, 2017
Bryan Scott GraczykNext Financial Group, Inc. otherHarbour Investments, Inc. otherOtherFeb 13, 2017Feb 10, 2017
Jill Marie SommersLPL Financial LLC otherHarbour Investments, Inc. otherOtherJan 28, 2017Jan 10, 2017
Mark Alan WolterLPL Financial LLC otherHarbour Investments, Inc. otherOtherDec 7, 2016Nov 18, 2016
Jared Scott MillerKorhorn Financial Group otherHarbour Investments, Inc. otherOtherDec 1, 2016Jan 30, 2017 (60 d)
Marshall Deon MennengaWoodbury Financial Services, Inc. otherHarbour Investments, Inc. otherOtherOct 27, 2016Oct 21, 2016
Patrick Charles FosdickWoodbury Financial Services, Inc. otherHarbour Investments, Inc. otherOtherOct 27, 2016Oct 21, 2016
Megan E DornWoodbury Financial Services, Inc. otherHarbour Investments, Inc. otherOtherOct 27, 2016Oct 21, 2016
Royce P KurtzWoodbury Financial Services, Inc. otherHarbour Investments, Inc. otherOtherOct 27, 2016Oct 21, 2016
Lloyd Wendell MennengaWoodbury Financial Services, Inc. otherHarbour Investments, Inc. otherOtherOct 26, 2016Oct 21, 2016
James Earl EwingWoodbury Financial Services, Inc. otherHarbour Investments, Inc. otherOtherOct 26, 2016Oct 21, 2016
Tony Scott MennengaWoodbury Financial Services, Inc. otherHarbour Investments, Inc. otherOtherOct 26, 2016Oct 21, 2016
Mark Alan ZierathWoodbury Financial Services, Inc. otherHarbour Investments, Inc. otherOtherOct 26, 2016Oct 21, 2016
Taylor John RobsonWoodbury Financial Services, Inc. otherHarbour Investments, Inc. otherOtherOct 26, 2016Oct 21, 2016
Carl Ross KielbasaFifth Third Securities, Inc. otherHarbour Investments, Inc. otherOtherSep 6, 2016Aug 31, 2016
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183 moves match.