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 Waddell & Reed
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 |
|---|---|---|---|---|---|
| Thomas Edward Brand | Wells Fargo Advisors wirehouse | Waddell & Reed BD affiliated | Wirehouse to affiliated broker-dealer or bank | Feb 21, 2020 | Feb 13, 2020 |
| John William Hungerford | Bmo Harris Financial Advisors, Inc BD affiliated | Waddell & Reed BD affiliated | Affiliated broker-dealer or bank to another | Feb 11, 2020 | Feb 11, 2020 |
| Eloisa Vela | Thrivent Investment Management Inc. BD affiliated | Waddell & Reed BD affiliated | Affiliated broker-dealer or bank to another | Feb 7, 2020 | Mar 6, 2020 |
| Zachary Thomas Holloway | Cetera Advisor Networks LLC BD affiliated | Waddell & Reed BD affiliated | Affiliated broker-dealer or bank to another | Feb 4, 2020 | Feb 4, 2020 |
| Andrew James Beshuk | Providence Financial unclassified | Waddell & Reed BD affiliated | Other | Feb 3, 2020 | Feb 6, 2020 |
| Cynda Lou Wright | Oppenheimer & Co. Inc. BD affiliated | Waddell & Reed BD affiliated | Affiliated broker-dealer or bank to another | Jan 31, 2020 | Jan 24, 2020 |
| Holly Rae Ornelas | Allspring Funds Management, LLC asset manager | Waddell & Reed BD affiliated | Other | Jan 16, 2020 | Oct 14, 2020 (272 d) |
| Michael Jesse Black | Ataraxis Financial state registered | Waddell & Reed BD affiliated | Other | Jan 15, 2020 | Jan 16, 2020 |
| Brian James Tollefson | Commonwealth Financial Network national BD | Waddell & Reed BD affiliated | Affiliated broker-dealer or bank to another | Jan 6, 2020 | Jan 6, 2020 |
| Nicholas Nathaniel Kruell | Northwestern Mutual Investment Services,LLC no RAUM | Waddell & Reed BD affiliated | Other | Dec 23, 2019 | Feb 5, 2020 (44 d) |
| Brady Wayne Wilkins | Cetera Investment Advisers LLC BD affiliated | Waddell & Reed BD affiliated | Affiliated broker-dealer or bank to another | Dec 19, 2019 | Dec 18, 2019 |
| Anthony Eugene Urrutia | Edward Jones national BD | Waddell & Reed BD affiliated | Affiliated broker-dealer or bank to another | Dec 4, 2019 | Jan 10, 2020 (37 d) |
| Theresa Marie Ferrise | Thrivent Investment Management Inc. BD affiliated | Waddell & Reed BD affiliated | Affiliated broker-dealer or bank to another | Dec 3, 2019 | Dec 2, 2019 |
| Jacob Robert Quint | Wells Fargo Advisors wirehouse | Waddell & Reed BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 2, 2019 | Jan 16, 2020 (45 d) |
| Paul David Kuhn | Edward Jones national BD | Waddell & Reed BD affiliated | Affiliated broker-dealer or bank to another | Nov 25, 2019 | Dec 12, 2019 |
| Kelly Dawn Lambert | Mutual Of Omaha Investor Services, Inc. no RAUM | Waddell & Reed BD affiliated | Other | Nov 8, 2019 | Dec 9, 2019 (31 d) |
| Dale Augustin Huang | J.P. Morgan Securities LLC wirehouse | Waddell & Reed BD affiliated | Wirehouse to affiliated broker-dealer or bank | Nov 6, 2019 | Nov 20, 2019 |
| Mark J. Hovanic | Wells Fargo Advisors wirehouse | Waddell & Reed BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 24, 2019 | Nov 19, 2019 |
| Christopher Albert Dulovich | Pnc Wealth Management BD affiliated | Waddell & Reed BD affiliated | Affiliated broker-dealer or bank to another | Oct 17, 2019 | Oct 11, 2019 |
| Tristan Michael Bolton | LPL Financial LLC BD affiliated | Waddell & Reed BD affiliated | Affiliated broker-dealer or bank to another | Sep 30, 2019 | Feb 3, 2020 (126 d) |
