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 Valic Financial Advisors, 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 |
|---|---|---|---|---|---|
| Peyton Asbury Smith | Principal Securities, Inc. BD affiliated | Valic Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 7, 2025 | Jun 23, 2025 (47 d) |
| Syed Zafar Majid | J.P. Morgan Securities LLC wirehouse | Valic Financial Advisors, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 20, 2025 | May 14, 2025 |
| Sara Marcela Beltran-Caro | LPL Financial LLC BD affiliated | Valic Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 11, 2025 | Apr 22, 2025 |
| David Edward Armstrong | Osaic Wealth, Inc. BD affiliated | Valic Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 3, 2025 | Oct 31, 2025 (211 d) |
| Kenneth Laneaux | Edward Jones national BD | Valic Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 3, 2025 | Jun 10, 2025 (68 d) |
| Michael Lewis Abbott | Sandy Morris Financial & Estate Planning Services, LLC independent RIA | Valic Financial Advisors, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Apr 1, 2025 | Jun 10, 2025 (70 d) |
| Christopher Noble Saxon | Florida Financial Advisors, LLC BD affiliated | Valic Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 31, 2025 | Sep 9, 2025 (162 d) |
| Chad Michael Houchin | Ameriprise Financial Services, LLC national BD | Valic Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 14, 2025 | Jun 1, 2026 (444 d) |
| Kathleen Sparrow | Nationwide Investment Advisors, LLC BD affiliated | Valic Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 13, 2025 | Mar 20, 2025 |
| Travis Ryan Fuller | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Valic Financial Advisors, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Mar 11, 2025 | Apr 1, 2025 |
| Matthew Foreman | Empower Advisory Group, LLC BD affiliated | Valic Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 10, 2025 | Apr 1, 2025 |
| Mark A Vanbibber | Equitable Advisors, LLC national BD | Valic Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 6, 2025 | May 12, 2025 (67 d) |
| Ryan Michael Kiley | Spire Wealth Management, LLC BD affiliated | Valic Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 20, 2025 | Feb 18, 2025 |
| Brent Borden | Wells Fargo Advisors wirehouse | Valic Financial Advisors, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Feb 19, 2025 | Feb 25, 2025 |
| Paul Anthony Niemiec | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Valic Financial Advisors, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Feb 18, 2025 | Aug 11, 2025 (174 d) |
| Gustavo Ibanez | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Valic Financial Advisors, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Feb 12, 2025 | Feb 26, 2025 |
| Rebecca Wesley | LPL Financial LLC BD affiliated | Valic Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 31, 2025 | Feb 3, 2025 |
| Herbert Strader Frazier | Cetera Investment Advisers LLC BD affiliated | Valic Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 31, 2025 | Feb 27, 2025 |
| Alexander Kravets | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Valic Financial Advisors, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 21, 2025 | Mar 7, 2025 (45 d) |
| Joseph C Klein | LPL Financial LLC BD affiliated | Valic Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 17, 2025 | Feb 28, 2025 (42 d) |
| Joseph Criscione | Register Financial Advisors, LLC independent RIA | Valic Financial Advisors, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jan 17, 2025 | Feb 6, 2025 |
| Stephen Heiden | Allstate Financial Advisors, LLC BD affiliated | Valic Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 10, 2025 | Jan 27, 2025 |
| Jonathan Ortega | Fisher Investments independent RIA | Valic Financial Advisors, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Dec 20, 2024 | Feb 6, 2026 (413 d) |
| Maxie Balthrop Cox | Fidelity Personal And Workplace Advisors BD affiliated | Valic Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 20, 2024 | May 7, 2025 (138 d) |
| Joel Garrett | Cwm, LLC BD affiliated | Valic Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 12, 2024 | Dec 13, 2024 |
| Catherine Harstick | Compass Wealth independent RIA | Valic Financial Advisors, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Dec 11, 2024 | Dec 12, 2024 |
| D'Onte Cole | J.P. Morgan Securities LLC wirehouse | Valic Financial Advisors, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 6, 2024 | Nov 17, 2025 (346 d) |
| Logan Blackley | Florida Financial Advisors, LLC BD affiliated | Valic Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 6, 2024 | Oct 14, 2025 (312 d) |
| James Hull Garman | Fidelity Personal And Workplace Advisors BD affiliated | Valic Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 5, 2024 | Apr 24, 2025 (140 d) |
