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 Securities, 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
Jude Harvey Wilson	Questar Asset Management, Inc. other	First Allied Securities, Inc. other	Other	May 20, 2009	May 11, 2009
Jon Patrick Topolski	UBS Financial Services Inc. wirehouse	First Allied Securities, Inc. other	Other	May 13, 2009	Jul 7, 2009 (55 d)
Melissa Renee Naylor	Wells Fargo Advisors wirehouse	First Allied Securities, Inc. other	Other	May 4, 2009	Nov 16, 2010 (561 d)
Carlos Everardo Ward	Sagepoint Financial, Inc. other	First Allied Securities, Inc. other	Other	Apr 27, 2009	Apr 20, 2009
George Samuel Hoffman	Midwest Professional Planners, Ltd. other	First Allied Securities, Inc. other	Other	Apr 13, 2009	Dec 7, 2009 (238 d)
Hugh J Halsey	Raymond James Financial Services, Inc. unclassified	First Allied Securities, Inc. other	Other	Apr 6, 2009	Apr 15, 2009
Bradley James Hopp	Kovitz Investment Group, LLC other	First Allied Securities, Inc. other	Other	Apr 2, 2009	Apr 25, 2011 (753 d)
Andrew Ray Sammons	Sagepoint Financial, Inc. other	First Allied Securities, Inc. other	Other	Feb 27, 2009	Feb 23, 2009
John Edward Townes Taylor	Sagepoint Financial, Inc. other	First Allied Securities, Inc. other	Other	Feb 26, 2009	Feb 2, 2009
Richard Jeffrey Thomas	Sagepoint Financial, Inc. other	First Allied Securities, Inc. other	Other	Feb 17, 2009	Feb 2, 2009
David Wordlow Johnson	UBS Financial Services Inc. wirehouse	First Allied Securities, Inc. other	Other	Feb 11, 2009	Jan 30, 2009
Kent Wesley Thompson	Osaic Fa, Inc. other	First Allied Securities, Inc. other	Other	Feb 4, 2009	Feb 2, 2009
William Robert Joiner	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	First Allied Securities, Inc. other	Other	Jan 22, 2009	Jan 13, 2009
Ryan Maul	National Planning Corporation ("Npc Of America" In Fl & Ny) other	First Allied Securities, Inc. other	Other	Jan 9, 2009	Feb 9, 2009 (31 d)
Clifton M Yasutomi	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	First Allied Securities, Inc. other	Other	Jan 2, 2009	Dec 20, 2010 (717 d)
Charles Bradley Campbell	State Farm Investment Management Corp. other	First Allied Securities, Inc. other	Other	Dec 31, 2008	Oct 7, 2010 (645 d)
Daniel Allen Doughty	Securian Financial Services, Inc. other	First Allied Securities, Inc. other	Other	Dec 31, 2008	Mar 2, 2009 (61 d)
Jason Vitucci	National Planning Corporation ("Npc Of America" In Fl & Ny) other	First Allied Securities, Inc. other	Other	Dec 15, 2008	Dec 12, 2008
Arthur Duggan Norton	First Montauk Securities Corp. unclassified	First Allied Securities, Inc. other	Other	Dec 9, 2008	Dec 9, 2008
Jeffrey Alan Bahary	First Montauk Securities Corp. unclassified	First Allied Securities, Inc. other	Other	Dec 9, 2008	Dec 9, 2008
Anthony You Ding Lee	First Montauk Securities Corp. unclassified	First Allied Securities, Inc. other	Other	Dec 9, 2008	Dec 9, 2008
Christopher Robert Rubano	First Montauk Securities Corp. unclassified	First Allied Securities, Inc. other	Other	Dec 9, 2008	Dec 9, 2008
John Joseph Lee	First Montauk Securities Corp. unclassified	First Allied Securities, Inc. other	Other	Dec 9, 2008	Dec 9, 2008
Ronald Hayden Williams	First Montauk Securities Corp. unclassified	First Allied Securities, Inc. other	Other	Dec 9, 2008	Dec 9, 2008
Dominic George Tobacco	First Montauk Securities Corp. unclassified	First Allied Securities, Inc. other	Other	Dec 9, 2008	Dec 9, 2008
Al Elnasser	First Montauk Securities Corp. unclassified	First Allied Securities, Inc. other	Other	Dec 9, 2008	Dec 9, 2008
Robert Alfred Cosentino	First Montauk Securities Corp. unclassified	First Allied Securities, Inc. other	Other	Dec 9, 2008	Dec 9, 2008
Gary Capaldo	First Montauk Securities Corp. unclassified	First Allied Securities, Inc. other	Other	Dec 9, 2008	Dec 9, 2008
John P Martinos	First Montauk Securities Corp. unclassified	First Allied Securities, Inc. other	Other	Dec 9, 2008	Dec 9, 2008
