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 Osaic Fa, 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 |
|---|---|---|---|---|---|
| Robert P Huntington | Citizens Securities, Inc. BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 20, 2021 | Apr 20, 2021 |
| John William Lombardo | Equitable Advisors, LLC national BD | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 12, 2021 | Oct 6, 2021 (177 d) |
| Louis Sidney Wilson | Equitable Advisors, LLC national BD | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 25, 2021 | Mar 15, 2021 |
| Bradley James Ferrell | Advice And Planning Services BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 4, 2021 | Mar 29, 2021 |
| David Michael Lewark | Edward Jones national BD | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 2, 2021 | Mar 3, 2021 |
| Nadya Mets | Finestone Partners unclassified | Osaic Fa, Inc. BD affiliated | Other | Feb 8, 2021 | Jan 20, 2021 |
| Christopher John Martin | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Osaic Fa, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 29, 2021 | Feb 8, 2021 |
| Johnny Lee Cavazos | Equitable Advisors, LLC national BD | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 26, 2021 | Feb 1, 2021 |
| Kenji David Williams | Td Ameritrade, Inc. no RAUM | Osaic Fa, Inc. BD affiliated | Other | Jan 11, 2021 | Feb 11, 2021 (31 d) |
| Louis Kevin Jeffries | Td Ameritrade, Inc. no RAUM | Osaic Fa, Inc. BD affiliated | Other | Jan 11, 2021 | Feb 8, 2021 |
| Tara Louise Mchugh-Hollister | Cuso Financial Services, L.P. BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 4, 2021 | Jan 4, 2021 |
| Katherine Jane Phillips | Confluence Wealth Management LLC independent RIA | Osaic Fa, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Dec 23, 2020 | Dec 7, 2020 |
| Carole Louise Leitgeb | Ameriprise Financial Services, LLC national BD | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Nov 9, 2020 |
| Sandra M Guardado | Morgan Stanley wirehouse | Osaic Fa, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Nov 13, 2020 | Mar 31, 2022 (503 d) |
| Tad Charles Raudman | J.P. Morgan Securities LLC wirehouse | Osaic Fa, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Nov 10, 2020 | Nov 2, 2020 |
| Nancy Ann Pyzel | Nwf Advisory Services Inc independent RIA | Osaic Fa, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Nov 4, 2020 | Oct 22, 2020 |
| Anthony V Sambrato | Valic Financial Advisors, Inc. BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 23, 2020 | Oct 27, 2020 |
| Mason Kyle Goynes | The Shobe Financial Group independent RIA | Osaic Fa, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Sep 30, 2020 | Apr 12, 2021 (194 d) |
| Crystal Latorial Roseman | Nationwide Investment Advisors, LLC BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 5, 2020 | Aug 11, 2020 |
| Steven Michael James | T. Rowe Price Advisory Services, Inc. independent RIA | Osaic Fa, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jul 31, 2020 | Jan 11, 2024 (1259 d) |
| Darin P Vanantwerp | Hornor, Townsend & Kent, LLC BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 24, 2020 | Jul 23, 2020 |
| David Owen Schrempf | MML Investors Services, LLC BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 21, 2020 | Jul 17, 2020 |
| Joseph Michael Phillips | Santander Securities BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 29, 2020 | Jul 1, 2020 |
| Joseph Cogan Rice | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Osaic Fa, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jun 24, 2020 | Jun 22, 2020 |
| Zebradee Isadore Jackson | Citizens Securities, Inc. BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 22, 2020 | Jun 22, 2020 |
| Ronald Irvin Stiles | M&T Securities, Inc. unclassified | Osaic Fa, Inc. BD affiliated | Other | Apr 8, 2020 | Sep 25, 2020 (170 d) |
| Edward Theodore Kemm | Oppenheimer & Co. Inc. BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 3, 2020 | Mar 30, 2020 |
| Donald Andrew Bogue | LPL Financial LLC BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 27, 2020 | Jul 29, 2020 (124 d) |
| Zhengnan Xu | Mason & Associates, Inc. independent RIA | Osaic Fa, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Mar 5, 2020 | Jan 5, 2021 (306 d) |
