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 Sii 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
Susan M PowellRaymond James Financial Services Advisors, Inc otherSii Investments, Inc. otherOtherOct 20, 2014Oct 22, 2014
Kathleen Honor MccarthyAmeriprise Financial Services, LLC national BDSii Investments, Inc. otherOtherOct 8, 2014Oct 3, 2014
Gregory Steven CasperMML Investors Services, LLC otherSii Investments, Inc. otherOtherAug 21, 2014Aug 13, 2014
James Lavern CoxAvantax Advisory Services otherSii Investments, Inc. otherOtherAug 13, 2014Aug 1, 2014
Alissa Rochelle OskeyEmployer Retirement Investment Advisors, LLC otherSii Investments, Inc. otherOtherJul 25, 2014Aug 15, 2014
George Edward MillerLPL Financial LLC otherSii Investments, Inc. otherOtherJul 9, 2014Jul 1, 2014
James Boyd SpeightsLPL Financial LLC otherSii Investments, Inc. otherOtherMay 28, 2014May 15, 2014
Matthew A HobsonCuso Financial Services, L.P. otherSii Investments, Inc. otherOtherMay 16, 2014Jul 9, 2014 (54 d)
Jesse David WagnerNorthwestern Mutual Investment Services,LLC otherSii Investments, Inc. otherOtherMar 24, 2014Nov 4, 2014 (225 d)
Kevin E RustFirst Allied Advisory Services, Inc. otherSii Investments, Inc. otherOtherMar 20, 2014Mar 5, 2014
Chris Lee GrosskreutzSagepoint Financial, Inc. otherSii Investments, Inc. otherOtherMar 7, 2014Mar 6, 2014
Rodney Kent WilsonConcourse Financial Group Advisors otherSii Investments, Inc. otherOtherMar 5, 2014Feb 18, 2014
Michael Robert HaasLPL Financial LLC otherSii Investments, Inc. otherOtherMar 3, 2014Feb 24, 2014
Carey Michael WolfLPL Financial LLC otherSii Investments, Inc. otherOtherFeb 27, 2014Feb 19, 2014
Sarah M Zirbel NowakMML Investors Services, LLC otherSii Investments, Inc. otherOtherDec 31, 2013Dec 23, 2015 (722 d)
Denise Elaine IarrobinoUBS Financial Services Inc. wirehouseSii Investments, Inc. otherOtherDec 24, 2013Nov 3, 2014 (314 d)
Melody Marie GressickLPL Financial LLC otherSii Investments, Inc. otherOtherDec 16, 2013Dec 6, 2013
Greg Alan SchroederLPL Financial LLC otherSii Investments, Inc. otherOtherNov 27, 2013Dec 6, 2013
Michael Joseph FerakWaddell & Reed otherSii Investments, Inc. otherOtherNov 22, 2013Jan 2, 2014 (41 d)
Brian Todd BishopFirst Allied Advisory Services, Inc. otherSii Investments, Inc. otherOtherNov 19, 2013Nov 13, 2013
Curtis Brian MagureanChicago Capital Management Advisors, LLC otherSii Investments, Inc. otherOtherNov 12, 2013Oct 2, 2013
Cynthia D O'ConnellLPL Financial LLC otherSii Investments, Inc. otherOtherNov 6, 2013Oct 17, 2013
Richard James HavenridgeCalton & Associates, Inc. otherSii Investments, Inc. otherOtherOct 22, 2013Oct 21, 2013
Lisa Eileen DregnePruco Securities, LLC otherSii Investments, Inc. otherOtherOct 8, 2013Oct 22, 2013
Kevin Allan KrugerGeneos Wealth Management, Inc. otherSii Investments, Inc. otherOtherOct 1, 2013Oct 1, 2013
Lawrence William SchierlThrivent Investment Management Inc. otherSii Investments, Inc. otherOtherSep 19, 2013May 6, 2015 (594 d)
Zachary Allen KnutsonFsb Premier Wealth Management, Inc. otherSii Investments, Inc. otherOtherSep 12, 2013Sep 19, 2013
James Joseph MeehanNorthwestern Mutual Investment Services,LLC otherSii Investments, Inc. otherOtherSep 9, 2013Sep 6, 2013
Ryan Christopher PanzerNorthwestern Mutual Investment Services,LLC otherSii Investments, Inc. otherOtherSep 9, 2013Sep 6, 2013
Russell Eugene KenitzerCapital Financial Services, Inc. otherSii Investments, Inc. otherOtherAug 23, 2013Aug 22, 2013
