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 Sii Investments, 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
Nicholas Edward HussM&I Financial Advisors, Inc. no RAUMSii Investments, Inc. otherOtherJul 12, 2012Jun 7, 2012
Erin Louise GunnellWoodbury Financial Services, Inc. otherSii Investments, Inc. otherOtherMay 21, 2012Jun 29, 2012 (39 d)
Peter John MolesaWoodbury Financial Services, Inc. otherSii Investments, Inc. otherOtherMay 21, 2012Jun 12, 2012
Donald Michael DenstaedtWoodbury Financial Services, Inc. otherSii Investments, Inc. otherOtherMay 21, 2012Jun 12, 2012
Jeffrey Richard HoenleWoodbury Financial Services, Inc. otherSii Investments, Inc. otherOtherMay 21, 2012May 22, 2012
Gregory William HoenleWoodbury Financial Services, Inc. otherSii Investments, Inc. otherOtherMay 21, 2012May 22, 2012
Christopher Patrick BattleMsi Financial Services, Inc. otherSii Investments, Inc. otherOtherMay 15, 2012May 1, 2012
Bernard Gerard Van EperenMsi Financial Services, Inc. otherSii Investments, Inc. otherOtherMay 15, 2012May 1, 2012
John Robert ResslerLPL Financial LLC otherSii Investments, Inc. otherOtherMay 14, 2012May 4, 2012
Kiersten Anna BanaszakWells Fargo Advisors wirehouseSii Investments, Inc. otherOtherMay 4, 2012Jun 12, 2013 (404 d)
John E EhrenfeldSignator Investors, Inc. otherSii Investments, Inc. otherOtherApr 23, 2012Sep 19, 2012 (149 d)
William Stephen TaylorAllspring Funds Management, LLC otherSii Investments, Inc. otherOtherApr 10, 2012Jul 10, 2012 (91 d)
Scott Wayne HamerslyPaulson Investment Company, LLC otherSii Investments, Inc. otherOtherMar 15, 2012Mar 15, 2012
Shawn Thomas HigginbothamSchwab Wealth Advisory, Inc. otherSii Investments, Inc. otherOtherFeb 27, 2012Feb 23, 2012
Carl Pultz FlanaganNfp Advisor Services, LLC otherSii Investments, Inc. otherOtherJan 30, 2012Jan 5, 2012
Kittredge Lee GriffinNfp Advisor Services, LLC otherSii Investments, Inc. otherOtherJan 30, 2012Jan 5, 2012
Steven Harris LivitzNfp Advisor Services, LLC otherSii Investments, Inc. otherOtherJan 30, 2012Jan 5, 2012
Michael Richard MazzellaHouseholder Group Financial Advisors, LLC otherSii Investments, Inc. otherOtherJan 20, 2012Feb 3, 2012
Joel Craig FishmanIntegrative Capital, LLC unclassifiedSii Investments, Inc. otherOtherDec 31, 2011Dec 19, 2011
Michael Lee DunniganPrimerica Advisors national BDSii Investments, Inc. otherOtherNov 21, 2011Nov 15, 2011
Deanna Lynn RenfroMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseSii Investments, Inc. otherOtherOct 31, 2011Oct 26, 2011
Sarah Wigbels WelchHornor, Townsend & Kent, LLC otherSii Investments, Inc. otherOtherOct 27, 2011Aug 13, 2013 (656 d)
Jane M Vande VoortEmployer Retirement Investment Advisors, LLC otherSii Investments, Inc. otherOtherSep 23, 2011Sep 29, 2011
Craig Eldon SchnuelleAmeriprise Financial Services, LLC national BDSii Investments, Inc. otherOtherSep 23, 2011Oct 5, 2011
Matthew Blair BurkWaddell & Reed otherSii Investments, Inc. otherOtherSep 16, 2011Apr 10, 2013 (572 d)
Shawn Patrick ConnollyEquitable Advisors, LLC national BDSii Investments, Inc. otherOtherMay 9, 2011Apr 29, 2011
Frank Charles StamaWaddell & Reed otherSii Investments, Inc. otherOtherApr 13, 2011Apr 1, 2011
Brendon Michael DerouinCapital Financial Services, Inc. otherSii Investments, Inc. otherOtherMar 8, 2011Mar 7, 2011
Lindsey A. RoehlEdward Jones national BDSii Investments, Inc. otherOtherFeb 4, 2011May 29, 2013 (845 d)
Nathan Kendrick MccrillisThrivent Investment Management Inc. otherSii Investments, Inc. otherOtherJan 19, 2011Jan 13, 2011