| John Cerilli | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Waddell & Reed BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 23, 2019 | Sep 20, 2019 |
| Stephen Edward Bielke | Wells Fargo Advisors wirehouse | Waddell & Reed BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 9, 2019 | Nov 6, 2019 (58 d) |
| Lisa Marie Affolter | Commerce Brokerage Services, Inc independent RIA | Waddell & Reed BD affiliated | RIA to affiliated broker-dealer or bank | Sep 6, 2019 | Sep 6, 2019 |
| Samuel Micah Valerio | Ameriprise Financial Services, LLC national BD | Waddell & Reed BD affiliated | Affiliated broker-dealer or bank to another | Jul 30, 2019 | Feb 18, 2020 (203 d) |
| Matthew James Seigfreid | Cetera Advisors LLC BD affiliated | Waddell & Reed BD affiliated | Affiliated broker-dealer or bank to another | Jul 22, 2019 | Aug 7, 2019 |
| Kevin Darrell Oconnell | D.A. Davidson & Co. independent RIA | Waddell & Reed BD affiliated | RIA to affiliated broker-dealer or bank | Jun 20, 2019 | Jan 7, 2020 (201 d) |
| Joshua Walters | Cibc Private Wealth Advisors, Inc. BD affiliated | Waddell & Reed BD affiliated | Affiliated broker-dealer or bank to another | Jun 13, 2019 | Nov 24, 2020 (530 d) |
| Christopher Brian Mankoff | J.P. Morgan Securities LLC wirehouse | Waddell & Reed BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jun 11, 2019 | May 24, 2019 |
| Emilio Lira | Edward Jones national BD | Waddell & Reed BD affiliated | Affiliated broker-dealer or bank to another | May 23, 2019 | Oct 3, 2019 (133 d) |
| Robert James Guilford | Pruco Securities, LLC BD affiliated | Waddell & Reed BD affiliated | Affiliated broker-dealer or bank to another | May 17, 2019 | Jan 8, 2020 (236 d) |
| Jeremy Allen Truong | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Waddell & Reed BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 16, 2019 | Oct 29, 2019 (166 d) |
| Michelle Sedlacek | Intellicents Investment Solutions Inc institutional | Waddell & Reed BD affiliated | Other | May 6, 2019 | May 17, 2019 |
| Matthew Wells | Bmo Harris Financial Advisors, Inc BD affiliated | Waddell & Reed BD affiliated | Affiliated broker-dealer or bank to another | Apr 11, 2019 | Nov 23, 2020 (592 d) |
| James Ray Romig | Thrivent Investment Management Inc. BD affiliated | Waddell & Reed BD affiliated | Affiliated broker-dealer or bank to another | Mar 26, 2019 | Mar 25, 2019 |
| Gwen Lily Martin | Ameriprise Financial Services, LLC national BD | Waddell & Reed BD affiliated | Affiliated broker-dealer or bank to another | Mar 19, 2019 | May 9, 2019 (51 d) |
| Randal Warren Best | Td Ameritrade Investment Management, LLC independent RIA | Waddell & Reed BD affiliated | RIA to affiliated broker-dealer or bank | Feb 1, 2019 | Feb 15, 2019 |
| Michael Lewis Vanderhoff | Cetera Advisor Networks LLC BD affiliated | Waddell & Reed BD affiliated | Affiliated broker-dealer or bank to another | Feb 1, 2019 | Feb 14, 2019 |
| Francesco Setola | Pruco Securities, LLC BD affiliated | Waddell & Reed BD affiliated | Affiliated broker-dealer or bank to another | Dec 27, 2018 | Jan 4, 2019 |
| Jonathan Graham | Valley Financial Management, Inc. BD affiliated | Waddell & Reed BD affiliated | Affiliated broker-dealer or bank to another | Dec 20, 2018 | Sep 13, 2019 (267 d) |
