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 Osaic Fs, 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.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Hoss Esmaeili | Wells Fargo Advisors wirehouse | Osaic Fs, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 2, 2020 | Dec 19, 2019 |
| Charles Lloyd Gorenberg | Chaslyn Financial Group, Inc. unclassified | Osaic Fs, Inc. other | Other | Dec 31, 2019 | Jun 24, 2011 |
| Eric William Rumbaugh | Waddell & Reed BD affiliated | Osaic Fs, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 6, 2019 | Nov 1, 2019 |
| David T Lawyer | First Command Advisory Services BD affiliated | Osaic Fs, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 24, 2019 | Oct 21, 2019 |
| Eric Anthony Majewski | Spire Wealth Management, LLC BD affiliated | Osaic Fs, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 7, 2019 | Oct 4, 2019 |
| Robert Paul Kimmel | U.S. Bancorp Advisors, LLC BD affiliated | Osaic Fs, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 3, 2019 | Dec 2, 2019 (60 d) |
| Amy Elizabeth Knox | UBS Financial Services Inc. wirehouse | Osaic Fs, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 10, 2019 | Sep 12, 2019 |
| Derek David Wilson | Nationwide Securities, LLC no RAUM | Osaic Fs, Inc. BD affiliated | Other | Sep 3, 2019 | Sep 3, 2019 |
| Heather Lynn Sellers | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Osaic Fs, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 12, 2019 | Aug 14, 2019 |
| Joseph Michael Lushene | Securities America Advisors, Inc. BD affiliated | Osaic Fs, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 31, 2019 | Jul 31, 2019 |
| Kevin C Birt | Hsbc Securities (USA) Inc. BD affiliated | Osaic Fs, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 25, 2019 | Feb 24, 2021 (610 d) |
| John David Richards | Securian Financial Services, Inc. BD affiliated | Osaic Fs, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 31, 2019 | Jun 19, 2019 |
| John Lombardi | Citizens Securities, Inc. BD affiliated | Osaic Fs, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 21, 2019 | May 29, 2019 |
| Angela Gardner Ribuffo | First Command Advisory Services BD affiliated | Osaic Fs, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 8, 2019 | May 1, 2019 |
| Jonathan David Launder | Woodbury Financial Services, Inc. BD affiliated | Osaic Fs, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 3, 2019 | May 28, 2019 |
| Maria Delosangeles Agosto | Kovack Advisors, Inc. BD affiliated | Osaic Fs, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 15, 2019 | Apr 22, 2019 |
| Christopher Todd Russell | Concourse Financial Group Advisors BD affiliated | Osaic Fs, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 12, 2019 | Apr 1, 2019 |
| Kerry D Skinner | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Osaic Fs, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 9, 2019 | Apr 8, 2019 |
| Daniel A Odigie | Lanark Financial, Inc. BD affiliated | Osaic Fs, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 2, 2019 | Apr 3, 2019 |
| Jocinta Nina White Powell | First Command Advisory Services BD affiliated | Osaic Fs, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 20, 2019 | Apr 1, 2019 |
| Andrew Strickland Martin | Concourse Financial Group Advisors BD affiliated | Osaic Fs, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 28, 2019 | Feb 1, 2019 |
| Michael Insley Andrews | MML Investors Services, LLC BD affiliated | Osaic Fs, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 14, 2019 | Feb 1, 2019 |
| Dean Russell Inman | Raymond James Financial Services Advisors, Inc BD affiliated | Osaic Fs, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 16, 2019 | Jul 5, 2018 |
| Joel E Marius | Ameriprise Financial Services, LLC national BD | Osaic Fs, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 21, 2018 | Feb 1, 2019 (42 d) |
| Michael Joseph Edens | Osaic Wealth, Inc. BD affiliated | Osaic Fs, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 17, 2018 | Nov 21, 2018 |
| Robert Remington Cooper | Osaic Wealth, Inc. BD affiliated | Osaic Fs, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 17, 2018 | Nov 19, 2018 |
| Monica Ann Strong | Equitable Advisors, LLC national BD | Osaic Fs, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 2, 2018 | Oct 30, 2018 |