Timothy Alan KunkelWaveland Capital Partners LLC unclassifiedSii Investments, Inc. otherOtherJan 13, 2011Jan 18, 2011
Jay Frederick HaffleyEquitable Advisors, LLC national BDSii Investments, Inc. otherOtherJan 13, 2011Jan 11, 2011
Jerry Weldon TuckerPark Avenue Securities LLC otherSii Investments, Inc. otherOtherJan 4, 2011Feb 14, 2012 (406 d)
Steven Michael EffertMML Investors Services, LLC otherSii Investments, Inc. otherOtherDec 31, 2010Jan 4, 2011
Jeffrey Kistler JonesNext Financial Group, Inc. otherSii Investments, Inc. otherOtherDec 17, 2010Dec 21, 2010
Christopher Michael WellsNext Financial Group, Inc. otherSii Investments, Inc. otherOtherDec 17, 2010Dec 20, 2010
Michael Lawrence SavoltCapital Financial Services, Inc. otherSii Investments, Inc. otherOtherNov 30, 2010Nov 29, 2010
Daniel James WeberCapital Financial Services, Inc. otherSii Investments, Inc. otherOtherNov 30, 2010Nov 29, 2010
Rebecca Jo GonzalezCapital Financial Services, Inc. otherSii Investments, Inc. otherOtherNov 30, 2010Nov 29, 2010
Derek Andrew LeightonEdward Jones national BDSii Investments, Inc. otherOtherNov 26, 2010Jan 12, 2011 (47 d)
David Edward PentekMML Investors Services, LLC otherSii Investments, Inc. otherOtherNov 11, 2010Jan 3, 2011 (53 d)
Robbie Joseph HayesInvestment Centers Of America, Inc. otherSii Investments, Inc. otherOtherNov 3, 2010Aug 2, 2013 (1003 d)
Frank Anthony PerellaNext Financial Group, Inc. otherSii Investments, Inc. otherOtherOct 21, 2010Oct 21, 2010
Linda Jean BradleKcd Financial, Inc. otherSii Investments, Inc. otherOtherOct 13, 2010Oct 11, 2010
Raymond Anthony SkareInvestment Advisors International, Inc. unclassifiedSii Investments, Inc. otherOtherMay 19, 2010May 17, 2010
Bruce James IattoniInvestment Advisors International, Inc. unclassifiedSii Investments, Inc. otherOtherMay 19, 2010May 17, 2010
John Kenton FaustPacific West Financial Consultants Inc otherSii Investments, Inc. otherOtherMay 19, 2010May 18, 2010
Duwayne William BoettcherInvestment Advisors International, Inc. unclassifiedSii Investments, Inc. otherOtherMay 19, 2010May 17, 2010
Jamie Rae ConnorInvestment Advisors International, Inc. unclassifiedSii Investments, Inc. otherOtherMay 19, 2010May 17, 2010
Joseph William ArnoldAmeriprise Financial Services, LLC national BDSii Investments, Inc. otherOtherMar 2, 2010Feb 26, 2010
David Anthony KlapatchAmeriprise Financial Services, LLC national BDSii Investments, Inc. otherOtherMar 2, 2010Feb 26, 2010
Paul Vladimir TereshchenkoAmeriprise Financial Services, LLC national BDSii Investments, Inc. otherOtherMar 2, 2010Feb 26, 2010
Robert Joseph EspositoHaddon Financial Group, Inc. unclassifiedSii Investments, Inc. otherOtherFeb 3, 2010Jan 5, 2010
James Henry ClarkHaddon Financial Group, Inc. unclassifiedSii Investments, Inc. otherOtherFeb 3, 2010Jan 13, 2010
Douglas Shattuck MillerCue Financial Group, Inc. otherSii Investments, Inc. otherOtherJan 6, 2010Oct 27, 2011 (659 d)
Juli Yvonne McneelyCapital Financial Services, Inc. otherSii Investments, Inc. otherOtherDec 31, 2009Jan 11, 2012 (741 d)
Richard Salvatore LotitoSecurities America Advisors, Inc. otherSii Investments, Inc. otherOtherDec 31, 2009Dec 10, 2009
Lisa Kae AdamsNext Financial Group, Inc. otherSii Investments, Inc. otherOtherDec 15, 2009Dec 14, 2009
David Gerald AdamsNext Financial Group, Inc. otherSii Investments, Inc. otherOtherDec 15, 2009Dec 14, 2009
Michael Chester KirkNext Financial Group, Inc. otherSii Investments, Inc. otherOtherDec 15, 2009Dec 17, 2009
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300 moves match.