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 Sii Investments, 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
Matthew Allen Ridler	Fsc Securities Corporation other	Sii Investments, Inc. other	Other	Aug 8, 2007	Aug 15, 2007
Sean Alan Sargent	Fsc Securities Corporation other	Sii Investments, Inc. other	Other	Aug 8, 2007	Aug 7, 2007
Jeffrey Michael Davis	Legacy Advisory Services, Inc. unclassified	Sii Investments, Inc. other	Other	Jul 17, 2007	Aug 22, 2007 (36 d)
Thomas David Fisher	Legacy Advisory Services, Inc. unclassified	Sii Investments, Inc. other	Other	Jul 2, 2007	Jul 2, 2007
Steven Matthew Broughton	Legacy Advisory Services, Inc. unclassified	Sii Investments, Inc. other	Other	Jun 22, 2007	Jun 21, 2007
Edward Lawrence Kiernan	Legacy Advisory Services, Inc. unclassified	Sii Investments, Inc. other	Other	Jun 22, 2007	Jun 27, 2007
Anne Marie Bensel	Davenport & Associates, Inc. unclassified	Sii Investments, Inc. other	Other	Jun 19, 2007	Jan 29, 2007
William Chris Davis	Legacy Advisory Services, Inc. unclassified	Sii Investments, Inc. other	Other	Jun 18, 2007	Jun 21, 2007
Jason Batista	Legacy Advisory Services, Inc. unclassified	Sii Investments, Inc. other	Other	Jun 18, 2007	Jun 18, 2007
David R Cromwell	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Sii Investments, Inc. other	Other	Jun 4, 2007	Jun 15, 2007
John Malone Churchill	Geneos Wealth Management, Inc. other	Sii Investments, Inc. other	Other	May 22, 2007	May 11, 2007
Antonio Lisi	Dion Money Management Inc unclassified	Sii Investments, Inc. other	Other	May 10, 2007	Aug 15, 2007 (97 d)
Brian Joseph Dibrino	Oppenheimer & Co. Inc. other	Sii Investments, Inc. other	Other	Mar 12, 2007	Mar 2, 2007
Gregory Norio Kimura	Equitable Advisors, LLC national BD	Sii Investments, Inc. other	Other	Feb 8, 2007	Feb 22, 2007
Andrew Robert Hermsen	John Hancock Distributors LLC unclassified	Sii Investments, Inc. other	Other	Dec 31, 2006	Jan 11, 2008 (376 d)
Andrew Charles Frazier	Equitable Advisors, LLC national BD	Sii Investments, Inc. other	Other	Nov 9, 2006	Nov 8, 2006
Mathew W Hunnicutt	Equitable Advisors, LLC national BD	Sii Investments, Inc. other	Other	Nov 9, 2006	Nov 8, 2006
Timothy Richard Yee	Sagepoint Financial, Inc. other	Sii Investments, Inc. other	Other	Nov 1, 2006	Oct 23, 2006
George Alan Paxton	Raymond James Financial Services, Inc. unclassified	Sii Investments, Inc. other	Other	Sep 26, 2006	Sep 22, 2006
Scott Lyle Kornstedt	Thrivent Investment Management Inc. other	Sii Investments, Inc. other	Other	Jul 27, 2006	Jul 31, 2006
Mark Joseph Slattery	Securities America Advisors, Inc. other	Sii Investments, Inc. other	Other	May 25, 2006	May 26, 2006
Michael Stephen Myers	Private Consulting Group, Inc. unclassified	Sii Investments, Inc. other	Other	Apr 28, 2006	Apr 28, 2006
Joseph Anthony Stumbroski	Geneos Wealth Management, Inc. other	Sii Investments, Inc. other	Other	Feb 27, 2006	May 22, 2007 (449 d)
Michael Vincent Valencia	Geneos Wealth Management, Inc. other	Sii Investments, Inc. other	Other	Dec 31, 2005	May 22, 2007 (507 d)
Gregory Wade Gobble	Uvest Financial Services Group, Inc. unclassified	Sii Investments, Inc. other	Other	Dec 6, 2005	Dec 6, 2005
Andrew J Vavro	Morgan Stanley Dw Inc. unclassified	Sii Investments, Inc. other	Other	Sep 29, 2005	Aug 9, 2007 (679 d)
Sandra J. Wagner	Morgan Stanley Dw Inc. unclassified	Sii Investments, Inc. other	Other	Aug 29, 2005	Mar 20, 2009 (1299 d)
Eric J Klein	Morgan Stanley Dw Inc. unclassified	Sii Investments, Inc. other	Other	Aug 29, 2005	Mar 20, 2009 (1299 d)
Julie Ann Gawarecki	Equitable Advisors, LLC national BD	Sii Investments, Inc. other	Other	Jul 22, 2005	Jul 26, 2005
Steven James Lautenschlager	LPL Financial LLC other	Sii Investments, Inc. other	Other	Mar 16, 2005	Nov 1, 2006 (595 d)
