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 Pruco Securities, LLC
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 |
|---|---|---|---|---|---|
| Benjamin Littlefield | Fsa Advisors, Inc. independent RIA | Pruco Securities, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jun 3, 2024 | Jun 21, 2024 |
| Jacob Matthew Wise | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Pruco Securities, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 30, 2024 | Jun 12, 2024 |
| Kimberly Viner Place | Osaic Institutions, Inc. BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 24, 2024 | May 30, 2024 |
| Stephanie Ann Wagner | Securities America Advisors, Inc. BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 21, 2024 | May 13, 2024 |
| Elizabeth Anne Ley | Transamerica Financial Advisors, LLC BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 21, 2024 | Jun 27, 2024 (37 d) |
| Brandon Rogowski | Edward Jones national BD | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 20, 2024 | May 31, 2024 |
| Austin Richard Sherman | Equitable Advisors, LLC national BD | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 9, 2024 | May 21, 2024 |
| Tyler S Johnson | Raymond James Financial Services Advisors, Inc BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 7, 2024 | Jun 17, 2024 (41 d) |
| Kenneth E O'Connor | Facet independent RIA | Pruco Securities, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Apr 25, 2024 | Aug 27, 2024 (124 d) |
| Seth Allen Silcock | Monon Wealth Management independent RIA | Pruco Securities, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Apr 25, 2024 | Apr 24, 2024 |
| Jamie Alan Dunn | Facet independent RIA | Pruco Securities, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Apr 25, 2024 | May 15, 2024 |
| Samuel T Alt | Morgan Stanley wirehouse | Pruco Securities, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 25, 2024 | Jul 12, 2024 (78 d) |
| Christopher Duke Butcher | Securities America Advisors, Inc. BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 23, 2024 | Sep 11, 2024 (141 d) |
| Zohaib Tariq | Citigroup Global Markets Inc. BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 23, 2024 | Jul 1, 2024 (69 d) |
| Erik Scott Abraham | Fidelity Personal And Workplace Advisors BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 23, 2024 | Apr 24, 2024 |
| Scott Andrew Valentine | Citigroup Global Markets Inc. BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 18, 2024 | Jun 20, 2024 (63 d) |
| James M Fox | Morgan Stanley wirehouse | Pruco Securities, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 18, 2024 | Apr 30, 2024 |
| Luke Francis Bagley | Mcadam LLC independent RIA | Pruco Securities, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Apr 18, 2024 | May 14, 2024 |
| Justin C Rueter | Pnc Wealth Management BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 17, 2024 | Apr 16, 2024 |
| Timothy Andrew Westra | Asset Allocation Strategies, LLC independent RIA | Pruco Securities, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Apr 17, 2024 | Apr 22, 2024 |
| Kamron Nahavandi | Fit Strategic Advisors LLC unclassified | Pruco Securities, LLC BD affiliated | Other | Apr 15, 2024 | Jan 24, 2024 |
| Douglas Gorecki | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Pruco Securities, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 15, 2024 | Apr 17, 2024 |
| Jeremy Hannah | Valic Financial Advisors, Inc. BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 9, 2024 | Mar 27, 2024 |
| Nathaniel Forrest Liebe | Thrivent Investment Management Inc. BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 9, 2024 | Sep 18, 2024 (162 d) |
| Joseph Robert Guarino | Equitable Advisors, LLC national BD | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 3, 2024 | Apr 5, 2024 |
| Tyrone A Chaplin | Transamerica Financial Advisors, LLC BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 2, 2024 | Apr 2, 2024 |
| Baden Alexander James | Morgan Stanley wirehouse | Pruco Securities, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 2, 2024 | Jun 20, 2024 (79 d) |
| Nathan Carter Melchi | LPL Financial LLC BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 2, 2024 | Mar 22, 2024 |
| Christopher Jacobi | Td Private Client Wealth LLC BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 29, 2024 | Mar 26, 2024 |
| Fred Mark Theobald | Avantax Advisory Services BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 28, 2024 | Apr 16, 2024 |
