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 Nations Financial Group, 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
Adrian Lee Zilvetti	Disciplined Financial Services, Inc other	Nations Financial Group, Inc. other	Other	Dec 31, 2013	Jul 15, 2013
Darren Joel Liberski	Disciplined Financial Services, Inc other	Nations Financial Group, Inc. other	Other	Dec 31, 2013	Aug 12, 2013
Douglas Fosdick Carter	Moloney Securities Co., Inc. other	Nations Financial Group, Inc. other	Other	Mar 15, 2013	Apr 23, 2013 (39 d)
Jon Kenneth Wych	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Nations Financial Group, Inc. other	Other	Jan 2, 2013	Dec 21, 2012
Deborah Kay Johnson	Financial Resources Group unclassified	Nations Financial Group, Inc. other	Other	Oct 31, 2012	Oct 18, 2012
Steven Mark Loesch	Financial Resources Group unclassified	Nations Financial Group, Inc. other	Other	Oct 31, 2012	Oct 18, 2012
Rochelle Marie Henry Ernberger	U.S. Bancorp Investments, Inc. other	Nations Financial Group, Inc. other	Other	Oct 28, 2011	Sep 30, 2011
Matthew Donald Shannahan	American Independent Securities Group, LLC other	Nations Financial Group, Inc. other	Other	Aug 16, 2011	Aug 16, 2011
Jon William Anderson	American Independent Securities Group, LLC other	Nations Financial Group, Inc. other	Other	Aug 16, 2011	Aug 16, 2011
Nicholas James Daleiden	Wells Fargo Advisors wirehouse	Nations Financial Group, Inc. other	Other	Jul 1, 2011	Jun 30, 2011
Michael J Melvin	Edward Jones national BD	Nations Financial Group, Inc. other	Other	Feb 24, 2011	Mar 4, 2011
Douglas Duane Bennett	Berthel Fisher & Company Financial Services, Inc. other	Nations Financial Group, Inc. other	Other	Aug 16, 2010	Aug 13, 2010
Malcom Ong	Berthel Fisher & Company Financial Services, Inc. other	Nations Financial Group, Inc. other	Other	Aug 16, 2010	Aug 13, 2010
Anne Jawetz Sechler	Morgan Stanley wirehouse	Nations Financial Group, Inc. other	Other	Feb 11, 2010	Apr 6, 2010 (54 d)
Jeffrey Scott Donovan	Lawing Financial Inc other	Nations Financial Group, Inc. other	Other	Dec 10, 2009	Jun 8, 2010 (180 d)
John Douglas Clagett	Cascade Financial Management, Inc. other	Nations Financial Group, Inc. other	Other	Nov 6, 2009	Nov 6, 2009
Douglas Fosdick Carter	American Independent Securities Group, LLC other	Nations Financial Group, Inc. other	Other	Aug 5, 2009	Feb 25, 2010 (204 d)
Traci Jeanine Bryson	Investment Advisors International, Inc. unclassified	Nations Financial Group, Inc. other	Other	Jun 1, 2009	Nov 3, 2009 (155 d)
Mark Alan Geertsma	Jmg Capital Advisors, LLC unclassified	Nations Financial Group, Inc. other	Other	Mar 25, 2008	Oct 24, 2016 (3135 d)
Richard Gordon Tarbell	First Midamerica Investment Corporation unclassified	Nations Financial Group, Inc. other	Other	Nov 2, 2007	Nov 2, 2007
Katherine Cannon Zamora	First Midamerica Investment Corporation unclassified	Nations Financial Group, Inc. other	Other	Nov 2, 2007	Oct 30, 2007
Thomas Patrick Eveslage	First Midamerica Investment Corporation unclassified	Nations Financial Group, Inc. other	Other	Nov 2, 2007	Oct 30, 2007
Gary Robert Carlson	Vsr Advisory Services other	Nations Financial Group, Inc. other	Other	Jul 23, 2007	Jul 25, 2007
Michelle Anne Blenderman	Equitable Advisors, LLC national BD	Nations Financial Group, Inc. other	Other	Jun 5, 2007	May 31, 2007
Aaron Drew Sanstrum	Finbar Securities Corp. unclassified	Nations Financial Group, Inc. other	Other	Nov 1, 2006	Dec 12, 2005
Nicolle Leann Landwehr	Finbar Securities Corp. unclassified	Nations Financial Group, Inc. other	Other	Dec 7, 2005	Dec 7, 2005
Robert Evans Russell	A. G. Edwards & Sons, Inc. unclassified	Nations Financial Group, Inc. other	Other	Jun 6, 2005	Jun 22, 2005
David Alan Coiner	Beyer & Company unclassified	Nations Financial Group, Inc. other	Other	Apr 5, 2005	Apr 7, 2005
Bruce Daniel Barron	Wells Fargo Advisors wirehouse	Nations Financial Group, Inc. other	Other	Jan 6, 2005	Feb 16, 2005 (41 d)
Bruce Grosvenor Allen	Cascade Financial Management, Inc. other	Nations Financial Group, Inc. other	Other	Aug 31, 2004	Sep 1, 2004
William Edward Shepard	Wells Fargo Investments, LLC unclassified	Nations Financial Group, Inc. other	Other	Apr 19, 2004	Feb 9, 2005 (296 d)
Nicholas Allen Neff	Waddell & Reed other	Nations Financial Group, Inc. other	Other	Oct 7, 2003	May 20, 2004 (226 d)
James Anthony Johnson	RBC Capital Markets, LLC national BD	Nations Financial Group, Inc. other	Other	Jun 12, 2003	Jun 12, 2003
Carl Edward Mueller	RBC Capital Markets, LLC national BD	Nations Financial Group, Inc. other	Other	May 29, 2003	May 30, 2003
Jere Wade Elbakri	RBC Capital Markets, LLC national BD	Nations Financial Group, Inc. other	Other	Jan 6, 2003	Jan 6, 2003

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95 moves match.