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 Level Four Advisory Services

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
Adam Denton Prewett	Voya Financial Advisors, Inc. other	Level Four Advisory Services other	Other	Apr 24, 2015	Apr 23, 2015
William Tyson Vanlandingham	J.P. Morgan Securities LLC wirehouse	Level Four Advisory Services other	Other	Mar 12, 2015	Mar 12, 2015
P David Soliman	J.P. Morgan Securities LLC wirehouse	Level Four Advisory Services other	Other	Mar 12, 2015	Mar 12, 2015
Michael Thomas Smith	Investment Professionals, Inc. other	Level Four Advisory Services other	Other	Mar 2, 2015	Mar 31, 2015
James Thomas Stevenson	Bb&T Investment Services, Inc. no RAUM	Level Four Advisory Services other	Other	Feb 5, 2015	May 20, 2015 (104 d)
Charles Raymond Shimer	Equitable Advisors, LLC national BD	Level Four Advisory Services other	Other	Feb 4, 2015	Feb 9, 2015
Charles Phillip Melka	Securian Financial Services, Inc. other	Level Four Advisory Services other	Other	Jan 26, 2015	Feb 2, 2015
Martin Ira Friedman	New England Securities Corporation other	Level Four Advisory Services other	Other	Dec 8, 2014	Dec 5, 2014
Matthew Duane Allgood	Ameriprise Financial Services, LLC national BD	Level Four Advisory Services other	Other	Dec 8, 2014	Dec 2, 2014
John N Wills	UBS Financial Services Inc. wirehouse	Level Four Advisory Services other	Other	Dec 4, 2014	Dec 2, 2014
Gregory Steven Snoor	J.P. Morgan Securities LLC wirehouse	Level Four Advisory Services other	Other	Nov 3, 2014	Oct 22, 2014
Lacey E Buteyn	Lifestyle Planning Solutions, LLC no RAUM	Level Four Advisory Services other	Other	Oct 8, 2014	Mar 26, 2014
Kevin Dale Counts	1st Global Advisors Inc other	Level Four Advisory Services other	Other	Sep 4, 2014	Sep 9, 2014
Joshua David Zorger	Raymond James Financial Services Advisors, Inc other	Level Four Advisory Services other	Other	Aug 4, 2014	Aug 1, 2014
Peter Randall Zierhut	Voya Financial Advisors, Inc. other	Level Four Advisory Services other	Other	Jul 28, 2014	Jul 29, 2014
Jed Gunner Blackburn	Capital One Financial Advisors LLC unclassified	Level Four Advisory Services other	Other	Jun 30, 2014	Jul 7, 2014
Colby Scot Van Sickler	Vsr Advisory Services other	Level Four Advisory Services other	Other	Jun 27, 2014	Jun 30, 2014
Charles Robert Elhoff	Vsr Advisory Services other	Level Four Advisory Services other	Other	Jun 27, 2014	Jul 9, 2014
Brian Craig Tillotson	Vsr Advisory Services other	Level Four Advisory Services other	Other	Jun 20, 2014	Jul 7, 2014
Karen Elicia Spence	Vsr Advisory Services other	Level Four Advisory Services other	Other	Jun 20, 2014	Mar 3, 2016 (622 d)
Alan Ray Tipton	LPL Financial LLC other	Level Four Advisory Services other	Other	Jun 13, 2014	May 13, 2014
Carroll Ronald Sanderson	Pruco Securities, LLC other	Level Four Advisory Services other	Other	Jun 10, 2014	Jun 10, 2014
Christopher Allen White	Pruco Securities, LLC other	Level Four Advisory Services other	Other	May 22, 2014	May 20, 2014
Ronald Cheong Ming Shih	New England Securities Corporation other	Level Four Advisory Services other	Other	May 21, 2014	May 20, 2014
Sammy Moy	New England Securities Corporation other	Level Four Advisory Services other	Other	May 21, 2014	May 12, 2014
Donald Sakamoto	New England Securities Corporation other	Level Four Advisory Services other	Other	May 6, 2014	May 8, 2014
Mark Robert Hayes	Msi Financial Services, Inc. other	Level Four Advisory Services other	Other	May 2, 2014	Apr 28, 2014
Chad James Castrinos	LPL Financial LLC other	Level Four Advisory Services other	Other	Apr 24, 2014	Apr 30, 2014
Michael Jerome Mckersie	Mp & H Financial Group, LLC unclassified	Level Four Advisory Services other	Other	Apr 18, 2014	Apr 4, 2014
Patrick Gill	Lasalle St. Investment Advisors, L.L.C. other	Level Four Advisory Services other	Other	Apr 11, 2014	Apr 24, 2014
