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 Investors Capital Advisory

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
Scott Edwin Jones	Ameriprise Financial Services, LLC national BD	Investors Capital Advisory other	Other	Sep 19, 2011	Sep 16, 2011
Michael Stephen Wallman	Securities America Advisors, Inc. other	Investors Capital Advisory other	Other	Aug 30, 2011	Oct 3, 2011 (34 d)
Kenneth James Beber	National Planning Corporation ("Npc Of America" In Fl & Ny) other	Investors Capital Advisory other	Other	Aug 16, 2011	Aug 23, 2011
Steven John Rudnyai	Raymond James Financial Services Advisors, Inc other	Investors Capital Advisory other	Other	Mar 9, 2011	Apr 1, 2011
Gilbert Adan Cortez	Edward Jones national BD	Investors Capital Advisory other	Other	Feb 23, 2011	Feb 18, 2011
Kevin Hebson	Fintegra, LLC other	Investors Capital Advisory other	Other	Dec 6, 2010	Nov 30, 2010
Marc Barton	LPL Financial LLC other	Investors Capital Advisory other	Other	Nov 9, 2010	Nov 3, 2010
Katherine Salome Horgan	Raymond James Financial Services Advisors, Inc other	Investors Capital Advisory other	Other	Nov 1, 2010	Nov 1, 2010
John Christopher Sherwin	LPL Financial LLC other	Investors Capital Advisory other	Other	Oct 6, 2010	Sep 28, 2010
Tyler W Armstrong	LPL Financial LLC other	Investors Capital Advisory other	Other	Sep 27, 2010	Sep 16, 2010
James A Franklin	Next Financial Group, Inc. other	Investors Capital Advisory other	Other	Sep 22, 2010	Sep 30, 2010
David Ervin Denniston	Snider Financial Group other	Investors Capital Advisory other	Other	Sep 14, 2010	Jul 11, 2008
Melvin Harvey Lawrence	Edward Jones national BD	Investors Capital Advisory other	Other	Aug 11, 2010	Aug 12, 2010
Michael Stephen Jones	Nationwide Securities, LLC no RAUM	Investors Capital Advisory other	Other	Jul 7, 2010	Jul 6, 2010
Lynn Smeraldo	First Allied Securities, Inc. other	Investors Capital Advisory other	Other	May 27, 2010	May 27, 2010
Nancy Ann Hornberger	Morgan Stanley wirehouse	Investors Capital Advisory other	Other	Apr 21, 2010	Jul 16, 2010 (86 d)
William S Rogers	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Investors Capital Advisory other	Other	Apr 8, 2010	Mar 27, 2012 (719 d)
Jeffrey Michael Davis	Sii Investments, Inc. other	Investors Capital Advisory other	Other	Apr 1, 2010	Mar 26, 2010
Daryl Miller	Gunnallen Financial, Inc unclassified	Investors Capital Advisory other	Other	Mar 30, 2010	Oct 1, 2010 (185 d)
Frederick Scott Lowe	UBS Financial Services Inc. wirehouse	Investors Capital Advisory other	Other	Mar 12, 2010	Mar 5, 2010
Thomas Howard Payne	Commonwealth Financial Network national BD	Investors Capital Advisory other	Other	Feb 19, 2010	Feb 16, 2010
Frank Christian Germano	Tower Square Securities, Inc. other	Investors Capital Advisory other	Other	Feb 11, 2010	Feb 8, 2010
Albert William Bergmann	Chase Investment Services Corp. other	Investors Capital Advisory other	Other	Feb 5, 2010	Feb 2, 2010
Brandon Mark Judd	Sii Investments, Inc. other	Investors Capital Advisory other	Other	Jan 8, 2010	Jan 8, 2010
Jeffrey Scott Engler	Tower Square Securities, Inc. other	Investors Capital Advisory other	Other	Dec 31, 2009	Jan 4, 2010
Wendy Lesa Gipson-Fitzpatrick	B.B. Graham & Company, Inc. other	Investors Capital Advisory other	Other	Dec 16, 2009	Dec 16, 2009
Timothy Joseph Keane	B.B. Graham & Company, Inc. other	Investors Capital Advisory other	Other	Dec 16, 2009	Dec 9, 2009
Matthew Little	B.B. Graham & Company, Inc. other	Investors Capital Advisory other	Other	Dec 16, 2009	Dec 8, 2009
Vincent Paul Grimaldi	B.B. Graham & Company, Inc. other	Investors Capital Advisory other	Other	Dec 16, 2009	Dec 8, 2009
Jason Thomas Longtin	B.B. Graham & Company, Inc. other	Investors Capital Advisory other	Other	Dec 16, 2009	Dec 16, 2009
