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 Fs, 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
Steven Edward Hamant	LPL Financial LLC other	Osaic Fs, Inc. other	Other	Dec 31, 2014	Dec 23, 2014
Nathan Richard Key	Signator Investors, Inc. other	Osaic Fs, Inc. other	Other	Dec 22, 2014	Dec 22, 2014
Laura C Collins	Signator Investors, Inc. other	Osaic Fs, Inc. other	Other	Dec 8, 2014	Nov 21, 2014
Lucas Alan Burton	Invest Financial Corporation other	Osaic Fs, Inc. other	Other	Dec 1, 2014	Feb 5, 2015 (66 d)
Brian Trost	Bny Mellon Advisors, Inc. other	Osaic Fs, Inc. other	Other	Nov 24, 2014	Jun 3, 2016 (557 d)
Tony Scott Keena	Estate And Business Planning Group, Pa unclassified	Osaic Fs, Inc. other	Other	Nov 6, 2014	Nov 20, 2014
Robert Joseph Sampson	First Command Financial Planning, Inc. other	Osaic Fs, Inc. other	Other	Nov 5, 2014	Nov 18, 2014
Michael David Honold	Eagle Strategies LLC other	Osaic Fs, Inc. other	Other	Oct 30, 2014	Oct 27, 2014
James Richard Lowe	Waddell & Reed other	Osaic Fs, Inc. other	Other	Oct 27, 2014	Nov 7, 2014
John Richard Russo	Msi Financial Services, Inc. other	Osaic Fs, Inc. other	Other	Aug 18, 2014	Dec 12, 2014 (116 d)
Michael Scott Parrish	Woodbury Financial Services, Inc. other	Osaic Fs, Inc. other	Other	Aug 8, 2014	Aug 1, 2014
Johnathan Richard Pulleyn	Woodbury Financial Services, Inc. other	Osaic Fs, Inc. other	Other	Aug 8, 2014	Aug 1, 2014
Hubert Franklin Ramey	Msi Financial Services, Inc. other	Osaic Fs, Inc. other	Other	Aug 5, 2014	Aug 4, 2014
Michael Roberto Nunez	Edward Jones national BD	Osaic Fs, Inc. other	Other	Jul 30, 2014	Nov 19, 2014 (112 d)
Charles W Sells	Msi Financial Services, Inc. other	Osaic Fs, Inc. other	Other	Jun 4, 2014	Jun 9, 2014
James Edward Townes	Securian Financial Services, Inc. other	Osaic Fs, Inc. other	Other	May 23, 2014	Aug 1, 2014 (70 d)
Yamara M Beck	First Command Financial Planning, Inc. other	Osaic Fs, Inc. other	Other	May 13, 2014	May 12, 2014
Cory John Dawkins	Waddell & Reed other	Osaic Fs, Inc. other	Other	May 9, 2014	May 2, 2014
Robert Diamond	Cadaret Grant & Co Inc other	Osaic Fs, Inc. other	Other	Apr 25, 2014	Apr 29, 2014
Edick Antonio Lucas	Osaic Fa, Inc. other	Osaic Fs, Inc. other	Other	Mar 26, 2014	Mar 3, 2014
Faith Goldman Rash	Bb&T Securities, LLC other	Osaic Fs, Inc. other	Other	Mar 11, 2014	Mar 12, 2014
Joseph Welch Seegers	Woodbury Financial Services, Inc. other	Osaic Fs, Inc. other	Other	Mar 6, 2014	Mar 6, 2014
James M Wallace	Equitable Advisors, LLC national BD	Osaic Fs, Inc. other	Other	Mar 4, 2014	Mar 13, 2014
Thomas Denton Foy	LPL Financial LLC other	Osaic Fs, Inc. other	Other	Feb 25, 2014	Feb 17, 2014
Lemuel Weyher Kornegay	Money Concepts Advisory Service other	Osaic Fs, Inc. other	Other	Feb 24, 2014	Feb 25, 2014
Michael Eugene Murphy	Msi Financial Services, Inc. other	Osaic Fs, Inc. other	Other	Feb 19, 2014	Feb 4, 2014
Michael C Whitman	Pruco Securities, LLC other	Osaic Fs, Inc. other	Other	Feb 7, 2014	Feb 19, 2014
Joseph Don Malboeuf	Edward Jones national BD	Osaic Fs, Inc. other	Other	Feb 5, 2014	Oct 8, 2013
Brian Ernest Chapman	Cetera Advisor Networks LLC other	Osaic Fs, Inc. other	Other	Jan 9, 2014	Jan 7, 2014
Robert David Griesemer	Financial House, Inc. unclassified	Osaic Fs, Inc. other	Other	Dec 31, 2013	Sep 7, 2012
Stephen Bruce Cooper	Concourse Financial Group Advisors other	Osaic Fs, Inc. other	Other	Dec 31, 2013	Feb 4, 2014 (35 d)
