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 Level Four Advisory Services

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
Grant Daniel PodsednikCetera Advisor Networks LLC otherLevel Four Advisory Services BD affiliatedOtherDec 19, 2017Feb 12, 2018 (55 d)
Paige Leigh St. MartinThe Shobe Financial Group otherLevel Four Advisory Services otherOtherDec 13, 2017Feb 1, 2018 (50 d)
Raymond Albert PanquerneCfg Advisors LLC unclassifiedLevel Four Advisory Services otherOtherNov 21, 2017Jan 9, 2018 (49 d)
Dennis L. JacksonEdward Jones national BDLevel Four Advisory Services otherOtherNov 14, 2017Nov 20, 2017
Travis Bryan FloydJ.P. Morgan Securities LLC wirehouseLevel Four Advisory Services otherOtherNov 9, 2017Nov 6, 2017
Edward Robert VrablikEagle Strategies LLC otherLevel Four Advisory Services otherOtherOct 3, 2017Oct 13, 2017
Jordan Nicholas AndreolaPersonal Capital Advisors Corporation otherLevel Four Advisory Services otherOtherOct 2, 2017Nov 29, 2017 (58 d)
Scott Christopher ProctorMorgan Stanley wirehouseLevel Four Advisory Services otherOtherSep 5, 2017Aug 31, 2017
Samuel Elliot RodriguezAdvisor Resource Council otherLevel Four Advisory Services otherOtherAug 1, 2017Jul 13, 2017
Sean E DavisOneamerica Securities, Inc. otherLevel Four Advisory Services otherOtherJul 27, 2017Aug 3, 2017
Alan Bryant ComerOneamerica Securities, Inc. otherLevel Four Advisory Services otherOtherJul 27, 2017Jan 16, 2018 (173 d)
Brentson Sanford BowlinJ.P. Morgan Securities LLC wirehouseLevel Four Advisory Services otherOtherJul 12, 2017Jul 3, 2017
Jason Paul InmanOneamerica Securities, Inc. otherLevel Four Advisory Services otherOtherJun 9, 2017Jun 15, 2017
Jason Ashley DoiseOneamerica Securities, Inc. otherLevel Four Advisory Services otherOtherJun 9, 2017Jun 15, 2017
Thomas Payton Collins1st Global Advisors Inc otherLevel Four Advisory Services otherOtherMar 20, 2017Mar 24, 2017
Timothy Robert MahieuWells Fargo Advisors wirehouseLevel Four Advisory Services BD affiliatedWirehouse to affiliated broker-dealer or bankMar 15, 2017Feb 13, 2018 (335 d)
Sara Marie SchauermannWells Fargo Advisors wirehouseLevel Four Advisory Services BD affiliatedWirehouse to affiliated broker-dealer or bankMar 15, 2017Feb 13, 2018 (335 d)
Stanley Terrell FunchesBridgeworth Wealth Management otherLevel Four Advisory Services otherOtherMar 1, 2017Mar 2, 2017
Rory Jacob Dale HartFinancial Management Network Inc otherLevel Four Advisory Services otherOtherDec 8, 2016Jun 29, 2016
John Joseph LinkFinancial Management Network Inc otherLevel Four Advisory Services otherOtherDec 8, 2016Sep 30, 2016
Terry Lavern ThompkinsWells Fargo Advisors wirehouseLevel Four Advisory Services otherOtherDec 1, 2016Dec 6, 2016
Todd BulotSvb Wealth otherLevel Four Advisory Services otherOtherNov 7, 2016Apr 13, 2017 (157 d)
Alden Gerard HagardornAmeriprise Financial Services, LLC national BDLevel Four Advisory Services otherOtherOct 31, 2016Nov 15, 2016
Carla Ann ReillyU.S. Bancorp Investments, Inc. otherLevel Four Advisory Services otherOtherOct 17, 2016Oct 17, 2016
Brian Richard TarroHerbst Financial Advisors, Inc. unclassifiedLevel Four Advisory Services otherOtherOct 17, 2016Jan 20, 2017 (95 d)
Brian W KrukielJ.P. Morgan Securities LLC wirehouseLevel Four Advisory Services otherOtherSep 15, 2016Sep 2, 2016
Robert Luke BrittHorter Investment Management, LLC otherLevel Four Advisory Services otherOtherAug 25, 2016Aug 29, 2016
Jacob Cristobal ChaparroGallacher Capital Management, LLC otherLevel Four Advisory Services otherOtherJul 5, 2016Jun 23, 2016
Arthur Lee SmithFirst Allied Advisory Services, Inc. otherLevel Four Advisory Services otherOtherJul 1, 2016Jul 1, 2016
Harlin Christopher NoelAmeriprise Financial Services, LLC national BDLevel Four Advisory Services otherOtherMay 19, 2016May 17, 2016