Eric Jason Bartlett	Morgan Stanley wirehouse	Level Four Advisory Services other	Other	Apr 11, 2014	Apr 8, 2014
Robert Dean Coffin	Sii Investments, Inc. other	Level Four Advisory Services other	Other	Mar 3, 2014	Mar 7, 2014
Amy Jo Bouchie	Private Advisor Group, LLC other	Level Four Advisory Services other	Other	Feb 27, 2014	Mar 28, 2014
Jeffrey Michael Schlicht	Thrivent Investment Management Inc. other	Level Four Advisory Services other	Other	Jan 27, 2014	Jan 29, 2014
Mitchell Roy Griep	Thrivent Investment Management Inc. other	Level Four Advisory Services other	Other	Jan 27, 2014	Jan 31, 2014
Matthew James Scherer	Thrivent Investment Management Inc. other	Level Four Advisory Services other	Other	Jan 27, 2014	Jan 29, 2014
Gary Walter Schmidt	Thrivent Investment Management Inc. other	Level Four Advisory Services other	Other	Jan 27, 2014	Jan 31, 2014
Daniel Nathan Luber	New England Securities Corporation other	Level Four Advisory Services other	Other	Dec 19, 2013	Feb 28, 2014 (71 d)
Julie Mccombs Blalock	Raymond James Financial Services Advisors, Inc other	Level Four Advisory Services BD affiliated	Other	Oct 11, 2013	Dec 21, 2021 (2993 d)
Joel Blanco Gilhang	Woodbury Financial Services, Inc. other	Level Four Advisory Services other	Other	Oct 9, 2013	Oct 7, 2013
Michael Ralph Romig	Rca Pension Advisors, LLC unclassified	Level Four Advisory Services other	Other	Oct 8, 2013	Aug 29, 2013
Joshua John Sands	New England Securities Corporation other	Level Four Advisory Services other	Other	Sep 12, 2013	Sep 12, 2013
Thomas Eugene Davis	Signator Investors, Inc. other	Level Four Advisory Services other	Other	Sep 11, 2013	Sep 23, 2013
Matthew Robert Barrette	Signator Investors, Inc. other	Level Four Advisory Services other	Other	Sep 11, 2013	Sep 13, 2013
James Devereux Chase	Msi Financial Services, Inc. other	Level Four Advisory Services other	Other	Aug 6, 2013	Jul 24, 2014 (352 d)
John Lewis Boyer	New England Securities Corporation other	Level Four Advisory Services other	Other	Jul 23, 2013	Jul 31, 2013
Lal Ellison Echterhoff	Morgan Stanley wirehouse	Level Four Advisory Services other	Other	Jul 8, 2013	Jun 24, 2013
Craig Steven Blake	LPL Financial LLC other	Level Four Advisory Services other	Other	Jul 2, 2013	May 14, 2013
Jason Todd Hill	Centaurus Financial, Inc. other	Level Four Advisory Services other	Other	May 7, 2013	May 13, 2013
John Edward Martfeld	Cetera Investment Services LLC other	Level Four Advisory Services other	Other	Mar 8, 2013	Mar 26, 2013
Kevin James O'Day	Osaic Fs, Inc. other	Level Four Advisory Services other	Other	Jan 18, 2013	Jan 25, 2012
Andrew Albert Keppy	J.P. Morgan Securities LLC wirehouse	Level Four Advisory Services other	Other	Dec 4, 2012	Dec 9, 2013 (370 d)
Scott Frederick Keiber	Raymond James Financial Services Advisors, Inc other	Level Four Advisory Services BD affiliated	Other	Aug 14, 2012	Dec 21, 2021 (3416 d)
Robert P Eberlin	Citizens Securities, Inc. other	Level Four Advisory Services other	Other	Jun 29, 2012	Jan 13, 2014 (563 d)
John Joseph Spaeth	Morgan Stanley wirehouse	Level Four Advisory Services other	Other	Jan 13, 2012	Jan 8, 2014 (726 d)
Jerome Anthony Bellm	Wells Fargo Advisors wirehouse	Level Four Advisory Services other	Other	Dec 19, 2011	Jan 8, 2014 (751 d)
Mark Mamoru Mitamura	Cetera Advisor Networks LLC other	Level Four Advisory Services other	Other	Nov 4, 2011	Nov 7, 2011
John Todd Vandervoorn	Northwestern Mutual Investment Services,LLC other	Level Four Advisory Services other	Other	May 27, 2011	Jan 8, 2014 (957 d)
Grant Daniel Podsednik	Nfp Advisor Services, LLC other	Level Four Advisory Services other	Other	Jan 31, 2011	Feb 14, 2011
Adrian Trent Podsednik	Osaic Fs, Inc. other	Level Four Advisory Services other	Other	Dec 17, 2010	Dec 20, 2010

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284 moves match.