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 Planmember Securities Corporation

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
Ian ConoverEquitable Advisors, LLC national BDPlanmember Securities Corporation independent RIAAffiliated broker-dealer or bank to independent RIAAug 10, 2018Sep 19, 2018 (40 d)
Richard Michael TretaOsaic Fa, Inc. BD affiliatedPlanmember Securities Corporation independent RIAAffiliated broker-dealer or bank to independent RIAJul 27, 2018Jul 13, 2018
James Gerard WilliamsIc Advisory Services, Inc. BD affiliatedPlanmember Securities Corporation independent RIAAffiliated broker-dealer or bank to independent RIAJun 11, 2018Jun 12, 2018
Bryan Dale DeardenVoya Financial Advisors, Inc. BD affiliatedPlanmember Securities Corporation independent RIAAffiliated broker-dealer or bank to independent RIAJun 1, 2018Jun 4, 2018
Jean Baptiste AfflackEquitable Advisors, LLC national BDPlanmember Securities Corporation independent RIAAffiliated broker-dealer or bank to independent RIAMay 9, 2018May 15, 2020 (737 d)
Alejandro Junior CamachoEdward Jones national BDPlanmember Securities Corporation independent RIAAffiliated broker-dealer or bank to independent RIAMay 8, 2018Jul 27, 2018 (80 d)
Steven M. BreslerEmpower Advisory Group, LLC institutionalPlanmember Securities Corporation independent RIAOtherMay 3, 2018Apr 29, 2020 (727 d)
Timothy Keith KadlecVoya Financial Advisors, Inc. BD affiliatedPlanmember Securities Corporation independent RIAAffiliated broker-dealer or bank to independent RIAApr 30, 2018May 1, 2018
Christopher Riley AveyCetera Investment Advisers LLC BD affiliatedPlanmember Securities Corporation independent RIAAffiliated broker-dealer or bank to independent RIAApr 26, 2018May 31, 2018 (35 d)
Rachael Lynn SchafferRaymond James & Associates, Inc. national BDPlanmember Securities Corporation independent RIAAffiliated broker-dealer or bank to independent RIAApr 5, 2018Jun 6, 2019 (427 d)
Sean L. CampbellScottrade Investment Management BD affiliatedPlanmember Securities Corporation independent RIAAffiliated broker-dealer or bank to independent RIAMar 7, 2018May 29, 2018 (83 d)
Anthony Dean BagneschiEpi Financial Group state registeredPlanmember Securities Corporation independent RIAOtherFeb 28, 2018May 8, 2018 (69 d)
Scott David CarlinLegend Advisory, LLC otherPlanmember Securities Corporation otherOtherFeb 14, 2018Feb 14, 2018
Hien Dang HuynhParsonex Advisory Services, Inc. otherPlanmember Securities Corporation otherOtherJan 29, 2018Feb 27, 2018
Alexis E RodriguezLord, Abbett & Co. LLC otherPlanmember Securities Corporation independent RIAOtherSep 12, 2017Dec 12, 2018 (456 d)
Kerry D RogersClark Financial Services Group, Inc. otherPlanmember Securities Corporation otherOtherAug 25, 2017Oct 30, 2017 (66 d)
Robert Glenn TorrieLincoln Investment otherPlanmember Securities Corporation otherOtherAug 11, 2017Aug 2, 2017
John Francisco UrrutiaCapital Analysts otherPlanmember Securities Corporation otherOtherAug 11, 2017Aug 1, 2017
Kelly Louise DavisFarmers Financial Solutions, LLC no RAUMPlanmember Securities Corporation otherOtherAug 8, 2017Aug 22, 2017
Robert Russell ClayMML Investors Services, LLC otherPlanmember Securities Corporation otherOtherMay 1, 2017Apr 17, 2017
Kenneth John DonnellyNational Planning Corporation ("Npc Of America" In Fl & Ny) otherPlanmember Securities Corporation independent RIAOtherApr 26, 2017Jan 31, 2019 (645 d)
James P MustardLegend Advisory, LLC otherPlanmember Securities Corporation otherOtherFeb 23, 2017Feb 23, 2017
Nickolas R HankersonLegend Advisory, LLC otherPlanmember Securities Corporation otherOtherFeb 17, 2017Feb 17, 2017
Jerome Patrick O'ReillyVista Financial Group, Ltd. unclassifiedPlanmember Securities Corporation otherOtherJan 11, 2017Oct 25, 2016
Heather C RingEquitable Advisors, LLC national BDPlanmember Securities Corporation otherOtherJan 11, 2017Apr 5, 2017 (84 d)
Adam Benjamin CarlatMorgan Stanley wirehousePlanmember Securities Corporation otherOtherOct 21, 2016Oct 13, 2016
Brian James ColemanInvestment Centers Of America, Inc. otherPlanmember Securities Corporation otherOtherSep 28, 2016Jul 7, 2017 (282 d)