Emily R Woodson	Financial House, Inc. unclassified	Osaic Fs, Inc. other	Other	Dec 31, 2013	Jan 10, 2013
Sara Scardaci	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Osaic Fs, Inc. other	Other	Dec 26, 2013	May 14, 2015 (504 d)
Daniel Charles Caffrey	Cambridge Investment Research Advisors, Inc. other	Osaic Fs, Inc. other	Other	Dec 23, 2013	Dec 18, 2013
Mark Raphael Puccinelli	Cambridge Investment Research Advisors, Inc. other	Osaic Fs, Inc. other	Other	Dec 23, 2013	Dec 18, 2013
Matthew Oreste Puccinelli	Cambridge Investment Research Advisors, Inc. other	Osaic Fs, Inc. other	Other	Dec 23, 2013	Dec 18, 2013
Travis L White	LPL Financial LLC other	Osaic Fs, Inc. other	Other	Dec 16, 2013	Nov 15, 2013
Robert Craig Balmer	Balmer & Associates Inc. unclassified	Osaic Fs, Inc. other	Other	Dec 14, 2013	Jan 9, 2014
Stephanie Williams Guanzini	LPL Financial LLC other	Osaic Fs, Inc. other	Other	Nov 22, 2013	Nov 15, 2013
Peter Joseph Carollo	Managed Assets Group unclassified	Osaic Fs, Inc. other	Other	Nov 4, 2013	Dec 17, 2010
David Ashby Chrisman	Concourse Financial Group Advisors other	Osaic Fs, Inc. other	Other	Oct 31, 2013	Oct 27, 2015 (726 d)
Daniel Mark Saccal	Sicor Securities Inc unclassified	Osaic Fs, Inc. other	Other	Oct 31, 2013	Oct 30, 2015 (729 d)
Kenneth Luke Kay	Signator Financial Services, Inc. other	Osaic Fs, Inc. other	Other	Sep 30, 2013	Oct 18, 2013
Randall J. Rawe	Cetera Advisors LLC other	Osaic Fs, Inc. other	Other	Aug 8, 2013	Aug 5, 2013
Stephen William Close	LPL Financial LLC other	Osaic Fs, Inc. other	Other	Jul 2, 2013	Jun 19, 2013
Mark J Cangiano	Park Avenue Securities LLC other	Osaic Fs, Inc. other	Other	Jun 19, 2013	Jun 12, 2013
Joseph Wesley Tuck	Wells Fargo Advisors wirehouse	Osaic Fs, Inc. other	Other	Jun 17, 2013	Jun 3, 2013
Carolyn Joyce Shott	Raymond James Financial Services Advisors, Inc other	Osaic Fs, Inc. other	Other	Mar 26, 2013	May 8, 2013 (43 d)
John Archibald Oneill	Principal Securities, Inc. other	Osaic Fs, Inc. other	Other	Mar 15, 2013	Mar 21, 2013
Gerard Vincent Dougherty	Equitable Advisors, LLC national BD	Osaic Fs, Inc. other	Other	Jan 31, 2013	Mar 5, 2013 (33 d)
Jonathan Leif Holljes	Signator Investors, Inc. other	Osaic Fs, Inc. other	Other	Jan 30, 2013	Dec 19, 2014 (688 d)
Delphine Cormiae Hunt	LPL Financial LLC other	Osaic Fs, Inc. other	Other	Jan 28, 2013	Jan 11, 2013
Michael Anthony Head	Msi Financial Services, Inc. other	Osaic Fs, Inc. other	Other	Jan 10, 2013	Apr 12, 2013 (92 d)
Nicole Yvette Redus	Principal Securities, Inc. other	Osaic Fs, Inc. other	Other	Dec 31, 2012	Mar 6, 2013 (65 d)
Jonathan Edward Grabe	Comprehensive Financial LLC unclassified	Osaic Fs, Inc. other	Other	Dec 6, 2012	Dec 6, 2012
Kevin Robert Ledzian	Comprehensive Financial LLC unclassified	Osaic Fs, Inc. other	Other	Dec 6, 2012	Nov 20, 2012
Joseph David Cataldo	Cataldo Financial Group unclassified	Osaic Fs, Inc. other	Other	Nov 27, 2012	Jan 17, 2012
Arthur Bland Sullivan	Independent Advisers Group Corp other	Osaic Fs, Inc. other	Other	Nov 26, 2012	Mar 7, 2000
Richard Joseph Clifford	Cetera Advisor Networks LLC other	Osaic Fs, Inc. other	Other	Nov 16, 2012	Nov 5, 2012
Lucila Ann Williams	First Command Financial Planning, Inc. other	Osaic Fs, Inc. other	Other	Oct 19, 2012	Nov 2, 2012

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490 moves match.