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 |
|---|---|---|---|---|---|
| Richard David Scott | Osaic Fs, Inc. BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 6, 2019 | Jun 4, 2019 |
| William Eric Eastburn | Cetera Investment Advisers LLC BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 4, 2019 | Jun 4, 2019 |
| Jeremy Walker Young | Concourse Financial Group Advisors BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 31, 2019 | May 17, 2019 |
| Roy A Schoenfeld | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Osaic Fa, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 17, 2019 | Jun 13, 2019 |
| Christopher Antolini | Edward Jones national BD | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 7, 2019 | May 29, 2019 |
| Edward Nigel Walters | T. Rowe Price Associates, Inc. asset manager | Osaic Fa, Inc. BD affiliated | Other | Apr 8, 2019 | Apr 5, 2019 |
| Jordan Lauber | Principal Securities, Inc. BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 5, 2019 | Mar 22, 2019 |
| Eva Obregon | Waddell & Reed BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 28, 2019 | Mar 26, 2019 |
| King Wei Mah | Waddell & Reed BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 28, 2019 | Mar 26, 2019 |
| Robert J Dipadua | Pruco Securities, LLC BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 15, 2019 | Mar 15, 2019 |
| Claude J Bishop | Kestra Advisory Services, LLC BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 6, 2019 | Jul 15, 2019 (131 d) |
| Stanley Daniel Stanek | Mercap Advisors, Inc. no RAUM | Osaic Fa, Inc. BD affiliated | Other | Feb 19, 2019 | Feb 1, 2019 |
| Maria Luisa Abrams | Wells Fargo Advisors wirehouse | Osaic Fa, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Feb 14, 2019 | Feb 6, 2019 |
| Eduardo Tiongko Deguzman | MML Investors Services, LLC BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 12, 2019 | Mar 11, 2019 |
| Alan David Jacobson | Citizens Securities, Inc. BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 12, 2019 | Feb 21, 2019 |
| John Michael Pacelli | Kestra Advisory Services, LLC BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 12, 2019 | Feb 8, 2019 |
| Benjamin Emory | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Osaic Fa, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Feb 8, 2019 | Feb 25, 2019 |
| Blaise T Connor | Morgan Stanley wirehouse | Osaic Fa, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 18, 2019 | Jan 25, 2019 |
| Barry Lee Weller | Questar Asset Management, Inc. BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 16, 2019 | Jan 15, 2019 |
| James Martin | Wells Fargo Advisors wirehouse | Osaic Fa, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 7, 2019 | Dec 27, 2018 |
| John A Balster | Principal Securities, Inc. BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2018 | Jan 10, 2019 |
| Jay Richard Labarre | Cetera Advisor Networks LLC BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 27, 2018 | Jan 8, 2019 |
| Michael Werner Stock | MML Investors Services, LLC BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 24, 2018 | Dec 21, 2018 |
| Evan Greggory Lavoie | LPL Financial LLC independent RIA | Osaic Fa, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Dec 24, 2018 | Dec 17, 2018 |
| James William Tucker | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Osaic Fa, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Nov 23, 2018 | May 23, 2019 (181 d) |
| Macgregor Maitland | Commonwealth Financial Network national BD | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2018 | Nov 28, 2018 |
| Brian Michael Frost | Sorrento Pacific Financial, LLC independent RIA | Osaic Fa, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Nov 8, 2018 | Nov 8, 2018 |
| Keith Charles Piscitello | Wells Fargo Advisors wirehouse | Osaic Fa, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Nov 5, 2018 | Nov 2, 2018 |
| Matthew Paul Giesler | Secure Investment Management, LLC independent RIA | Osaic Fa, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Sep 24, 2018 | Oct 5, 2018 |
| Bonafe De Mayo Santos | E*Trade Capital Management, LLC independent RIA | Osaic Fa, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Sep 21, 2018 | Oct 1, 2018 |
