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 Fa, 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
Matthew John SchoenfeldValic Financial Advisors, Inc. BD affiliatedOsaic Fa, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherDec 6, 2022Nov 22, 2022
Jason Brett ColeValic Financial Advisors, Inc. BD affiliatedOsaic Fa, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherDec 6, 2022Nov 22, 2022
Corey Randall BierlValic Financial Advisors, Inc. BD affiliatedOsaic Fa, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherDec 6, 2022Nov 22, 2022
David Benedict LayoCuso Financial Services, L.P. BD affiliatedOsaic Fa, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherDec 2, 2022Dec 1, 2022
Cheryl Lynn ArmitageT. Rowe Price Associates, Inc. asset managerOsaic Fa, Inc. BD affiliatedOtherNov 28, 2022Jan 18, 2023 (51 d)
Arron Christopher ReidMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOsaic Fa, Inc. BD affiliatedWirehouse to affiliated broker-dealer or bankNov 2, 2022May 2, 2023 (181 d)
Ida May WestCuso Financial Services, L.P. BD affiliatedOsaic Fa, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherOct 4, 2022Nov 1, 2022
Luke Robert SteinkeWells Fargo Advisors wirehouseOsaic Fa, Inc. BD affiliatedWirehouse to affiliated broker-dealer or bankSep 29, 2022Sep 30, 2022
Brandon ApisaMML Investors Services, LLC BD affiliatedOsaic Fa, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherSep 28, 2022Nov 1, 2022 (34 d)
Dean J DipierroLPL Financial LLC independent RIAOsaic Fa, Inc. BD affiliatedRIA to affiliated broker-dealer or bankSep 23, 2022Sep 15, 2022
Scott Anthony LoprestiLPL Financial LLC independent RIAOsaic Fa, Inc. BD affiliatedRIA to affiliated broker-dealer or bankSep 23, 2022Sep 15, 2022
Mark Anthony RuffoEmpower Advisory Group, LLC BD affiliatedOsaic Fa, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherSep 22, 2022Sep 21, 2022
Chad Quevedo ParillaMissionsquare Retirement institutionalOsaic Fa, Inc. BD affiliatedOtherSep 9, 2022Sep 14, 2022
James SabbatiniOrion Portfolio Solutions, LLC independent RIAOsaic Fa, Inc. BD affiliatedRIA to affiliated broker-dealer or bankSep 1, 2022Feb 7, 2023 (159 d)
Kelly Ileen JordanNorthwestern Mutual Investment Services,LLC no RAUMOsaic Fa, Inc. BD affiliatedOtherAug 31, 2022Dec 19, 2022 (110 d)
Brandon Scott SickmillerThrivent Investment Management Inc. BD affiliatedOsaic Fa, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherJul 6, 2022May 16, 2023 (314 d)
Aaron Townsend DiazFarther independent RIAOsaic Fa, Inc. BD affiliatedRIA to affiliated broker-dealer or bankJun 8, 2022Jun 13, 2022
John Edward ShetterlyT. Rowe Price Advisory Services, Inc. independent RIAOsaic Fa, Inc. BD affiliatedRIA to affiliated broker-dealer or bankJun 7, 2022May 20, 2022
Satyaki MitraFidelity Personal And Workplace Advisors BD affiliatedOsaic Fa, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherJun 7, 2022Jun 2, 2022
Richard Andrew LawrieMeeder Public Funds, Inc. institutionalOsaic Fa, Inc. BD affiliatedOtherJun 1, 2022May 31, 2022
Donald Joseph ConnickCetera Investment Advisers LLC BD affiliatedOsaic Fa, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherMay 27, 2022May 26, 2022
Connie Lynn RavellaUBS Financial Services Inc. wirehouseOsaic Fa, Inc. BD affiliatedWirehouse to affiliated broker-dealer or bankMay 27, 2022Jan 4, 2023 (222 d)
Eric McintyreCambridge Investment Research Advisors, Inc. BD affiliatedOsaic Fa, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherMay 26, 2022May 31, 2022
Stephen Vincent MelchiorreEquitable Advisors, LLC national BDOsaic Fa, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherMay 25, 2022Jul 20, 2022 (56 d)
Jonathan David LaunderOsaic Wealth, Inc. BD affiliatedOsaic Fa, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherMay 3, 2022Apr 29, 2022
Matthew Donald SpeddenPruco Securities, LLC BD affiliatedOsaic Fa, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherApr 28, 2022Apr 21, 2022
Danielle Elandra BarbatoCharles Schwab & Co., Inc. national BDOsaic Fa, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherApr 21, 2022Apr 8, 2022
Michael Robert PetersonConfidence Wealth Management, Inc. independent RIAOsaic Fa, Inc. BD affiliatedRIA to affiliated broker-dealer or bankApr 20, 2022Feb 20, 2024 (671 d)
Nicholas James JoestenMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOsaic Fa, Inc. BD affiliatedWirehouse to affiliated broker-dealer or bankApr 19, 2022Apr 22, 2022
Terri Z BuechnerIndependent Financial Group, LLC BD affiliatedOsaic Fa, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherApr 11, 2022Aug 22, 2022 (133 d)
