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 Independent Financial Group, 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 |
|---|---|---|---|---|---|
| James Arthur Fratello | Grove Point Advisors, LLC BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 19, 2024 | Oct 17, 2024 |
| Brett Jerome Saddler | The Ameriflex Group BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 13, 2024 | Sep 30, 2024 |
| Steven Gensler | Independent Advisor Alliance, LLC independent RIA | Independent Financial Group, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jul 22, 2024 | Jul 28, 2025 (371 d) |
| Richard Soennichsen | Grove Point Advisors, LLC BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 17, 2024 | Jul 15, 2024 |
| Benjamin Buck | J.P. Morgan Securities LLC wirehouse | Independent Financial Group, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 17, 2024 | Aug 2, 2024 |
| Arthur Dell Eggman | Transamerica Financial Advisors, LLC BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 9, 2024 | Nov 12, 2024 (187 d) |
| Jeffery Grant Iseler | J. W. Cole Advisors, Inc. BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 30, 2024 | Apr 30, 2024 |
| Bobb Arthur Meckenstock | Main Street Advisors, LLC other | Independent Financial Group, LLC other | Other | Apr 27, 2024 | Jul 30, 2010 |
| Robert David Jones | Northern Trust Investments, Incorporated asset manager | Independent Financial Group, LLC BD affiliated | Other | Apr 2, 2024 | Aug 12, 2024 (132 d) |
| Cameron Brent Kaufman | Main Street Advisors, LLC other | Independent Financial Group, LLC other | Other | Mar 28, 2024 | Aug 3, 2010 |
| Marsha Lynn Williams | D.A. Davidson & Co. independent RIA | Independent Financial Group, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Mar 25, 2024 | Mar 22, 2024 |
| Ronny Inniger | U.S. Bancorp Investments, Inc. BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 18, 2024 | Mar 15, 2024 |
| Suzette Lawrence | D.A. Davidson & Co. independent RIA | Independent Financial Group, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Mar 8, 2024 | Mar 18, 2024 |
| Lisa Ann Gallo | O'Donnell Financial Services, LLC independent RIA | Independent Financial Group, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Feb 22, 2024 | Dec 15, 2023 |
| Paul Edward Drolson | Wealth Advisors, Inc. independent RIA | Independent Financial Group, LLC other | Other | Feb 16, 2024 | Feb 9, 2009 |
| Kenneth Dean Fincher | Wealth Advisors, Inc. independent RIA | Independent Financial Group, LLC other | Other | Feb 16, 2024 | Feb 9, 2009 |
| Timothy Hayes | Crown Capital Securities, L.P. BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 9, 2024 | Feb 2, 2024 |
| Christina Woodford | Crown Capital Securities, L.P. BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 9, 2024 | Feb 2, 2024 |
| Matthew Caine Sessa | Crown Capital Securities, L.P. BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 9, 2024 | Feb 2, 2024 |
| Kyle Jordan Ladd | Charles Schwab & Co., Inc. national BD | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 10, 2024 | Mar 24, 2025 (439 d) |
| Darrell Dominic Delphen | Cornerstone Financial Services, Inc. other | Independent Financial Group, LLC other | Other | Dec 31, 2023 | Jan 24, 2018 |
| David Howard Mccord | Cornerstone Financial Services, Inc. other | Independent Financial Group, LLC BD affiliated | Other | Dec 31, 2023 | Dec 13, 2023 |
| Jerry Ernest Tuma | Cornerstone Financial Services, Inc. other | Independent Financial Group, LLC other | Other | Dec 31, 2023 | Jan 8, 2018 |
| Bruce Scott Levitus | Osaic Wealth, Inc. BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 20, 2023 | Jun 9, 2025 (537 d) |
| Gregory J Sagers | Planmember Securities Corporation independent RIA | Independent Financial Group, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Dec 14, 2023 | Dec 14, 2023 |
| Jacob Owen Kavaya | Crown Capital Securities, L.P. BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 13, 2023 | Dec 1, 2023 |
| Christopher Michael Weber | Cetera Investment Advisers LLC BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 3, 2023 | Oct 31, 2023 |
| Christopher John Cummock | Mc Aureate unclassified | Independent Financial Group, LLC BD affiliated | Other | Oct 22, 2023 | May 3, 2024 (194 d) |
| Jack George | Strategic Advocates, LLC independent RIA | Independent Financial Group, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Oct 13, 2023 | Feb 6, 2024 (116 d) |