| Mehul Amritlal Khivesara | Morgan Stanley wirehouse | Waddell & Reed BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 11, 2018 | Jan 8, 2019 |
| Robert Timothy Gump | Usaa Investment Services Company BD affiliated | Waddell & Reed BD affiliated | Affiliated broker-dealer or bank to another | Oct 26, 2018 | Jan 3, 2019 (69 d) |
| Michael Ray Barclift | Charles Schwab & Co., Inc. national BD | Waddell & Reed BD affiliated | Affiliated broker-dealer or bank to another | Oct 5, 2018 | Dec 10, 2018 (66 d) |
| James Robert Carnaghi | Spc BD affiliated | Waddell & Reed BD affiliated | Affiliated broker-dealer or bank to another | Sep 28, 2018 | Sep 28, 2018 |
| Jason William Worley | Equitable Advisors, LLC national BD | Waddell & Reed BD affiliated | Affiliated broker-dealer or bank to another | Jun 22, 2018 | Oct 9, 2018 (109 d) |
| Ryan John Smith | United Capital Financial Advisors independent RIA | Waddell & Reed BD affiliated | RIA to affiliated broker-dealer or bank | Jun 20, 2018 | Feb 14, 2019 (239 d) |
| Christopher M Jacoby | Eagle Strategies LLC BD affiliated | Waddell & Reed BD affiliated | Affiliated broker-dealer or bank to another | Jun 12, 2018 | May 29, 2018 |
| Arrash Bruce Zare | Foresters Advisory Services, LLC BD affiliated | Waddell & Reed BD affiliated | Affiliated broker-dealer or bank to another | Jun 4, 2018 | Jun 1, 2018 |
| Ruth Ann Tsakonas | Woodbury Financial Services, Inc. BD affiliated | Waddell & Reed BD affiliated | Affiliated broker-dealer or bank to another | May 2, 2018 | May 7, 2018 |
| Cory Werlinger | Ameriprise Financial Services, LLC national BD | Waddell & Reed other | Other | Apr 10, 2018 | Mar 15, 2018 |
| James Stuart Linderer | U.S. Bancorp Investments, Inc. BD affiliated | Waddell & Reed BD affiliated | Affiliated broker-dealer or bank to another | Apr 3, 2018 | Apr 9, 2018 |
| Lindsay Elizabeth Olsen | Scottrade Investment Management BD affiliated | Waddell & Reed BD affiliated | Affiliated broker-dealer or bank to another | Apr 2, 2018 | May 2, 2018 |
| Cynthia Rene Nagel | Cue Financial Group, Inc. independent RIA | Waddell & Reed BD affiliated | RIA to affiliated broker-dealer or bank | Mar 27, 2018 | Aug 2, 2018 (128 d) |
| Christian Horacio Ortez | LPL Financial LLC independent RIA | Waddell & Reed other | Other | Mar 22, 2018 | Mar 9, 2018 |
| Brian Walter Cunningham | Scottrade Investment Management BD affiliated | Waddell & Reed BD affiliated | Affiliated broker-dealer or bank to another | Mar 9, 2018 | Oct 2, 2018 (207 d) |
| Samuel Phillip Davis | Scottrade Investment Management BD affiliated | Waddell & Reed BD affiliated | Affiliated broker-dealer or bank to another | Mar 8, 2018 | Nov 29, 2018 (266 d) |
| Matthew Dale Campbell | Scottrade Investment Management BD affiliated | Waddell & Reed BD affiliated | Affiliated broker-dealer or bank to another | Mar 8, 2018 | Sep 21, 2018 (197 d) |
| Jeffrey L Goff | Edward Jones national BD | Waddell & Reed other | Other | Mar 1, 2018 | Mar 13, 2018 |
| Vartan Grigoryan | Foresters Advisory Services, LLC other | Waddell & Reed other | Other | Feb 27, 2018 | Feb 23, 2018 |
| Jenny Jihyun Choe | Foresters Advisory Services, LLC other | Waddell & Reed other | Other | Feb 27, 2018 | Feb 23, 2018 |
| Katherine Marie Griffin | Ameriprise Financial Services, LLC national BD | Waddell & Reed BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2017 | May 3, 2021 (1219 d) |
949 moves match.