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 First Allied Advisory Services, 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.

Advisor	From	To	Type	Left	Registered
William Thomas Sullivan	National Planning Corporation ("Npc Of America" In Fl & Ny) other	First Allied Advisory Services, Inc. other	Other	Dec 2, 2014	Dec 1, 2014
Frank Zou Yeag Teng	Goldman Sachs Wealth Services, L.P. other	First Allied Advisory Services, Inc. other	Other	Nov 18, 2014	Jun 18, 2015 (212 d)
William Frederick Fox	New England Securities Corporation other	First Allied Advisory Services, Inc. other	Other	Nov 10, 2014	Nov 3, 2014
James Arthur Baker	New England Securities Corporation other	First Allied Advisory Services, Inc. other	Other	Nov 10, 2014	Nov 3, 2014
Michael Thomas Elsberry	Morgan Stanley wirehouse	First Allied Advisory Services, Inc. other	Other	Nov 6, 2014	Oct 28, 2014
Michael George Walters	National Planning Corporation ("Npc Of America" In Fl & Ny) other	First Allied Advisory Services, Inc. other	Other	Nov 5, 2014	Nov 3, 2014
Travis G Blaser	National Planning Corporation ("Npc Of America" In Fl & Ny) other	First Allied Advisory Services, Inc. other	Other	Oct 8, 2014	Oct 23, 2014
Ronald Reed Mccook	National Planning Corporation ("Npc Of America" In Fl & Ny) other	First Allied Advisory Services, Inc. other	Other	Oct 7, 2014	Oct 23, 2014
Gregory Alexander Gorski	LPL Financial LLC other	First Allied Advisory Services, Inc. other	Other	Sep 12, 2014	Sep 3, 2014
William Holden Fox	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	First Allied Advisory Services, Inc. other	Other	Sep 11, 2014	Nov 3, 2014 (53 d)
Richard Andrew Stamps	Oneamerica Securities, Inc. other	First Allied Advisory Services, Inc. other	Other	Aug 1, 2014	Jul 29, 2014
Jonathan Paul Fucci	Concourse Financial Group Advisors other	First Allied Advisory Services, Inc. other	Other	Jul 3, 2014	Jul 8, 2014
Jeffrey Alan Kerman	Wealth Partners Advisors LLC unclassified	First Allied Advisory Services, Inc. other	Other	Jun 26, 2014	May 21, 2012
Scott Arthur Thomas	Western International Securities other	First Allied Advisory Services, Inc. other	Other	Jun 16, 2014	Jun 16, 2014
Victor Joseph Mastrella	Western International Securities other	First Allied Advisory Services, Inc. other	Other	Jun 16, 2014	Jun 16, 2014
Kenneth Lowell Cook	Next Financial Group, Inc. other	First Allied Advisory Services, Inc. other	Other	May 23, 2014	Nov 30, 2011
Ryan Cole Miracle	LPL Financial LLC other	First Allied Advisory Services, Inc. other	Other	May 2, 2014	Apr 29, 2014
Paul Edward Drolson	Independent Financial Group, LLC other	First Allied Advisory Services, Inc. other	Other	Apr 23, 2014	Apr 17, 2014
Kenneth Dean Fincher	Independent Financial Group, LLC other	First Allied Advisory Services, Inc. other	Other	Apr 23, 2014	Apr 18, 2014
Matthew Anthony Martinez	First Heartland Consultants, Inc. other	First Allied Advisory Services, Inc. other	Other	Apr 16, 2014	Apr 16, 2014
Ernest Lino Jordan	Voya Financial Advisors, Inc. other	First Allied Advisory Services, Inc. other	Other	Apr 10, 2014	Sep 16, 2015 (524 d)
Christopher Lee Boggs	LPL Financial LLC other	First Allied Advisory Services, Inc. other	Other	Mar 18, 2014	Mar 10, 2014
Jonathan David Cox	Invest Financial Corporation other	First Allied Advisory Services, Inc. other	Other	Mar 18, 2014	Apr 30, 2014 (43 d)
Robert Steven Weissbein	Capital Guardian Wealth Management, LLC other	First Allied Advisory Services, Inc. other	Other	Mar 17, 2014	Mar 19, 2014
Charles Richard Dunn	Southwest Investment Advisors, Inc. independent RIA	First Allied Advisory Services, Inc. other	Other	Mar 17, 2014	Jan 2, 2014
Troy David Fox	Invest Financial Corporation other	First Allied Advisory Services, Inc. other	Other	Mar 14, 2014	Apr 1, 2014
David Robert Newbill	Regal Investment Advisors LLC other	First Allied Advisory Services, Inc. other	Other	Mar 14, 2014	Apr 7, 2014
Barton Jay Steindler	Regal Investment Advisors LLC other	First Allied Advisory Services, Inc. other	Other	Mar 14, 2014	Mar 19, 2014
Shannon Paul Simon	Regal Investment Advisors LLC other	First Allied Advisory Services, Inc. other	Other	Mar 14, 2014	Mar 16, 2014