| Mark John Gieser | Crown Capital Securities, L.P. BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 11, 2023 | Oct 5, 2023 |
| Joseph Michael Gieser | Crown Capital Securities, L.P. BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 11, 2023 | Oct 6, 2023 |
| Brian Dennen | LPL Financial LLC BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 29, 2023 | Aug 12, 2024 (318 d) |
| Ru Bai | Capital Financial Consultants Group, Inc. independent RIA | Independent Financial Group, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Sep 14, 2023 | Jan 2, 2025 (476 d) |
| Chad Michael Curtis | Gradient Wealth Management BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 12, 2023 | Sep 14, 2023 |
| Travis Leigh Bator | Harbour Investments, Inc. independent RIA | Independent Financial Group, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Sep 7, 2023 | Sep 6, 2023 |
| Amy Sue Wasley Palmer | M Holdings Securities, Inc. BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 6, 2023 | Oct 2, 2023 |
| Jerald Glen Van Houten | Cetera Investment Advisers LLC BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 1, 2023 | Aug 25, 2023 |
| Kurt Patrick Kennedy | Morgan Stanley wirehouse | Independent Financial Group, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 18, 2023 | Aug 4, 2023 |
| Michael David Kolacz | International Assets Investment Management, LLC BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 30, 2023 | Jun 9, 2023 |
| Bradley Merritt Epstein | International Assets Investment Management, LLC BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 30, 2023 | Jun 8, 2023 |
| Cristian A Zuniga | Morgan Stanley wirehouse | Independent Financial Group, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jun 26, 2023 | Jul 11, 2023 |
| David James Ferguson | Arque Capital, Ltd. unclassified | Independent Financial Group, LLC BD affiliated | Other | Jun 16, 2023 | Jul 20, 2023 (34 d) |
| Matthew Luke Scanlon | Arque Capital, Ltd. unclassified | Independent Financial Group, LLC BD affiliated | Other | Jun 16, 2023 | Jun 23, 2023 |
| Robert Murray Cain | Arque Capital, Ltd. unclassified | Independent Financial Group, LLC BD affiliated | Other | Jun 16, 2023 | Jun 23, 2023 |
| Justin K Mcintyre | Mcintyre Investments, LLC unclassified | Independent Financial Group, LLC BD affiliated | Other | Jun 12, 2023 | Jul 15, 2022 |
| James A Franklin | Cetera Advisor Networks LLC BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 8, 2023 | Jun 9, 2023 |
| Rebecca S Leonard | Cetera Advisor Networks LLC BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 26, 2023 | May 5, 2023 |
| Frank Wong | F3logic, LLC independent RIA | Independent Financial Group, LLC other | Other | May 19, 2023 | Nov 28, 2017 |
| Kim Thanh Dang | Whalen Financial independent RIA | Independent Financial Group, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Apr 19, 2023 | May 1, 2023 |
| Matthew Speed | LPL Financial LLC BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 14, 2023 | Mar 31, 2023 |
| Scot Rob Hicks | Morgan Stanley wirehouse | Independent Financial Group, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Feb 16, 2023 | Jan 24, 2023 |
| Jon Benjamin Dixon | Cambridge Investment Research Advisors, Inc. BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 3, 2023 | Feb 1, 2023 |
| John David Podesto | LPL Financial LLC independent RIA | Independent Financial Group, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Feb 2, 2023 | Jan 18, 2023 |
| Frank Augustine Cuenca | International Assets Investment Management, LLC BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 26, 2023 | Jan 23, 2023 |
| John Terry Underwood | Cambridge Investment Research Advisors, Inc. BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 6, 2023 | Jan 5, 2026 (1095 d) |
| Lawrence Joseph Kelly | Securities America Advisors, Inc. BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 3, 2023 | Mar 21, 2023 (77 d) |
| Keith Russell Trezek | Woodbury Financial Services, Inc. BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2022 | Jan 3, 2023 |
| Gregory John Chachas | Wedbush Securities Inc. BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 16, 2022 | Dec 20, 2022 |
| Wei-Ping Lo | Transamerica Financial Advisors, LLC BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 16, 2022 | Jun 26, 2024 (558 d) |
| Sean P Oconnor | LPL Financial LLC independent RIA | Independent Financial Group, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Nov 29, 2022 | Nov 28, 2022 |
719 moves match.