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 Tower Square Securities, 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.

AdvisorFromToTypeLeftRegistered
Jeffrey Thomas KellettWs Griffith Securities, Inc. unclassifiedTower Square Securities, Inc. otherOtherJun 8, 2004Jun 2, 2004
William Matthew LafondWs Griffith Securities, Inc. unclassifiedTower Square Securities, Inc. otherOtherJun 2, 2004Jun 2, 2004
Mark William SulpizioMain Street Management Company unclassifiedTower Square Securities, Inc. otherOtherMay 25, 2004May 25, 2004
Samuel ToskinWs Griffith Securities, Inc. unclassifiedTower Square Securities, Inc. otherOtherMay 6, 2004May 14, 2004
Carrie Kirk SchroenCitigroup Global Markets Inc. otherTower Square Securities, Inc. otherOtherApr 6, 2004Jun 9, 2004 (64 d)
Michael Paul CapriottiMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseTower Square Securities, Inc. otherOtherMar 1, 2004Apr 5, 2004 (35 d)
Ray Arthur HansonSentra Securities Corporation unclassifiedTower Square Securities, Inc. otherOtherFeb 25, 2004Feb 26, 2004
Troy Lee FlinnOsaic Fs, Inc. otherTower Square Securities, Inc. otherOtherJan 13, 2004Jan 13, 2004
Glenn Douglas GreenwoodCetera Investment Advisers LLC otherTower Square Securities, Inc. otherOtherDec 31, 2003Jan 2, 2004
Peter Michael CoteVeravest Investment Advisors, Inc. unclassifiedTower Square Securities, Inc. otherOtherDec 18, 2003Nov 14, 2003
Michael Stanley BlaszczakVeravest Investment Advisors, Inc. unclassifiedTower Square Securities, Inc. otherOtherDec 12, 2003Dec 15, 2003
Frank Christian GermanoVeravest Investment Advisors, Inc. unclassifiedTower Square Securities, Inc. otherOtherOct 21, 2003Sep 10, 2003
Allen Kent BroylesInvestment Professionals, Inc. otherTower Square Securities, Inc. otherOtherOct 6, 2003Oct 7, 2003
Robert Bradley KnowlesConcourse Financial Group Advisors otherTower Square Securities, Inc. otherOtherSep 30, 2003Oct 17, 2003
Chad Howard MillingSecurian Financial Services, Inc. otherTower Square Securities, Inc. otherOtherAug 29, 2003Sep 5, 2003
Michael Scott AllisonVoya Financial Advisors, Inc. otherTower Square Securities, Inc. otherOtherJun 30, 2003Jun 30, 2003
Joseph Patrick CallahanTransamerica Financial Advisors, LLC otherTower Square Securities, Inc. otherOtherMay 27, 2003Jun 23, 2003
Charles Carl ScrattishBanc One Securities Corporation unclassifiedTower Square Securities, Inc. otherOtherMar 10, 2003Mar 10, 2003
Theresa Ann ProcidaWs Griffith Securities, Inc. unclassifiedTower Square Securities, Inc. otherOtherJan 15, 2003Jul 23, 2004 (555 d)
Carlos J F LopezStrategic Advisers LLC national BDTower Square Securities, Inc. otherOtherNov 22, 2002Apr 3, 2003 (132 d)
Thomas Donald WrightQuick & Reilly, Inc. unclassifiedTower Square Securities, Inc. otherOtherOct 15, 2002Dec 16, 2002 (62 d)
James Arthur MasheyEagle Strategies LLC otherTower Square Securities, Inc. otherOtherOct 4, 2002Aug 3, 2007 (1764 d)
Craig Stephen KorolStifel, Nicolaus & Company, Incorporated national BDTower Square Securities, Inc. otherOtherSep 18, 2002Sep 20, 2002
Joel Blanco GilhangAmeriprise Financial Services, LLC national BDTower Square Securities, Inc. otherOtherJul 10, 2002Jul 22, 2004 (743 d)
Joseph Paul PreddyCitigroup Global Markets Inc. otherTower Square Securities, Inc. otherOtherJun 4, 2002Jul 8, 2002 (34 d)
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85 moves match.