| Lee Eric Edwards | Cetera Investment Advisers LLC BD affiliated | Osaic Fs, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 23, 2018 | Oct 18, 2018 |
| Donald Leon Hawkinson | Securian Financial Services, Inc. BD affiliated | Osaic Fs, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 17, 2018 | Oct 22, 2018 |
| Ledell Johnson | MML Investors Services, LLC BD affiliated | Osaic Fs, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 6, 2018 | Aug 31, 2018 |
| Alejandro S Masferrer | Equitable Advisors, LLC national BD | Osaic Fs, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 19, 2018 | Jul 10, 2018 |
| Carl Edwards | Calton & Associates, Inc. independent RIA | Osaic Fs, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jul 9, 2018 | Jul 2, 2018 |
| Terrence Andrew Taylor | Eagle Strategies LLC BD affiliated | Osaic Fs, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 5, 2018 | Jul 2, 2018 |
| Steve Matthew Warren | MML Investors Services, LLC BD affiliated | Osaic Fs, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 30, 2018 | May 25, 2018 |
| Jacob A. Warren | MML Investors Services, LLC BD affiliated | Osaic Fs, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 30, 2018 | May 25, 2018 |
| Joseph D Warren | MML Investors Services, LLC BD affiliated | Osaic Fs, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 30, 2018 | May 25, 2018 |
| Kaelene Kauionalani Wong | MML Investors Services, LLC BD affiliated | Osaic Fs, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 4, 2018 | Apr 27, 2018 |
| David Lee Kunhardt | Hornor, Townsend & Kent, LLC other | Osaic Fs, Inc. BD affiliated | Other | Feb 16, 2018 | Aug 20, 2018 (185 d) |
| Jennifer Elizabeth Hilts | First Command Advisory Services BD affiliated | Osaic Fs, Inc. other | Other | Feb 16, 2018 | Feb 6, 2018 |
| Kevin Andrew Hunt | Horace Mann Investors, Inc. no RAUM | Osaic Fs, Inc. other | Other | Feb 14, 2018 | Feb 2, 2018 |
| Linsi Lee Walker | Morgan Stanley wirehouse | Osaic Fs, Inc. other | Other | Feb 5, 2018 | Mar 6, 2018 |
| Diane Willis | Invest Financial Corporation other | Osaic Fs, Inc. other | Other | Dec 6, 2017 | Dec 1, 2017 |
| Edward Owen Miller | First Command Advisory Services other | Osaic Fs, Inc. other | Other | Nov 17, 2017 | Nov 3, 2017 |
| Mark Joseph Katelhon | Securian Financial Services, Inc. other | Osaic Fs, Inc. other | Other | Oct 27, 2017 | Oct 24, 2017 |
| Troy Robert Moulton | Cetera Advisors LLC other | Osaic Fs, Inc. other | Other | Oct 25, 2017 | Oct 18, 2017 |
| Russell Neill Hadley | Woodbury Financial Services, Inc. other | Osaic Fs, Inc. other | Other | Oct 25, 2017 | Dec 13, 2017 (49 d) |
| Leonard Joseph Brecken | Waddell & Reed other | Osaic Fs, Inc. other | Other | Oct 12, 2017 | Oct 3, 2017 |
| Theresa Leigh Detrick | Morgan Stanley wirehouse | Osaic Fs, Inc. other | Other | Sep 18, 2017 | Sep 15, 2017 |
| Michael Jimenez | MML Investors Services, LLC other | Osaic Fs, Inc. other | Other | Sep 11, 2017 | Sep 8, 2017 |
| Harry Edward O'Conner | Prospera Financial Services, Inc. other | Osaic Fs, Inc. other | Other | Sep 5, 2017 | Sep 5, 2017 |
| Elizabeth A Benoit | Financial Strategies Retirement Partners unclassified | Osaic Fs, Inc. other | Other | Jul 28, 2017 | Mar 31, 2017 |
| David Lawrence Coulter | Osaic Institutions, Inc. other | Osaic Fs, Inc. other | Other | Jun 26, 2017 | Jul 13, 2017 |
| Charles Rex Strickland | Invest Financial Corporation other | Osaic Fs, Inc. other | Other | Jun 21, 2017 | Jun 27, 2017 |
| Elizabeth Adams Watkins | Ameriprise Financial Services, LLC national BD | Osaic Fs, Inc. other | Other | Jun 16, 2017 | Nov 15, 2017 (152 d) |
| Robert Francis Mckinnon | Invest Financial Corporation other | Osaic Fs, Inc. other | Other | May 30, 2017 | Aug 3, 2017 (65 d) |
| John Tony Glowka | Invest Financial Corporation other | Osaic Fs, Inc. other | Other | May 26, 2017 | May 23, 2017 |
| Joseph Christopher Glowka | Invest Financial Corporation other | Osaic Fs, Inc. other | Other | May 26, 2017 | Nov 10, 2017 (168 d) |
| James Michael Mcbride | Capital Investment Advisory Services, LLC other | Osaic Fs, Inc. other | Other | May 16, 2017 | May 16, 2017 |
| Scott Eugene Saffer | Capital Investment Advisory Services, LLC other | Osaic Fs, Inc. other | Other | May 16, 2017 | May 16, 2017 |
| Thomas Hugh Curry | Capital Guardian Wealth Management, LLC other | Osaic Fs, Inc. other | Other | May 2, 2017 | May 2, 2017 |
490 moves match.