| Patrick Mccabe | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Osaic Fa, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Feb 7, 2020 | May 14, 2021 (462 d) |
| Donald Bruce Albiston | Pruco Securities, LLC BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 6, 2020 | Feb 3, 2020 |
| Douglas James Ambrose | Td Ameritrade Investment Management, LLC independent RIA | Osaic Fa, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Feb 5, 2020 | Feb 3, 2020 |
| Kevin John Gianfortune | Hornor, Townsend & Kent, LLC BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 3, 2020 | Feb 24, 2020 |
| Christopher M Scuderi | Virtus Investment Advisers, LLC asset manager | Osaic Fa, Inc. BD affiliated | Other | Feb 3, 2020 | Feb 18, 2020 |
| Sarah Heegaard Rush | Wells Fargo Advisors wirehouse | Osaic Fa, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 29, 2020 | Jan 21, 2020 |
| Cathy Louise Nowalk | Larimer Capital Corporation independent RIA | Osaic Fa, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jan 29, 2020 | Feb 5, 2020 |
| Benjamin Carney Bateman | Metz Capital Management LLC other | Osaic Fa, Inc. BD affiliated | Other | Jan 21, 2020 | May 27, 2020 (127 d) |
| Richard Nelson Brittain | Valic Financial Advisors, Inc. BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 10, 2020 | Dec 13, 2019 |
| Charles William Mcgrath | Avantax Advisory Services BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 3, 2020 | Jan 6, 2020 |
| Thomas Joseph Barbaccia | Esi Financial Advisors BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2019 | Jun 14, 2021 (531 d) |
| Catherine Anderson | Osaic Fs, Inc. BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2019 | Aug 22, 2019 |
| Danielle E Workman | Fifth Third Securities, Inc. BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 23, 2019 | Dec 20, 2019 |
| Brandon Koichi Calhoun | RBC Capital Markets, LLC national BD | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 18, 2019 | Dec 4, 2019 |
| Harry Richard Neidermyer | Avantax Advisory Services BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 16, 2019 | Dec 12, 2019 |
| Gregory Mark Gulling | Oneamerica Securities, Inc. BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 10, 2019 | Aug 25, 2021 (624 d) |
| James Antony Clary | Esi Financial Advisors BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 14, 2019 | Nov 14, 2019 |
| John Adam Henderson | Voya Financial Advisors, Inc. BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 29, 2019 | Oct 21, 2019 |
| Michael J Morrow | M&T Securities, Inc. unclassified | Osaic Fa, Inc. BD affiliated | Other | Oct 28, 2019 | Dec 6, 2019 (39 d) |
| Paula Christine Swain | LPL Financial LLC BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 23, 2019 | Oct 7, 2019 |
| Beren S. Anderson | Pruco Securities, LLC BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 2, 2019 | Sep 27, 2019 |
| Donna M Teets | Almanack Investment Partners independent RIA | Osaic Fa, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Oct 1, 2019 | Mar 7, 2022 (888 d) |
| Stephen Craig Mcdermott | M&T Securities, Inc. unclassified | Osaic Fa, Inc. BD affiliated | Other | Sep 13, 2019 | Sep 3, 2019 |
| Neil Anthony Gunter | Valic Financial Advisors, Inc. BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 28, 2019 | Aug 21, 2019 |
| Bruce Tower Schilling | Pks Advisory Services, LLC independent RIA | Osaic Fa, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Aug 7, 2019 | Aug 8, 2019 |
| Francisco Acevedo | Robustwealth, Inc. asset manager | Osaic Fa, Inc. BD affiliated | Other | Aug 7, 2019 | Aug 5, 2019 |
| Michael Anthony Norman | Edward Jones national BD | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 7, 2019 | Aug 2, 2019 |
| John T Driscoll | Park Avenue Securities LLC BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 5, 2019 | Jul 19, 2019 |
| Scott Michael Gomsak | Planning Solutions Group, LLC independent RIA | Osaic Fa, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jul 25, 2019 | Jul 19, 2019 |
| Charles Bernard Poindexter | Woodbury Financial Services, Inc. BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 10, 2019 | Jul 8, 2019 |
| Cindy Dawn Hanke | Nationwide Investment Advisors, LLC BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 18, 2019 | Jun 24, 2019 |
972 moves match.