Tejaswi Suresh Patel	First Montauk Securities Corp. unclassified	First Allied Securities, Inc. other	Other	Dec 9, 2008	Dec 9, 2008
Robert Nicholas Casolaro	First Montauk Securities Corp. unclassified	First Allied Securities, Inc. other	Other	Dec 9, 2008	Dec 9, 2008
Anthony Grassi	First Montauk Securities Corp. unclassified	First Allied Securities, Inc. other	Other	Dec 9, 2008	Dec 9, 2008
Mark A Stone	First Montauk Securities Corp. unclassified	First Allied Securities, Inc. other	Other	Dec 9, 2008	Dec 9, 2008
Daniel Joseph Lombardozzi	First Montauk Securities Corp. unclassified	First Allied Securities, Inc. other	Other	Dec 9, 2008	Dec 9, 2008
Eric Louis Sciulla	First Montauk Securities Corp. unclassified	First Allied Securities, Inc. other	Other	Dec 9, 2008	Dec 9, 2008
Christopher J Braccia	First Montauk Securities Corp. unclassified	First Allied Securities, Inc. other	Other	Dec 9, 2008	Dec 9, 2008
Juan Carlos Mansilla	Sii Investments, Inc. other	First Allied Securities, Inc. other	Other	Dec 9, 2008	Dec 10, 2008
Greg Paul D'Esposito	First Montauk Securities Corp. unclassified	First Allied Securities, Inc. other	Other	Dec 9, 2008	Dec 9, 2008
Anthony Michael Fauci	First Montauk Securities Corp. unclassified	First Allied Securities, Inc. other	Other	Dec 9, 2008	Dec 9, 2008
Daniel James Laraway	First Montauk Securities Corp. unclassified	First Allied Securities, Inc. other	Other	Dec 9, 2008	Dec 9, 2008
Lorinda Bolz Spivey	Transamerica Financial Advisors, LLC other	First Allied Securities, Inc. other	Other	Dec 5, 2008	Dec 1, 2008
Michael Arthur Brannock	Transamerica Financial Advisors, LLC other	First Allied Securities, Inc. other	Other	Dec 5, 2008	Dec 1, 2008
Gerald James Nassif	Transamerica Financial Advisors, LLC other	First Allied Securities, Inc. other	Other	Dec 5, 2008	Dec 1, 2008
Stephen Russell Coupe	Pacific Northwest Asset Management, Inc. unclassified	First Allied Securities, Inc. other	Other	Oct 22, 2008	Dec 9, 2008 (48 d)
Jonathan Leif Holljes	Greenbook Investment Management, Inc. unclassified	First Allied Securities, Inc. other	Other	Oct 3, 2008	Oct 16, 2008
Sarah Elizabeth Kordon	The Commerce Company unclassified	First Allied Securities, Inc. other	Other	Sep 18, 2008	Jul 23, 2009 (308 d)
David Nathan Hale	UBS Financial Services Inc. wirehouse	First Allied Securities, Inc. other	Other	Sep 16, 2008	Sep 2, 2008
Derrick Handwerk	Cadaret Grant & Co Inc other	First Allied Securities, Inc. other	Other	Sep 15, 2008	Sep 15, 2008
Thomas Octave Pekar	Ladenburg Thalmann Asset Management Inc other	First Allied Securities, Inc. other	Other	Jul 21, 2008	Aug 6, 2008
John David Lawrence	Wells Fargo Advisors wirehouse	First Allied Securities, Inc. other	Other	Jul 17, 2008	Jun 1, 2010 (684 d)
Brian Daniel Vosberg	Transamerica Financial Advisors, Inc. unclassified	First Allied Securities, Inc. other	Other	Jul 10, 2008	Aug 7, 2008
Jeff Scott Boyd	Spc other	First Allied Securities, Inc. other	Other	Jun 27, 2008	Jun 27, 2008
Dennis Charles Clark	Cetera Advisors LLC other	First Allied Securities, Inc. other	Other	May 15, 2008	May 16, 2008
Matthew David Hickey	Cetera Advisors LLC other	First Allied Securities, Inc. other	Other	May 15, 2008	May 14, 2008
Christopher Michael Rhanor	Northwestern Mutual Investment Services,LLC other	First Allied Securities, Inc. other	Other	May 9, 2008	Dec 11, 2009 (581 d)
Matthew Wai Kiu Wong	LPL Financial LLC other	First Allied Securities, Inc. other	Other	May 9, 2008	May 19, 2008
Mark Richard Lobdell	UBS Financial Services Inc. wirehouse	First Allied Securities, Inc. other	Other	Apr 28, 2008	Apr 18, 2008
Delmar Vernice Mckinney	Edward Jones national BD	First Allied Securities, Inc. other	Other	Apr 23, 2008	Sep 15, 2008 (145 d)
Victoria Ann Wilk	Waddell & Reed other	First Allied Securities, Inc. other	Other	Apr 21, 2008	Dec 1, 2009 (589 d)
William Daniel Saplicki	Ameriprise Advisor Services, Inc. unclassified	First Allied Securities, Inc. other	Other	Apr 9, 2008	Apr 4, 2008

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283 moves match.