Steven Joseph Amico	B.B. Graham & Company, Inc. other	Investors Capital Advisory other	Other	Dec 16, 2009	Dec 8, 2009
Mark Andrew Kovacs	Bpu Investment Management, Inc. other	Investors Capital Advisory other	Other	Oct 27, 2009	Sep 29, 2009
Daniel Charles Regan	Banc Of America Investment Services, Inc. unclassified	Investors Capital Advisory other	Other	Oct 20, 2009	Nov 3, 2009
Roberto Alexandro Blanco	LPL Financial LLC other	Investors Capital Advisory other	Other	Sep 16, 2009	Sep 3, 2009
Maria Domenica Delre	Waterstone Financial Group, Inc. unclassified	Investors Capital Advisory other	Other	Sep 4, 2009	Sep 4, 2009
Richard W Rogers	Mutual Service Corporation unclassified	Investors Capital Advisory other	Other	Sep 1, 2009	Sep 8, 2009
David Todd Harding	Next Financial Group, Inc. other	Investors Capital Advisory other	Other	Aug 28, 2009	Aug 12, 2009
Monica Salaiz Narvaez	Securian Financial Services, Inc. other	Investors Capital Advisory other	Other	Aug 26, 2009	Aug 28, 2009
Henry Gallardo	Securian Financial Services, Inc. other	Investors Capital Advisory other	Other	Aug 26, 2009	Aug 28, 2009
Kristian John Coffey	Banc Of America Investment Services, Inc. unclassified	Investors Capital Advisory other	Other	Aug 17, 2009	Aug 18, 2009
Donna Maria Seymour	Banc Of America Investment Services, Inc. unclassified	Investors Capital Advisory other	Other	Aug 6, 2009	Aug 13, 2009
Jack Cavin Holland	Magis Financial Partners other	Investors Capital Advisory other	Other	Jul 7, 2009	Dec 11, 2008
Jeffrey Andrews Whyte	Banc Of America Investment Services, Inc. unclassified	Investors Capital Advisory other	Other	May 20, 2009	May 18, 2009
Guy William Keefer	Cincinnati Analysts, Inc other	Investors Capital Advisory other	Other	May 15, 2009	May 18, 2009
Kevin Michael Brown	Cincinnati Analysts, Inc other	Investors Capital Advisory other	Other	May 15, 2009	May 18, 2009
Peter Thomas Kisver	Cincinnati Analysts, Inc other	Investors Capital Advisory other	Other	May 15, 2009	May 15, 2009
Stephen John Donnelly	Commonwealth Financial Network national BD	Investors Capital Advisory other	Other	Mar 16, 2009	Feb 27, 2009
Jane An	LPL Financial LLC other	Investors Capital Advisory other	Other	Mar 16, 2009	Mar 16, 2009
Javier Alejandro Vallejo	LPL Financial LLC other	Investors Capital Advisory other	Other	Mar 16, 2009	Mar 13, 2009
Jeffrey Lynn Toadvine	Commonwealth Financial Network national BD	Investors Capital Advisory other	Other	Feb 2, 2009	Feb 2, 2009
Jeffrey Robert Mishol	Banc Of America Investment Services, Inc. unclassified	Investors Capital Advisory other	Other	Jan 30, 2009	Feb 5, 2009
Julie Lynn Phillips	Ingram Advisory Services, LLC other	Investors Capital Advisory other	Other	Jan 20, 2009	Jun 27, 2006
Kevin Patrick Oneill	Equitable Advisors, LLC national BD	Investors Capital Advisory other	Other	Sep 23, 2008	Sep 30, 2008
Michael Glenn Seymour	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Investors Capital Advisory other	Other	Sep 16, 2008	Oct 20, 2008 (34 d)
Ralph Carbone	Banc Of America Investment Services, Inc. unclassified	Investors Capital Advisory other	Other	Sep 9, 2008	Sep 5, 2008
Travis Jerome Hughes	Equitable Advisors, LLC national BD	Investors Capital Advisory other	Other	Aug 22, 2008	Sep 24, 2008 (33 d)
Ward Wesley Molen	1st Global Advisors Inc other	Investors Capital Advisory other	Other	Jun 5, 2008	Jun 10, 2008
Timothy Boyle Murphy	Eastern Point Advisors Inc. unclassified	Investors Capital Advisory other	Other	May 5, 2008	Mar 2, 2004
Gerard George Figari	Loyd Capital Performance Partners, Inc. unclassified	Investors Capital Advisory other	Other	Apr 11, 2008	Jun 9, 2008 (59 d)
Brian George Vanhouwe	Securian Financial Services, Inc. other	Investors Capital Advisory other	Other	Mar 4, 2008	May 16, 2008 (73 d)

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207 moves match.