| Alexander Nicholas Fellios | Walser Wealth Management Company, A Limited Liability Company independent RIA | Valic Financial Advisors, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Dec 4, 2024 | Feb 4, 2025 (62 d) |
| Daniel Charles Ingram | LPL Financial LLC BD affiliated | Valic Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 27, 2024 | May 11, 2026 (530 d) |
| Matthew Nardone | Pruco Securities, LLC BD affiliated | Valic Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 20, 2024 | Dec 16, 2024 |
| Baldemar Garza | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Valic Financial Advisors, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Nov 15, 2024 | Nov 26, 2024 |
| Steven Robert Scheuermann | Missionsquare Retirement institutional | Valic Financial Advisors, Inc. BD affiliated | Other | Nov 14, 2024 | Jan 7, 2025 (54 d) |
| Darrin Miles | Pruco Securities, LLC BD affiliated | Valic Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 5, 2024 | Nov 1, 2024 |
| Justin Amen | RBC Capital Markets, LLC national BD | Valic Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 31, 2024 | Jul 9, 2025 (251 d) |
| Erin Christine Green | Stifel, Nicolaus & Company, Incorporated national BD | Valic Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 30, 2024 | Nov 12, 2024 |
| James Hankins | Pruco Securities, LLC BD affiliated | Valic Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 3, 2024 | Nov 19, 2024 (47 d) |
| Garrett Mayhart | MML Investors Services, LLC BD affiliated | Valic Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 23, 2024 | Oct 4, 2024 |
| Lynette Justice | Edward Jones national BD | Valic Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 6, 2024 | Dec 6, 2024 (91 d) |
| Galen Don Mayo | Advisory Services Network independent RIA | Valic Financial Advisors, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Aug 28, 2024 | Mar 18, 2025 (202 d) |
| Larry Alan Mathison | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Valic Financial Advisors, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 27, 2024 | Nov 11, 2024 (76 d) |
| John Solyman | Gradient Advisors, LLC independent RIA | Valic Financial Advisors, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Aug 15, 2024 | Sep 16, 2024 (32 d) |
| Ekaterina P Chompalova | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Valic Financial Advisors, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 15, 2024 | Jan 21, 2025 (159 d) |
| Christopher David Shea | Cetera Investment Advisers LLC BD affiliated | Valic Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 7, 2024 | Sep 16, 2024 (40 d) |
| Ross Jacob Price | Fifth Third Securities, Inc. BD affiliated | Valic Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 15, 2024 | Aug 29, 2025 (410 d) |
| Mark T Steitz | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Valic Financial Advisors, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 11, 2024 | Aug 20, 2024 (40 d) |
| Christian John-Edward Bower | Edward Jones national BD | Valic Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 20, 2024 | Jul 18, 2024 |
| Noel Palackel Thomas | MML Investors Services, LLC BD affiliated | Valic Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 14, 2024 | Nov 26, 2024 (165 d) |
| Jason Douglas Kirk | Advice And Planning Services BD affiliated | Valic Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 12, 2024 | Aug 13, 2024 (62 d) |
| Michael Andrew Graff | Iams Wealth Management, LLC independent RIA | Valic Financial Advisors, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jun 11, 2024 | Sep 9, 2024 (90 d) |
| Jacob Robert Gedis | Fidelity Personal And Workplace Advisors BD affiliated | Valic Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 24, 2024 | Nov 15, 2024 (175 d) |
| Jamie Andersen | Osaic Fa, Inc. BD affiliated | Valic Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 8, 2024 | Feb 19, 2025 (287 d) |
| Mario Brown | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Valic Financial Advisors, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 6, 2024 | May 7, 2024 |
| Mark L Soderquist | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Valic Financial Advisors, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 26, 2024 | Feb 8, 2025 (288 d) |
| Rose Bizarro | Centaurus Financial, Inc. BD affiliated | Valic Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 23, 2024 | May 7, 2024 |
| Nicholas Konecny | Citigroup Global Markets Inc. BD affiliated | Valic Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 15, 2024 | Apr 18, 2024 |
| Corey Armstrong | Ernst & Young Investment Advisers Llp no RAUM | Valic Financial Advisors, Inc. BD affiliated | Other | Apr 10, 2024 | Mar 4, 2025 (328 d) |
| William Charles Sorrentino | Equitable Advisors, LLC national BD | Valic Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 9, 2024 | Apr 2, 2024 |
| Ryan Drew Hocker | Morgan Stanley wirehouse | Valic Financial Advisors, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 9, 2024 | Dec 8, 2025 (608 d) |
1,152 moves match.