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 Investment Professionals, 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
George Lee MontgomeryAllstate Financial Advisors, LLC no RAUMInvestment Professionals, Inc. otherOtherOct 3, 2014Oct 8, 2014
Thomas Lynn GreenLPL Financial LLC otherInvestment Professionals, Inc. otherOtherOct 2, 2014Oct 1, 2014
Kyle Eugene StroudLPL Financial LLC otherInvestment Professionals, Inc. otherOtherOct 2, 2014Oct 1, 2014
Patrick Boyd BryantLPL Financial LLC otherInvestment Professionals, Inc. otherOtherOct 2, 2014Oct 2, 2014
Marshall Earl JohnsonLPL Financial LLC otherInvestment Professionals, Inc. otherOtherAug 7, 2014Jul 10, 2014
Micah Lee HansonSpc otherInvestment Professionals, Inc. otherOtherAug 1, 2014Aug 13, 2014
Nicholas Alexander MunozPark Avenue Securities LLC otherInvestment Professionals, Inc. otherOtherJul 17, 2014Jun 26, 2014
Nicholas Adam BuffordPnc Wealth Management otherInvestment Professionals, Inc. otherOtherMar 25, 2014Mar 24, 2014
Stefan RainerMorgan Stanley wirehouseInvestment Professionals, Inc. otherOtherMar 20, 2014Jun 30, 2014 (102 d)
John Frank McshanRaymond James Financial Services Advisors, Inc otherInvestment Professionals, Inc. otherOtherMar 3, 2014Feb 28, 2014
Christina Tijerina FallinCetera Investment Advisers LLC otherInvestment Professionals, Inc. otherOtherMar 3, 2014Feb 28, 2014
Allen David AndesValic Financial Advisors, Inc. otherInvestment Professionals, Inc. otherOtherFeb 27, 2014Jan 31, 2014
Thomas Anthony DemattiEdward Jones national BDInvestment Professionals, Inc. otherOtherFeb 7, 2014Feb 6, 2014
Scott Dennis DillieNorthwestern Mutual Investment Services,LLC otherInvestment Professionals, Inc. otherOtherJan 27, 2014Jan 24, 2014
Donald Glen BishopLPL Financial LLC otherInvestment Professionals, Inc. otherOtherDec 23, 2013Dec 4, 2013
Christopher Owen MenserLPL Financial LLC otherInvestment Professionals, Inc. otherOtherDec 18, 2013Dec 13, 2013
Mark Christopher FreelandSignator Investors, Inc. otherInvestment Professionals, Inc. otherOtherNov 5, 2013Nov 13, 2013
Timothy Glenn ThrasherAdvisors Asset Management, Inc. otherInvestment Professionals, Inc. otherOtherOct 4, 2013Mar 24, 2014 (171 d)
James Moyer MillsEdward Jones national BDInvestment Professionals, Inc. otherOtherOct 1, 2013Sep 30, 2013
Jeff Allen FinkStratos Wealth Partners, Ltd otherInvestment Professionals, Inc. otherOtherOct 1, 2013Jun 19, 2015 (626 d)
Jocelyn CatesValic Financial Advisors, Inc. otherInvestment Professionals, Inc. otherOtherSep 19, 2013Sep 16, 2013
Rodney N BrownCambridge Investment Research Advisors, Inc. otherInvestment Professionals, Inc. otherOtherSep 10, 2013Aug 13, 2013
Christopher Jason BrownLPL Financial LLC otherInvestment Professionals, Inc. otherOtherSep 10, 2013Sep 3, 2013
Charles Ross CampbellConcourse Financial Group Advisors otherInvestment Professionals, Inc. otherOtherSep 6, 2013Sep 5, 2013
Matthew Paul MorinColumbia Management Investment Advisers, LLC otherInvestment Professionals, Inc. otherOtherAug 19, 2013Oct 15, 2013 (57 d)
David T. KeyEdward Jones national BDInvestment Professionals, Inc. otherOtherAug 6, 2013Aug 5, 2013
Bryan C NeillMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseInvestment Professionals, Inc. otherOtherAug 1, 2013Aug 1, 2013
Jessie Anthony FabianoMoney Concepts Advisory Service otherInvestment Professionals, Inc. otherOtherJul 31, 2013Jul 30, 2013
Timothy R WagenknechtMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseInvestment Professionals, Inc. otherOtherJul 30, 2013Jul 29, 2013
Michael Thomas SmithWells Fargo Advisors wirehouseInvestment Professionals, Inc. otherOtherJul 29, 2013Apr 17, 2014 (262 d)