Joseph Charles RoubikCapital Financial Services, Inc. otherSii Investments, Inc. otherOtherAug 23, 2013Aug 22, 2013
Nicholas George HasslerPackerland Brokerage Services, Inc. otherSii Investments, Inc. otherOtherAug 23, 2013Aug 22, 2013
Jason Lee OpieWoodbury Financial Services, Inc. otherSii Investments, Inc. otherOtherAug 16, 2013Aug 14, 2013
Joseph Michael SenglaubHarbour Investments, Inc. otherSii Investments, Inc. otherOtherAug 15, 2013Aug 12, 2013
Michael Robert MckillipPackerland Brokerage Services, Inc. otherSii Investments, Inc. otherOtherJul 19, 2013Jul 19, 2013
James Wirt HyndmanPackerland Brokerage Services, Inc. otherSii Investments, Inc. otherOtherJul 19, 2013Jul 19, 2013
Paul Daniel CulbertsonPackerland Brokerage Services, Inc. otherSii Investments, Inc. otherOtherJul 19, 2013Jul 19, 2013
David Robert DemoreLPL Financial LLC otherSii Investments, Inc. otherOtherJul 18, 2013Jul 17, 2013
Kristina Elizabeth SchnuckelLandaas & Company otherSii Investments, Inc. otherOtherJun 14, 2013Jul 8, 2013
Todd G PiontekMorgan Stanley wirehouseSii Investments, Inc. otherOtherJun 13, 2013May 17, 2013
Jeff J. KimMML Investors Services, LLC otherSii Investments, Inc. otherOtherMay 15, 2013May 9, 2013
Nancy Joeann TushRuggie Wealth Management otherSii Investments, Inc. otherOtherMar 22, 2013May 14, 2013 (53 d)
David BotwinickEquitable Advisors, LLC national BDSii Investments, Inc. otherOtherMar 19, 2013Mar 18, 2013
Craig Donald RuschSagepoint Financial, Inc. otherSii Investments, Inc. otherOtherMar 18, 2013Mar 14, 2013
Todd Mckinley CherryPackerland Brokerage Services, Inc. otherSii Investments, Inc. otherOtherMar 14, 2013Mar 14, 2013
Nathan James VanstippenPackerland Brokerage Services, Inc. otherSii Investments, Inc. otherOtherMar 14, 2013Mar 14, 2013
John Joseph HoppAmeriprise Financial Services, LLC national BDSii Investments, Inc. otherOtherFeb 20, 2013Feb 15, 2013
Laurie Kay SimonsUsaa Financial Planning Services no RAUMSii Investments, Inc. otherOtherFeb 20, 2013Oct 3, 2013 (225 d)
Jordan Joseph HoppAmeriprise Financial Services, LLC national BDSii Investments, Inc. otherOtherFeb 13, 2013Feb 8, 2013
Christian John CyrPrincipal Securities, Inc. otherSii Investments, Inc. otherOtherDec 10, 2012Dec 3, 2012
Suzanne Lynn DanielCapstone Wealth Management Group, LLC otherSii Investments, Inc. otherOtherDec 5, 2012Sep 8, 2015 (1007 d)
Brian HeissMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseSii Investments, Inc. otherOtherDec 4, 2012Jan 2, 2013
Steven David KurlandNew England Securities Corporation otherSii Investments, Inc. otherOtherNov 21, 2012Nov 19, 2012
Todd Michael GerbigMsi Financial Services, Inc. otherSii Investments, Inc. otherOtherNov 6, 2012Oct 31, 2012
Jessica Lynn ColeOneamerica Securities, Inc. otherSii Investments, Inc. otherOtherSep 11, 2012Aug 29, 2012
Levi Donald CutlerRetirement Plan Advisors, LLC otherSii Investments, Inc. otherOtherAug 13, 2012Aug 31, 2012
Anthony Joseph GaiffeSchwab Wealth Advisory, Inc. otherSii Investments, Inc. otherOtherJul 30, 2012Aug 2, 2012
Michael Edward HallaAmeriprise Financial Services, LLC national BDSii Investments, Inc. otherOtherJul 19, 2012Jun 21, 2012
Richard Allan ThompsonMorgan Stanley wirehouseSii Investments, Inc. otherOtherJul 17, 2012Jul 12, 2012
Gary Irwin NadolskyTower Square Securities, Inc. otherSii Investments, Inc. otherOtherJul 13, 2012Jul 10, 2012
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300 moves match.