Andrew David SharpCharles Schwab & Co., Inc. national BDLevel Four Advisory Services otherOtherMay 18, 2016Apr 28, 2016
Darren Michael FabricMorgan Stanley wirehouseLevel Four Advisory Services otherOtherApr 8, 2016Mar 24, 2016
Frank B MartinRaymond James & Associates, Inc. national BDLevel Four Advisory Services otherOtherFeb 2, 2016Feb 12, 2016
Stephen D IaconisBridgeworth Wealth Management otherLevel Four Advisory Services otherOtherJan 7, 2016Jan 7, 2016
Craig Joseph HorvathMsi Financial Services, Inc. otherLevel Four Advisory Services otherOtherDec 21, 2015Dec 22, 2015
John Allen VannLive Oak Wealth Advisory Group, LLC otherLevel Four Advisory Services otherOtherDec 14, 2015Nov 2, 2015
Scott Andrew PiggushRaymond James Financial Services Advisors, Inc otherLevel Four Advisory Services otherOtherDec 7, 2015Dec 4, 2015
Brandon Raymond JuodikisRaymond James Financial Services Advisors, Inc otherLevel Four Advisory Services BD affiliatedOtherDec 7, 2015Aug 24, 2018 (991 d)
Lucien Eugene CraigLPL Financial LLC otherLevel Four Advisory Services otherOtherNov 2, 2015Oct 31, 2014
Jean Paul LagardeLindus Advisors, Inc. state registeredLevel Four Advisory Services otherOtherOct 22, 2015Oct 30, 2015
Jonathan Keith HaugenThrivent Investment Management Inc. otherLevel Four Advisory Services otherOtherOct 22, 2015Nov 2, 2015
James Andrew FrigstadThrivent Investment Management Inc. otherLevel Four Advisory Services otherOtherOct 22, 2015Nov 2, 2015
Nicholas Guy WiedrichThrivent Investment Management Inc. otherLevel Four Advisory Services otherOtherOct 22, 2015Nov 2, 2015
Robert Harrison EvansPrincipal Securities, Inc. otherLevel Four Advisory Services otherOtherOct 5, 2015Oct 5, 2015
David Munho ChoiWescom Financial Services, LLC independent RIALevel Four Advisory Services otherOtherSep 29, 2015Sep 28, 2015
Wilbur Spear HembyEquitable Advisors, LLC national BDLevel Four Advisory Services otherOtherSep 17, 2015Sep 8, 2015
Matthew Ray RogersEquitable Advisors, LLC national BDLevel Four Advisory Services otherOtherSep 16, 2015May 9, 2017 (601 d)
Mary Elizabeth SargentEquitable Advisors, LLC national BDLevel Four Advisory Services otherOtherSep 16, 2015Sep 8, 2015
Tamara Lynn Drone SchulerMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseLevel Four Advisory Services otherOtherSep 3, 2015Sep 4, 2015
Marcus Claude MooreUBS Financial Services Inc. wirehouseLevel Four Advisory Services otherOtherJul 28, 2015Jul 20, 2015
Kari Jones KirkleyAmeriprise Financial Services, LLC national BDLevel Four Advisory Services BD affiliatedAffiliated broker-dealer or bank to anotherJul 20, 2015Dec 21, 2021 (2346 d)
Kenneth Jerome LemoineSignator Investors, Inc. otherLevel Four Advisory Services otherOtherJul 9, 2015Jul 9, 2015
Brandi Jill HolmesStrategic Advisers LLC national BDLevel Four Advisory Services otherOtherJun 24, 2015Jun 18, 2015
Robert Valliant BrownJ.P. Morgan Securities LLC wirehouseLevel Four Advisory Services otherOtherJun 17, 2015Jun 17, 2015
Timothy Kent AubinJ.P. Morgan Securities LLC wirehouseLevel Four Advisory Services otherOtherJun 17, 2015Jun 17, 2015
Todd Robert DatheRaymond James Financial Services Advisors, Inc otherLevel Four Advisory Services otherOtherMay 8, 2015May 13, 2015
Jeremy James SorensonRaymond James Financial Services Advisors, Inc otherLevel Four Advisory Services otherOtherMay 8, 2015May 12, 2015
Steven Joseph DevlinIndependent Advisor Alliance, LLC otherLevel Four Advisory Services otherOtherApr 30, 2015Apr 30, 2015
Michael David SobiloIndependent Advisor Alliance, LLC otherLevel Four Advisory Services otherOtherApr 30, 2015Apr 30, 2015
Jeff Lee MacyIndependent Advisor Alliance, LLC otherLevel Four Advisory Services otherOtherApr 30, 2015Feb 4, 2015
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284 moves match.