Kathleen Ann StapletonGwn Securities Inc. otherPlanmember Securities Corporation otherOtherSep 12, 2016Sep 12, 2016
James Richard DeichCommonwealth Financial Network national BDPlanmember Securities Corporation otherOtherAug 31, 2016Sep 1, 2016
Nigel Rohan PerrymanCetera Advisors LLC otherPlanmember Securities Corporation otherOtherJul 25, 2016Jul 22, 2016
Richard Emerson WilliamsLegend Advisory, LLC otherPlanmember Securities Corporation otherOtherMar 3, 2016Feb 17, 2016
Aaron Grant HolderLegend Advisory, LLC otherPlanmember Securities Corporation otherOtherMar 3, 2016Feb 19, 2016
Richard WilsonLegend Advisory, LLC otherPlanmember Securities Corporation otherOtherMar 2, 2016Mar 9, 2016
Scott Andrew EllsworthLegend Advisory, LLC otherPlanmember Securities Corporation otherOtherMar 2, 2016Feb 22, 2016
Jason Allen SwiatlowskiLegend Advisory, LLC otherPlanmember Securities Corporation otherOtherMar 1, 2016Feb 22, 2016
Douglas Larry StevensLegend Advisory, LLC otherPlanmember Securities Corporation otherOtherFeb 22, 2016Feb 26, 2016
Joseph Boyd BanachLegend Advisory, LLC otherPlanmember Securities Corporation otherOtherFeb 22, 2016Mar 7, 2016
Justin Duane BlevinsLegend Advisory, LLC otherPlanmember Securities Corporation otherOtherFeb 22, 2016Feb 22, 2016
Gary L ImminkLegend Advisory, LLC otherPlanmember Securities Corporation otherOtherFeb 22, 2016Feb 18, 2016
Lance Roland MarcellLegend Advisory, LLC otherPlanmember Securities Corporation otherOtherFeb 19, 2016Feb 26, 2016
Mark John WilliamsonLegend Advisory, LLC otherPlanmember Securities Corporation otherOtherFeb 19, 2016Feb 18, 2016
Douglas Eric BagleyLegend Advisory, LLC otherPlanmember Securities Corporation otherOtherFeb 19, 2016Feb 22, 2016
David Alan MeckstrothLegend Advisory, LLC otherPlanmember Securities Corporation otherOtherFeb 19, 2016Feb 18, 2016
David William LucasLegend Advisory, LLC otherPlanmember Securities Corporation otherOtherFeb 19, 2016Feb 22, 2016
Kyle J ClementLegend Advisory, LLC otherPlanmember Securities Corporation otherOtherFeb 18, 2016Feb 18, 2016
Joshua Richard WilliamsLegend Advisory, LLC otherPlanmember Securities Corporation otherOtherFeb 18, 2016Feb 18, 2016
Aliceson Jeanne MilanowskiLegend Advisory, LLC otherPlanmember Securities Corporation otherOtherFeb 18, 2016Feb 18, 2016
Ryan C DegrazierMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehousePlanmember Securities Corporation otherOtherFeb 3, 2016Apr 13, 2016 (70 d)
Joseph Dewar McgoldrickTransamerica Financial Advisors, LLC otherPlanmember Securities Corporation otherOtherDec 31, 2015Aug 5, 2016 (218 d)
Steven Michael StrattonCambridge Investment Research Advisors, Inc. otherPlanmember Securities Corporation otherOtherNov 10, 2015Oct 10, 2017 (700 d)
Michael David GeorgeEquitable Advisors, LLC national BDPlanmember Securities Corporation otherOtherSep 18, 2015Aug 25, 2017 (707 d)
Daniel Neil TalcottSignator Financial Services, Inc. otherPlanmember Securities Corporation otherOtherSep 17, 2015Sep 17, 2015
Susan K RothWestport Resources Management Inc otherPlanmember Securities Corporation otherOtherJun 11, 2015Sep 18, 2015 (99 d)
Karen Marie WaiteWedbush Securities Inc. otherPlanmember Securities Corporation otherOtherJun 5, 2015Jun 18, 2015
Joseph Scott BauersEquitable Advisors, LLC national BDPlanmember Securities Corporation otherOtherJun 3, 2015Nov 22, 2016 (538 d)
Sean Patrick HaleyNational Planning Corporation ("Npc Of America" In Fl & Ny) otherPlanmember Securities Corporation independent RIAOtherApr 30, 2015Jan 10, 2020 (1716 d)
Francis Christopher AbbeyPrincipal Securities, Inc. otherPlanmember Securities Corporation independent RIAOtherMar 30, 2015Apr 15, 2020 (1843 d)
Robert David RingAdvisor Resource Council otherPlanmember Securities Corporation otherOtherJan 28, 2015Jan 22, 2015
Bruce David KoellnerIc Advisory Services, Inc. otherPlanmember Securities Corporation otherOtherNov 25, 2014Nov 25, 2014
Gary OvsakReliance Investing, Inc. state registeredPlanmember Securities Corporation otherOtherNov 19, 2014Feb 12, 2015 (85 d)
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339 moves match.