Michael Edward FriedmanMps-Loria Financial Planners,LLC otherInvestment Professionals, Inc. otherOtherJul 1, 2013Sep 16, 2013 (77 d)
Anay Kumar SrivastavaBraymen, Lambert And Noel Securities, Ltd. unclassifiedInvestment Professionals, Inc. otherOtherJun 4, 2013Jun 3, 2013
James Bowles PenderMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseInvestment Professionals, Inc. otherOtherMay 31, 2013May 31, 2013
Kimberly S PowellJ.P. Morgan Securities LLC wirehouseInvestment Professionals, Inc. otherOtherMay 7, 2013May 8, 2013
Robert Mark GibsonUBS Financial Services Inc. wirehouseInvestment Professionals, Inc. otherOtherMar 25, 2013Jan 26, 2015 (672 d)
Robert Allen WojcikConcourse Financial Group Advisors otherInvestment Professionals, Inc. otherOtherFeb 13, 2013Jan 15, 2013
Denis HeddermanAmeriprise Financial Services, LLC national BDInvestment Professionals, Inc. otherOtherFeb 5, 2013Jan 31, 2013
Nicholas Justin DickinsonMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseInvestment Professionals, Inc. otherOtherJan 7, 2013Jan 8, 2013
Arthur Joseph SmithLPL Financial LLC otherInvestment Professionals, Inc. otherOtherDec 12, 2012Dec 3, 2012
Brian James SmithLPL Financial LLC otherInvestment Professionals, Inc. otherOtherDec 12, 2012Dec 3, 2012
Brent L BlausHuntington Financial Advisors otherInvestment Professionals, Inc. otherOtherNov 30, 2012Nov 21, 2012
Heather BranchEdward Jones national BDInvestment Professionals, Inc. otherOtherNov 1, 2012Nov 1, 2012
Amanda Marie DuranUsaa Financial Planning Services no RAUMInvestment Professionals, Inc. otherOtherOct 25, 2012Jun 3, 2013 (221 d)
Jason Michael StephensLPL Financial LLC otherInvestment Professionals, Inc. otherOtherOct 17, 2012Sep 24, 2012
Regina HartWells Fargo Advisors wirehouseInvestment Professionals, Inc. otherOtherSep 13, 2012Sep 10, 2012
Malcolm Bradley CainChase Investment Services Corp. otherInvestment Professionals, Inc. otherOtherSep 4, 2012Sep 10, 2012
Roberto De Jesus CantuMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseInvestment Professionals, Inc. otherOtherAug 30, 2012Apr 10, 2014 (588 d)
Gerald Steven ReedAdvisors Asset Management, Inc. otherInvestment Professionals, Inc. otherOtherJul 26, 2012Jan 3, 2018 (1987 d)
Robyn A YahnerAmeriprise Financial Services, LLC national BDInvestment Professionals, Inc. otherOtherJun 25, 2012Jun 15, 2012
Melissa Ann LongCitigroup Global Markets Inc. otherInvestment Professionals, Inc. otherOtherJun 25, 2012Jun 25, 2012
Kathy Burnett BartonLPL Financial LLC otherInvestment Professionals, Inc. otherOtherMay 29, 2012May 16, 2012
Martha L WeeksEdward Jones national BDInvestment Professionals, Inc. otherOtherMay 1, 2012Jun 25, 2012 (55 d)
Jessica Lynn UleryCetera Advisor Networks LLC otherInvestment Professionals, Inc. otherOtherApr 26, 2012Jul 16, 2012 (81 d)
Samuel T MortonChase Investment Services Corp. otherInvestment Professionals, Inc. otherOtherApr 17, 2012Apr 23, 2012
Bryan Roger LawrenceEdward Jones national BDInvestment Professionals, Inc. otherOtherMar 29, 2012Mar 28, 2012
Thomas Stephen CooperAmeriprise Financial Services, LLC national BDInvestment Professionals, Inc. otherOtherMar 23, 2012Mar 19, 2012
Jaime Lynn WynsmaCetera Investment Services LLC otherInvestment Professionals, Inc. otherOtherMar 5, 2012Feb 29, 2012
Randy Allan OlfersAdvisors Asset Management, Inc. otherInvestment Professionals, Inc. otherOtherFeb 10, 2012Mar 6, 2013 (390 d)
Alberto PuentesAdvisors Asset Management, Inc. otherInvestment Professionals, Inc. otherOtherJan 20, 2012Apr 3, 2012 (74 d)
Dustin Tyler MeadEdward Jones national BDInvestment Professionals, Inc. otherOtherJan 4, 2012Mar 21, 2012 (77 d)
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270 moves match.