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 Advisors Asset Management, 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
Brian Michael Ridgeway	Virtus Capital Advisers, LLC other	Advisors Asset Management, Inc. other	Other	May 1, 2017	Feb 9, 2018 (284 d)
Rene Ramirez	LPL Financial LLC other	Advisors Asset Management, Inc. other	Other	Mar 15, 2017	Mar 13, 2017
Charles Edward Sickles	Blackrock Investment Management, LLC other	Advisors Asset Management, Inc. other	Other	Jan 9, 2017	Feb 16, 2017 (38 d)
Adam Mark Eisenhauer	Investment Professionals, Inc. other	Advisors Asset Management, Inc. other	Other	Jan 3, 2017	Apr 5, 2017 (92 d)
Sharif Salah Husseini	Nuveen Asset Management, LLC other	Advisors Asset Management, Inc. other	Other	Dec 14, 2016	Feb 9, 2018 (422 d)
Lucas Scott Lavin	First Trust Advisors LP other	Advisors Asset Management, Inc. other	Other	May 4, 2016	Sep 27, 2023 (2702 d)
Jeffrey Spurling	Bb&T Investment Services, Inc. no RAUM	Advisors Asset Management, Inc. other	Other	Oct 7, 2015	Oct 26, 2015
Michael Vincent Pucci	UBS Financial Services Inc. wirehouse	Advisors Asset Management, Inc. other	Other	May 26, 2015	Oct 3, 2023 (3052 d)
Richard Shane Johnson	Manager Connect, Inc unclassified	Advisors Asset Management, Inc. other	Other	Dec 31, 2014	Jan 23, 2014
Joshua Duane Rienks	Ameriprise Financial Services, LLC national BD	Advisors Asset Management, Inc. other	Other	Oct 23, 2014	Oct 13, 2014
Steven John Majoris	Ic Advisory Services, Inc. other	Advisors Asset Management, Inc. other	Other	Oct 17, 2014	Dec 3, 2014 (47 d)
Paul Bulyalert	UBS Financial Services Inc. wirehouse	Advisors Asset Management, Inc. other	Other	Sep 8, 2014	Sep 8, 2014
Ryan N Dahl	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Advisors Asset Management, Inc. other	Other	Aug 12, 2014	Feb 7, 2023 (3101 d)
Deep Patel	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Advisors Asset Management, Inc. other	Other	May 9, 2014	May 5, 2014
Patrick Anthony Bonanno	Alliancebernstein L.P. other	Advisors Asset Management, Inc. other	Other	Apr 22, 2014	Nov 25, 2014 (217 d)
George Matthew Warren	Allspring Funds Management, LLC other	Advisors Asset Management, Inc. other	Other	Mar 3, 2014	Feb 28, 2014
Tai S. Park	Nuveen Asset Management, LLC other	Advisors Asset Management, Inc. other	Other	Jan 27, 2014	Jan 21, 2015 (359 d)
Adam Clemens	RBC Capital Markets, LLC national BD	Advisors Asset Management, Inc. other	Other	Jun 4, 2013	Jun 4, 2013
Tomer Daniel Yabrov	Blackrock Investment Management, LLC other	Advisors Asset Management, Inc. other	Other	Jan 24, 2012	Feb 13, 2013 (386 d)
Jarret Michael Shattuck	Morgan Stanley wirehouse	Advisors Asset Management, Inc. other	Other	Sep 26, 2011	Oct 10, 2011
Susan Delmer Smith	Citigroup Global Markets Inc. other	Advisors Asset Management, Inc. other	Other	Aug 12, 2011	Aug 8, 2011
Arthur Francis Sullivan	Lincoln Financial Distributors, Inc. unclassified	Advisors Asset Management, Inc. other	Other	Feb 24, 2011	Nov 13, 2014 (1358 d)
Jeffrey Alan Churba	Lincoln Financial Distributors, Inc. unclassified	Advisors Asset Management, Inc. other	Other	Feb 24, 2011	Nov 7, 2008
Jeffrey A. Seitz	Td Ameritrade Investment Management, LLC other	Advisors Asset Management, Inc. other	Other	Jan 12, 2011	Jan 10, 2011
Bradley Vaughn Livingston	Berkshire Asset Management, Inc. unclassified	Advisors Asset Management, Inc. other	Other	Dec 31, 2010	Aug 1, 2006
Scott Andrew Meenan	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Advisors Asset Management, Inc. other	Other	Dec 14, 2010	Jan 27, 2011 (44 d)
Ernest William Ross	Hayden Harper Wealth Advisory, LLC other	Advisors Asset Management, Inc. other	Other	Sep 17, 2010	Jun 20, 2011 (276 d)
Michael Kenneth Korzenko	Neuberger Berman Bd LLC other	Advisors Asset Management, Inc. other	Other	Aug 25, 2010	Aug 23, 2010
Matthew Daniel Wilke	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Advisors Asset Management, Inc. other	Other	Jul 28, 2010	Sep 3, 2013 (1133 d)
Malcolm Kirk Leslie	Curian Capital, LLC other	Advisors Asset Management, Inc. other	Other	Jul 16, 2010	Jul 26, 2010