Kristin Gang	Equitable Advisors, LLC national BD	First Allied Advisory Services, Inc. other	Other	Mar 13, 2014	Mar 26, 2014
Kevin E Rust	Hermening Financial Group LLC other	First Allied Advisory Services, Inc. other	Other	Mar 10, 2014	Apr 29, 2010
Calvin Earl Keth	Barber Financial Group other	First Allied Advisory Services, Inc. other	Other	Mar 5, 2014	Jan 19, 2016 (685 d)
Robert Vernon Carr	National Planning Corporation ("Npc Of America" In Fl & Ny) other	First Allied Advisory Services, Inc. other	Other	Mar 4, 2014	Mar 3, 2014
John Wai Cheang	Cetera Advisors LLC other	First Allied Advisory Services, Inc. other	Other	Feb 11, 2014	Feb 7, 2014
Benjamin William Belanger	Cetera Advisors LLC other	First Allied Advisory Services, Inc. other	Other	Feb 11, 2014	Jan 31, 2014
Norman Lee Anderson	United Planners' Financial Services Of America A Limited Partner other	First Allied Advisory Services, Inc. other	Other	Feb 3, 2014	Mar 11, 2014 (36 d)
Thomas Michael Smith	Private Client Services, LLC other	First Allied Advisory Services, Inc. other	Other	Jan 24, 2014	Jan 21, 2014
Christopher Douglas Risher	Private Client Services, LLC other	First Allied Advisory Services, Inc. other	Other	Jan 24, 2014	Jan 21, 2014
Kevin Clinton Loyd	Barber Financial Group other	First Allied Advisory Services, Inc. other	Other	Jan 24, 2014	Dec 19, 2013
Jerome Patrick Owens	Invest Financial Corporation other	First Allied Advisory Services, Inc. other	Other	Jan 23, 2014	Oct 8, 2014 (258 d)
Abbey Dawn Eastham	LPL Financial LLC other	First Allied Advisory Services, Inc. other	Other	Jan 17, 2014	Jan 6, 2014
Jason William Carter	Townsend Asset Management Corp. other	First Allied Advisory Services, Inc. other	Other	Jan 15, 2014	Apr 11, 2013
Victoria Ann Wilk	Ira Wealth Management unclassified	First Allied Advisory Services, Inc. other	Other	Jan 10, 2014	Jul 2, 2012
Sherry Wyble Campbell	Cetera Advisors LLC other	First Allied Advisory Services, Inc. other	Other	Jan 7, 2014	Jan 6, 2014
Sean Hooman Agahi	Horizon Wealth Group, LLC. unclassified	First Allied Advisory Services, Inc. other	Other	Dec 31, 2013	Jul 9, 2012
Michael Lee Jones	Onyx Wealth Advisors, Inc. other	First Allied Advisory Services, Inc. other	Other	Dec 16, 2013	May 16, 2013
Emily Ann Secord	Edward Jones national BD	First Allied Advisory Services, Inc. BD affiliated	Affiliated broker-dealer or bank to another	Dec 16, 2013	Nov 18, 2019 (2163 d)
Steve Grossbard	Ic Advisory Services, Inc. other	First Allied Advisory Services, Inc. other	Other	Dec 13, 2013	Dec 13, 2013
Deanna Lynn Renfro	Sii Investments, Inc. other	First Allied Advisory Services, Inc. other	Other	Dec 9, 2013	Dec 9, 2013
Jerry W Davis	Next Financial Group, Inc. other	First Allied Advisory Services, Inc. other	Other	Nov 26, 2013	Nov 25, 2013
John A Mayfield	Next Financial Group, Inc. other	First Allied Advisory Services, Inc. other	Other	Nov 26, 2013	Nov 25, 2013
Sterling Carmen Hirsch	Brookstone Capital Management LLC other	First Allied Advisory Services, Inc. other	Other	Nov 15, 2013	Nov 18, 2013
Scott Barrett Hoxie	LPL Financial LLC other	First Allied Advisory Services, Inc. other	Other	Nov 12, 2013	Nov 6, 2013
Nicole Therese Westlund	Strategic Advisers LLC national BD	First Allied Advisory Services, Inc. other	Other	Oct 31, 2013	Nov 5, 2013
David Albin	Td Ameritrade, Inc. no RAUM	First Allied Advisory Services, Inc. other	Other	Oct 30, 2013	Nov 19, 2013
Brent Andrew Simpson	Bb&T Institutional Investment Advisers, Inc. other	First Allied Advisory Services, Inc. other	Other	Oct 24, 2013	Nov 7, 2013
Corey Ryan Schepper	Sii Investments, Inc. other	First Allied Advisory Services, Inc. other	Other	Oct 17, 2013	Oct 15, 2013
Cameron Lee Stiles	Sii Investments, Inc. other	First Allied Advisory Services, Inc. other	Other	Oct 17, 2013	Apr 7, 2014 (172 d)
Angela Hiles Foster	Lincoln Investment other	First Allied Advisory Services, Inc. other	Other	Sep 27, 2013	Oct 1, 2013
Gregory Ralph Metcalf	Osaic Wealth, Inc. other	First Allied Advisory Services, Inc. other	Other	Sep 6, 2013	Sep 4, 2013

Page 3 of 5Previous Next

299 moves match.