Christopher Richard RubyT. Rowe Price Advisory Services, Inc. independent RIAOsaic Fa, Inc. BD affiliatedRIA to affiliated broker-dealer or bankApr 7, 2022Mar 25, 2022
Francis Joseph CapriottiCuso Financial Services, L.P. BD affiliatedOsaic Fa, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherApr 1, 2022Apr 1, 2022
John Luke CharltonFidelity Personal And Workplace Advisors BD affiliatedOsaic Fa, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherMar 23, 2022Mar 28, 2022
Jamie AndersenNationwide Investment Advisors, LLC BD affiliatedOsaic Fa, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherFeb 17, 2022Feb 15, 2022
Gavin Richard GomsakSfg Wealth Management independent RIAOsaic Fa, Inc. BD affiliatedRIA to affiliated broker-dealer or bankJan 31, 2022Jan 28, 2022
Danielle FosmerMutual Of Omaha Investor Services, Inc. no RAUMOsaic Fa, Inc. BD affiliatedOtherJan 14, 2022Nov 14, 2022 (304 d)
Amy Elizabeth KnoxOsaic Fs, Inc. BD affiliatedOsaic Fa, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherDec 31, 2021Sep 12, 2019
Alexander SixbeyOsaic Fs, Inc. BD affiliatedOsaic Fa, Inc. otherOtherDec 31, 2021Mar 29, 2011
Julia L RheaVoya Financial Advisors, Inc. BD affiliatedOsaic Fa, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherNov 30, 2021Nov 29, 2021
Dominic RandazzoOsaic Fs, Inc. BD affiliatedOsaic Fa, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherNov 29, 2021Nov 29, 2021
Elizabeth Ann UpdikeWells Fargo Advisors wirehouseOsaic Fa, Inc. BD affiliatedWirehouse to affiliated broker-dealer or bankOct 29, 2021Nov 1, 2021
Laura ScheppeleAmeriprise Financial Services, LLC national BDOsaic Fa, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherOct 8, 2021Feb 16, 2022 (131 d)
Michael Robert JasonMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOsaic Fa, Inc. BD affiliatedWirehouse to affiliated broker-dealer or bankSep 23, 2021Sep 27, 2021
Andrew Vincent SackrisonAmeriprise Financial Services, LLC national BDOsaic Fa, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherSep 13, 2021Sep 23, 2021
Colleen Marie ShellyPnc Wealth Management BD affiliatedOsaic Fa, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherSep 10, 2021Aug 19, 2021
Donald HannahsWealth Enhancement Advisory Services, LLC BD affiliatedOsaic Fa, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherAug 17, 2021Aug 19, 2021
Charles L PizzilloPark Avenue Securities LLC BD affiliatedOsaic Fa, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherAug 13, 2021Jul 15, 2021
Megan PennLPL Financial LLC BD affiliatedOsaic Fa, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherAug 13, 2021Jun 9, 2022 (300 d)
Robert FisherWells Fargo Advisors wirehouseOsaic Fa, Inc. BD affiliatedWirehouse to affiliated broker-dealer or bankAug 12, 2021Aug 5, 2021
Clinton James SeefeldtPrincipal Securities, Inc. BD affiliatedOsaic Fa, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherAug 10, 2021Jul 20, 2021
Jacob Benjamin FioreWells Fargo Advisors wirehouseOsaic Fa, Inc. BD affiliatedWirehouse to affiliated broker-dealer or bankJul 30, 2021May 25, 2022 (299 d)
Brian Kyle RoushJ.P. Morgan Securities LLC wirehouseOsaic Fa, Inc. BD affiliatedWirehouse to affiliated broker-dealer or bankJul 22, 2021Jul 29, 2021
Blake GauldenArbor Point Advisors BD affiliatedOsaic Fa, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherJul 16, 2021Jul 19, 2021
Gabrielle GiannopoulosMorgan Stanley wirehouseOsaic Fa, Inc. BD affiliatedWirehouse to affiliated broker-dealer or bankJul 15, 2021Jul 16, 2021
Debbie BogaertStrategic Edge Wealth Management, LLC unclassifiedOsaic Fa, Inc. BD affiliatedOtherJun 14, 2021Apr 11, 2022 (301 d)
Joshua Andrew MedvidofskyPrincipal Securities, Inc. BD affiliatedOsaic Fa, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherMay 7, 2021May 5, 2021
Christopher Joseph DorffPrincipal Securities, Inc. BD affiliatedOsaic Fa, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherMay 7, 2021May 5, 2021
Donald Craig RogersAllstate Financial Advisors, LLC BD affiliatedOsaic Fa, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherMay 6, 2021May 3, 2021
Jonathan L WebbCharles Schwab & Co., Inc. national BDOsaic Fa, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherMay 5, 2021May 4, 2021
Eric Stephen PasquiniCuna Brokerage Services, Inc. BD affiliatedOsaic Fa, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherMay 3, 2021Jun 30, 2021 (58 d)
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972 moves match.