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 Independent Financial Group, LLC
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 |
|---|---|---|---|---|---|
| Stuart F Hennessey | Morgan Stanley wirehouse | Independent Financial Group, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Nov 29, 2022 | Nov 16, 2022 |
| Philip R Johnson | Aegis Capital Corp. BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 15, 2022 | Nov 16, 2022 |
| Marcus Terrell Henderson | Osaic Wealth, Inc. BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 2, 2022 | Oct 31, 2022 |
| Todd Anthony Turner | Osaic Wealth, Inc. BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 1, 2022 | Oct 28, 2022 |
| Meshan Antoinette Smith | Osaic Wealth, Inc. BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 1, 2022 | Oct 28, 2022 |
| Anayansi Testa | Morgan Stanley wirehouse | Independent Financial Group, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 18, 2022 | Oct 18, 2022 |
| Bryce J Jones | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Independent Financial Group, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 11, 2022 | Oct 13, 2022 |
| James Audy Braziel | Braziel & Associates, LLC state registered | Independent Financial Group, LLC BD affiliated | Other | Oct 5, 2022 | Jul 15, 2022 |
| Glen Yonggun Kim | Equitable Advisors, LLC national BD | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 28, 2022 | Jul 5, 2023 (280 d) |
| Amy Rebecca Frank Goldman | Kalos Management BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 23, 2022 | Sep 22, 2022 |
| Bryan Edward Mazza | Cetera Advisors LLC BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 7, 2022 | Sep 7, 2022 |
| Zhihua Tang | Eagle Strategies LLC BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 25, 2022 | Sep 2, 2022 |
| Scott Ronald Pilchard | Fbl Wealth Management, LLC BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 18, 2022 | Aug 19, 2022 |
| Kevin Quay Williams | Grove Point Advisors, LLC BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 8, 2022 | Aug 8, 2022 |
| Douglas Sawyer Corey | Grove Point Advisors, LLC BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 8, 2022 | Aug 8, 2022 |
| Michael Anthony Steinkamp | Edward Jones national BD | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 29, 2022 | Sep 1, 2022 (34 d) |
| Charles Mann | Npb Financial Group, LLC independent RIA | Independent Financial Group, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jul 15, 2022 | Jul 15, 2022 |
| Joseph Gustav Yurgec | Npb Financial Group, LLC independent RIA | Independent Financial Group, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jul 15, 2022 | Jul 15, 2022 |
| Douglas Gene Mccowen | Npb Financial Group, LLC independent RIA | Independent Financial Group, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jul 15, 2022 | Jul 15, 2022 |
| Shirley Jamil Coria | Npb Financial Group, LLC independent RIA | Independent Financial Group, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jul 15, 2022 | Jul 15, 2022 |
| Kent Randall Alston | Npb Financial Group, LLC independent RIA | Independent Financial Group, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jul 15, 2022 | Jan 13, 2026 (1278 d) |
| Paul Louis Knoblich | Npb Financial Group, LLC independent RIA | Independent Financial Group, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jul 15, 2022 | Jan 1, 2025 (901 d) |
| John Raymond Pearson | Npb Financial Group, LLC independent RIA | Independent Financial Group, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jul 15, 2022 | Jul 15, 2022 |
| Timothy Thomas Tracy | Npb Financial Group, LLC independent RIA | Independent Financial Group, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jul 15, 2022 | Jul 15, 2022 |
| Richard Binkley Du Vernet | Npb Financial Group, LLC independent RIA | Independent Financial Group, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jul 15, 2022 | Jan 1, 2025 (901 d) |
| Steven Thomas Hadder | Npb Financial Group, LLC independent RIA | Independent Financial Group, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jul 15, 2022 | Jul 15, 2022 |
| Kimberly Ann Barentsen | Npb Financial Group, LLC independent RIA | Independent Financial Group, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jul 15, 2022 | Jul 15, 2022 |
| Lance Taylor Patton | Npb Financial Group, LLC independent RIA | Independent Financial Group, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jul 15, 2022 | Jul 15, 2022 |
| Thomas Leonard Mckenzie | Npb Financial Group, LLC independent RIA | Independent Financial Group, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jul 15, 2022 | Jul 15, 2022 |
| Matthew Thomas Wright | Npb Financial Group, LLC independent RIA | Independent Financial Group, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jul 15, 2022 | Jul 15, 2022 |