| Christopher William Buckley | Capital One Advisors, LLC BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 17, 2018 | Nov 11, 2022 (1516 d) |
| Rodney Wayne Simpson | Bancwest Investment Services, Inc. (Bwis) BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 16, 2018 | Aug 14, 2018 |
| James Craig Griffis | Ameriprise Financial Services, LLC national BD | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 10, 2018 | Aug 21, 2018 |
| Arianna Rae Galvin | Capital One Advisors, LLC BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 2, 2018 | Jul 31, 2018 |
| Christopher John Stief | Capital One Advisors, LLC BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 31, 2018 | Aug 14, 2018 |
| Chintana Griffin | Mutual Of Omaha Investor Services, Inc. no RAUM | Osaic Fa, Inc. BD affiliated | Other | Jul 12, 2018 | Jun 21, 2018 |
| Hrini Sandoval | UBS Financial Services Inc. wirehouse | Osaic Fa, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jun 21, 2018 | May 27, 2022 (1436 d) |
| Terrence Newman | U.S. Bancorp Investments, Inc. BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 15, 2018 | Jun 25, 2018 |
| Edward A Bird | M&T Securities, Inc. unclassified | Osaic Fa, Inc. BD affiliated | Other | Jun 8, 2018 | Jun 14, 2018 |
| Steven Michael Goldberg | Truist Advisory Services, Inc. BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 7, 2018 | Jun 20, 2018 |
| Michael Joseph Mcnulty | Raymond James & Associates, Inc. national BD | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 1, 2018 | May 29, 2018 |
| John Allen Stoner | Waddell & Reed BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 1, 2018 | May 22, 2018 |
| Tyler Mathew Demge | Transamerica Retirement Advisors, LLC mixed wealth | Osaic Fa, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jun 1, 2018 | Jun 4, 2018 |
| Stephanie Marie Goodrich | Navy Federal Investment Services, LLC BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 30, 2018 | Apr 13, 2020 (684 d) |
| Wilfred Clay Haselton | Valic Financial Advisors, Inc. BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 18, 2018 | Jun 5, 2018 |
| Daniel Keith Crumpacker | Valic Financial Advisors, Inc. BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 10, 2018 | May 4, 2018 |
| John Aaron Boudreaux | LPL Financial LLC independent RIA | Osaic Fa, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Apr 26, 2018 | Apr 19, 2018 |
| Mark Gilbert Berkman | Wipfli Financial Advisors, LLC independent RIA | Osaic Fa, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Apr 19, 2018 | Jan 30, 2024 (2112 d) |
| Diane Isabela Fredericks | U.S. Bancorp Investments, Inc. BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 16, 2018 | May 25, 2018 (39 d) |
| David Michael Matzko | Morgan Stanley wirehouse | Osaic Fa, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 2, 2018 | May 30, 2018 (58 d) |
| Matthew Aversa | Equitable Advisors, LLC national BD | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 30, 2018 | Apr 10, 2018 |
| Margaret Ann Salamy | Osaic Fs, Inc. other | Osaic Fa, Inc. BD affiliated | Other | Mar 26, 2018 | Oct 16, 2018 (204 d) |
| Steven Boam | Edward Jones national BD | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 20, 2018 | Oct 1, 2018 (195 d) |
| Kasi Richardson Boyles | Voya Financial Advisors, Inc. other | Osaic Fa, Inc. other | Other | Mar 19, 2018 | Mar 27, 2018 |
| Eamonn Patrick Gaffney | Equitable Advisors, LLC national BD | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 15, 2018 | Apr 2, 2018 |
| Gayle A Russell | Advice And Planning Services other | Osaic Fa, Inc. BD affiliated | Other | Mar 14, 2018 | Jan 8, 2021 (1031 d) |
| Wendy Sue Morasco | LPL Financial LLC independent RIA | Osaic Fa, Inc. other | Other | Mar 9, 2018 | Feb 14, 2018 |
| Troy Aaron Rouleau | Scottrade Investment Management BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 9, 2018 | Aug 7, 2018 (151 d) |
| Rachel Lynn Endres | MML Investors Services, LLC other | Osaic Fa, Inc. BD affiliated | Other | Feb 16, 2018 | May 9, 2024 (2274 d) |
| Andrea Beth Sheikh | Eagle Strategies LLC other | Osaic Fa, Inc. BD affiliated | Other | Jan 18, 2018 | Jun 22, 2018 (155 d) |
972 moves match.