| Nathaniel Anthony Huck | Bankers Life Advisory Services, Inc. BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 25, 2024 | Apr 11, 2024 |
| Jonathan Cortlandt Leslie | Fidelity Personal And Workplace Advisors BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 22, 2024 | Sep 5, 2024 (167 d) |
| Alexander Shand Douglas | Element Squared Private Wealth independent RIA | Pruco Securities, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Mar 12, 2024 | Apr 1, 2024 |
| Francis J Aiello | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Pruco Securities, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Mar 4, 2024 | Feb 28, 2024 |
| Fermon L Owens | J.P. Morgan Securities LLC wirehouse | Pruco Securities, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Mar 2, 2024 | Mar 5, 2024 |
| Hatem Raafat Mohamed Aly Elshimy | Fidelity Personal And Workplace Advisors BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 1, 2024 | Jun 21, 2024 (112 d) |
| Javier Alberto Fagundo Diaz | Florida Financial Advisors, LLC BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 1, 2024 | Jun 26, 2024 (117 d) |
| Aaron Wesley Howard | Hornor, Townsend & Kent, LLC BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 28, 2024 | Mar 26, 2024 |
| Robert Eustice | Edward Jones national BD | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 27, 2024 | Feb 28, 2024 |
| Mickealin L Cassell | Maia Wealth independent RIA | Pruco Securities, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Feb 27, 2024 | Oct 3, 2024 (219 d) |
| Austin Sykora | Esi Financial Advisors independent RIA | Pruco Securities, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Feb 16, 2024 | Feb 22, 2024 |
| Joseph Edward Weintraub | Bok Financial Private Wealth, Inc. independent RIA | Pruco Securities, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Feb 15, 2024 | May 8, 2024 (83 d) |
| Shawn Dunn | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Pruco Securities, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Feb 14, 2024 | May 31, 2024 (107 d) |
| Ralph W Lunt | Thrivent Investment Management Inc. BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 12, 2024 | Apr 5, 2024 (53 d) |
| Lucas Grant Colantoni | Dakota Wealth, LLC independent RIA | Pruco Securities, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Feb 9, 2024 | Mar 5, 2024 |
| Christopher Lee Blancett | Valic Financial Advisors, Inc. BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 7, 2024 | Jan 22, 2024 |
| Zion Diamond Chaflawee | Eagle Strategies LLC BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 6, 2024 | Feb 5, 2024 |
| Brandon M Reichert | Wells Fargo Advisors wirehouse | Pruco Securities, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Feb 6, 2024 | Feb 12, 2024 |
| Jeffrey Krug | Nfsg Corporation BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 5, 2024 | Feb 7, 2024 |
| Kristin Swanquist Polito | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Pruco Securities, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 30, 2024 | Sep 26, 2024 (240 d) |
| Joshua Wagner | Key Investment Services LLC BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 19, 2024 | Jan 19, 2024 |
| John L Sammons | Ameriprise Financial Services, LLC national BD | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 18, 2024 | Feb 14, 2024 |
| Matthew Hemberger | MML Investors Services, LLC BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 17, 2024 | Jan 24, 2024 |
| Michael Jay Sato | Buck Wealth Strategies, LLC independent RIA | Pruco Securities, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jan 12, 2024 | Jan 16, 2024 |
| Jaime Abreu Torres | Cetera Investment Advisers LLC BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 10, 2024 | Jan 5, 2024 |
| Kenny Scott Johnson | MML Investors Services, LLC BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 10, 2024 | Jan 18, 2024 |
| Michael Thomas Marziaz | First Command Advisory Services BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 10, 2024 | Feb 5, 2024 |
| Aaron Lee Smith | Charles Schwab & Co., Inc. national BD | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 9, 2024 | Mar 5, 2024 (56 d) |
| Camden Wesley Miller | Optimize Financial Inc. independent RIA | Pruco Securities, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jan 9, 2024 | Feb 23, 2024 (45 d) |
| Walter Ellis Hampton | Esi Financial Advisors independent RIA | Pruco Securities, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jan 9, 2024 | Apr 2, 2024 (84 d) |
1,667 moves match.