| Sylvain David Templeman | The Pacific Financial Group, Inc. independent RIA | Independent Financial Group, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jul 15, 2022 | Sep 19, 2022 (66 d) |
| Lianne Nichole Larson | Npb Financial Group, LLC independent RIA | Independent Financial Group, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jul 15, 2022 | Jan 1, 2025 (901 d) |
| William Nicholas Yakobovich | Npb Financial Group, LLC independent RIA | Independent Financial Group, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jul 15, 2022 | Jul 15, 2022 |
| Gregory Lloyd Bernhardt | Npb Financial Group, LLC independent RIA | Independent Financial Group, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jul 15, 2022 | Jul 15, 2022 |
| John Patrick Rice | Npb Financial Group, LLC independent RIA | Independent Financial Group, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jul 15, 2022 | Jul 15, 2022 |
| David J. Wibbenmeyer | Premier Financial Partners, LLC unclassified | Independent Financial Group, LLC BD affiliated | Other | Jul 6, 2022 | Mar 18, 2026 (1351 d) |
| Sophie Thilenius | Morgan Stanley wirehouse | Independent Financial Group, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 6, 2022 | Oct 23, 2023 (474 d) |
| Jeffrey Nero | Edward Jones national BD | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 28, 2022 | Jan 27, 2023 (213 d) |
| John Vinson Hogin | Main Street Advisors, LLC other | Independent Financial Group, LLC other | Other | Jun 23, 2022 | Aug 6, 2010 |
| Erick Alberto Montiel | Morgan Stanley wirehouse | Independent Financial Group, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jun 14, 2022 | Jan 1, 2025 (932 d) |
| Williams Keen Butcher | International Assets Investment Management, LLC BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 31, 2022 | May 5, 2022 |
| Duayne Joseph Madl | Main Street Advisors, LLC other | Independent Financial Group, LLC independent RIA | Other | May 26, 2022 | Jan 19, 2021 |
| Mark D Elmore | Sb Advisory, LLC independent RIA | Independent Financial Group, LLC BD affiliated | RIA to affiliated broker-dealer or bank | May 23, 2022 | May 23, 2022 |
| James Edward Bashaw | International Assets Investment Management, LLC BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 12, 2022 | Apr 13, 2022 |
| Alan Edward Wyse | F3logic, LLC independent RIA | Independent Financial Group, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Apr 8, 2022 | Jan 11, 2019 |
| Trevor S Crane | Fidelity Personal And Workplace Advisors BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 5, 2022 | May 11, 2022 (36 d) |
| Alexander Raymond Creede | International Assets Investment Management, LLC BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 4, 2022 | Mar 31, 2022 |
| Chelsea Danielle Petrizzo | Cuso Financial Services, L.P. BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 29, 2022 | Apr 13, 2022 |
| Darren Allen James | Raymond James & Associates, Inc. national BD | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 21, 2022 | Apr 4, 2022 |
| Garrett Benny Gibson | Fidelity Personal And Workplace Advisors BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 5, 2022 | Apr 4, 2022 |
| James Petrizzo | Cuso Financial Services, L.P. BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 7, 2022 | Jan 1, 2025 (1059 d) |
| Chad Henry Cristo | Putnam Investment Management, LLC asset manager | Independent Financial Group, LLC BD affiliated | Other | Feb 3, 2022 | Mar 2, 2022 |
| Ryan Gregory Wood | U.S. Bancorp Advisors, LLC BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 24, 2022 | Feb 8, 2022 |
| Kristin Holly Mata | Ignite Planners LLC independent RIA | Independent Financial Group, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jan 18, 2022 | Dec 17, 2021 |
| Heidi Marie Bird | Thrivent Investment Management Inc. BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 11, 2022 | Jan 25, 2022 |
| Ittai Dvir | Peakstone Financial Advisors independent RIA | Independent Financial Group, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jan 11, 2022 | Jan 20, 2025 (1105 d) |
| Michael Powell | O'Donnell Financial Services, LLC independent RIA | Independent Financial Group, LLC independent RIA | RIA to RIA | Jan 6, 2022 | Jan 10, 2020 |
| Alexandra Nicole Rasmussen | Financial Counseling Resources LLC other | Independent Financial Group, LLC BD affiliated | Other | Dec 31, 2021 | Jul 15, 2022 (196 d) |
| David Albin | Cetera Investment Advisers LLC BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 23, 2021 | Nov 7, 2022 (319 d) |
| Don Hosea Williams | Thrivent Advisor Network, LLC BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 16, 2021 | Mar 7, 2023 (446 d) |
719 moves match.