Adrianne Stewart Potwora	Voya Investment Management Co. LLC other	Advisors Asset Management, Inc. mixed wealth	Other	Jun 17, 2010	Mar 19, 2026 (5754 d)
Mark B Cole	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Advisors Asset Management, Inc. other	Other	Jun 1, 2010	Jun 1, 2010
Justin Peter Mclaughlin	Waddell & Reed other	Advisors Asset Management, Inc. other	Other	May 17, 2010	Jul 12, 2010 (56 d)
Jennifer Lynn Van Alstyne	Usaa Investment Services Company other	Advisors Asset Management, Inc. other	Other	May 7, 2010	Sep 7, 2010 (123 d)
Jayme Sue Fox	Investment Professionals, Inc. other	Advisors Asset Management, Inc. other	Other	Apr 20, 2010	May 3, 2010
Matthew Petrizzo	RBC Capital Markets, LLC national BD	Advisors Asset Management, Inc. other	Other	Apr 12, 2010	Apr 5, 2010
Adam Blake Peters	A & I Wealth Management other	Advisors Asset Management, Inc. other	Other	Apr 6, 2010	Apr 5, 2010
Michael Ross Cocke	Investment Professionals, Inc. other	Advisors Asset Management, Inc. other	Other	Feb 3, 2010	Oct 18, 2010 (257 d)
Michael Vincent Mccormick	Van Kampen Advisors Inc unclassified	Advisors Asset Management, Inc. other	Other	Jan 19, 2010	Jan 22, 2010
Aj Helgerson	Columbia Management Investment Advisers, LLC other	Advisors Asset Management, Inc. other	Other	Dec 7, 2009	Jan 4, 2011 (393 d)
Noe Jose Fernandez	Wells Fargo Advisors wirehouse	Advisors Asset Management, Inc. other	Other	Nov 4, 2009	Nov 30, 2009
Andrew Draluck	Curian Capital, LLC other	Advisors Asset Management, Inc. other	Other	Oct 20, 2009	Sep 21, 2010 (336 d)
Timothy Jon Briggs	UBS Financial Services Inc. wirehouse	Advisors Asset Management, Inc. other	Other	Oct 14, 2009	Oct 20, 2009
George Cordell Easter	Cbf Advisors, LLC asset manager	Advisors Asset Management, Inc. other	Other	Oct 9, 2009	Jul 21, 2009
Elizabeth Ann Folland	J.P. Morgan Investment Management Inc. other	Advisors Asset Management, Inc. other	Other	Oct 8, 2009	Sep 12, 2009
Brian Anthony Marchiori	Banc Of America Investment Services, Inc. unclassified	Advisors Asset Management, Inc. other	Other	Jun 1, 2009	Jun 1, 2009
John P Galvin	UBS Financial Services Inc. wirehouse	Advisors Asset Management, Inc. other	Other	May 13, 2009	Oct 22, 2009 (162 d)
Evan C Harte	UBS Financial Services Inc. wirehouse	Advisors Asset Management, Inc. other	Other	May 13, 2009	Aug 19, 2021 (4481 d)
John Bradley Ruebsahm	Raymond James Financial Services Advisors, Inc other	Advisors Asset Management, Inc. other	Other	Apr 24, 2009	Apr 24, 2009
Daniel Hilario Barajas	Chase Investment Services Corp. other	Advisors Asset Management, Inc. other	Other	Apr 6, 2009	Mar 30, 2009
Arturo Andrews	Banc Of America Investment Services, Inc. unclassified	Advisors Asset Management, Inc. other	Other	Mar 25, 2009	Jun 1, 2009 (68 d)
Alan Brum	Morgan Stanley & Co. LLC unclassified	Advisors Asset Management, Inc. other	Other	Feb 10, 2009	Mar 30, 2009 (48 d)
David Ray Seibert	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Advisors Asset Management, Inc. other	Other	Feb 4, 2009	Mar 31, 2009 (55 d)
Joseph David Beshara	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Advisors Asset Management, Inc. other	Other	Feb 3, 2009	Dec 20, 2010 (685 d)
Margaret Mary Oleary	UBS Financial Services Inc. wirehouse	Advisors Asset Management, Inc. other	Other	Jan 6, 2009	May 5, 2009 (119 d)
Thomas William Donnelly	Guggenheim Investments other	Advisors Asset Management, Inc. other	Other	Nov 4, 2008	Jul 24, 2014 (2088 d)
Tad Shawn Geiman	Guggenheim Investments other	Advisors Asset Management, Inc. mixed wealth	Other	Nov 4, 2008	Jan 3, 2020 (4077 d)
Lloyd Elbert Pegues	Guggenheim Investments other	Advisors Asset Management, Inc. other	Other	Nov 4, 2008	Nov 4, 2024 (5844 d)
Jose Dejesus Cervantes	Guggenheim Investments other	Advisors Asset Management, Inc. other	Other	Nov 4, 2008	Aug 23, 2010 (657 d)
Andrew John Raia	Guggenheim Investments other	Advisors Asset Management, Inc. other	Other	Nov 4, 2008	Oct 5, 2009 (335 d)

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173 moves match.