Peter Louis Seelig	Equitable Advisors, LLC national BD	Sii Investments, Inc. other	Other	Feb 14, 2005	Feb 16, 2005
Donald Robert Harivel	Walnut Street Securities, Inc. other	Sii Investments, Inc. other	Other	Jan 11, 2005	Dec 17, 2004
John Edward Boeckel	Walnut Street Securities, Inc. other	Sii Investments, Inc. other	Other	Jan 11, 2005	Dec 17, 2004
Kyle Steven Aschliman	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Sii Investments, Inc. other	Other	Jan 5, 2005	Jan 10, 2013 (2927 d)
Barrett Sean Porter	Pension Planners Securities, Inc. unclassified	Sii Investments, Inc. other	Other	Dec 17, 2004	Jan 7, 2005
Todd Charles Silliman	LPL Financial LLC other	Sii Investments, Inc. other	Other	Oct 5, 2004	Oct 1, 2004
Andrew P Wilson	Lighthouse Wealth Management other	Sii Investments, Inc. other	Other	Aug 13, 2004	May 19, 2003
Ralph Kirk Teppe	Fsc Securities Corporation other	Sii Investments, Inc. other	Other	Apr 12, 2004	Apr 8, 2004
Thomas Michael Weissenburger	Fsc Securities Corporation other	Sii Investments, Inc. other	Other	Jan 23, 2004	Jan 22, 2004
Brian Keith Puddy	Msi Financial Services, Inc. other	Sii Investments, Inc. other	Other	Jan 5, 2004	Feb 28, 2006 (785 d)
Michael Christopher Wali	Locust Street Securities, Inc. unclassified	Sii Investments, Inc. other	Other	Jan 1, 2004	Jan 15, 2009 (1841 d)
Jennifer Lightcap Johnson	Lighthouse Wealth Management other	Sii Investments, Inc. other	Other	Dec 31, 2003	May 5, 2003
Corey Dale Heimensen	Ameritas Advisory Services other	Sii Investments, Inc. other	Other	Dec 31, 2003	Jan 2, 2004
Ty Alan Bernicke	Bernicke & Associates, Ltd unclassified	Sii Investments, Inc. other	Other	Dec 2, 2003	Jan 31, 2005 (426 d)
Patrick Matthew Hale	U.S. Bancorp Investments, Inc. other	Sii Investments, Inc. other	Other	Nov 3, 2003	Nov 11, 2003
Paul Andrew Hynes	Lincoln Investment other	Sii Investments, Inc. other	Other	Aug 8, 2003	Feb 23, 2005 (565 d)
Howard Edward Rightsell	Atlas Capital Management Corp other	Sii Investments, Inc. other	Other	Jul 2, 2003	Jan 14, 1999
Jeffrey Alan Bowers	Fsc Securities Corporation other	Sii Investments, Inc. other	Other	May 16, 2003	May 21, 2003
Douglas Keller Nigh	LPL Financial LLC other	Sii Investments, Inc. other	Other	May 12, 2003	May 7, 2003
Patricia Elizabeth Monat	Cetera Advisors LLC other	Sii Investments, Inc. other	Other	Feb 5, 2003	Feb 25, 2003
Kermit Johns	Nathan & Lewis Securities, Inc. unclassified	Sii Investments, Inc. other	Other	Jan 27, 2003	Dec 1, 2004 (674 d)
Eric Preston Fenton	Carillon Investments, Inc. unclassified	Sii Investments, Inc. other	Other	Dec 31, 2002	Nov 11, 2003 (315 d)
Emerson Joseph Fersch	Sentra Securities Corporation unclassified	Sii Investments, Inc. other	Other	Dec 31, 2002	Jan 15, 2003
Rodney Allen Wangler	Carillon Investments, Inc. unclassified	Sii Investments, Inc. other	Other	Dec 31, 2002	Nov 11, 2003 (315 d)
Kevin William Mcbarron	Sentra Securities Corporation unclassified	Sii Investments, Inc. other	Other	Nov 15, 2002	Nov 7, 2002
Paul Edward Lewis	Transamerica Financial Advisors, LLC other	Sii Investments, Inc. other	Other	Nov 4, 2002	Nov 7, 2002
Fremont Byron Hodson	Transamerica Financial Advisors, LLC other	Sii Investments, Inc. other	Other	Sep 9, 2002	Sep 19, 2002
Evan Scott Hodson	Transamerica Financial Advisors, LLC other	Sii Investments, Inc. other	Other	Sep 9, 2002	Sep 19, 2002
Nicholas A Trajkovski	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Sii Investments, Inc. other	Other	Aug 30, 2002	Dec 3, 2002 (95 d)
Jason Alan Dumont	Transamerica Financial Advisors, LLC other	Sii Investments, Inc. other	Other	Aug 1, 2002	Jan 20, 2004 (537 d)

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300 moves match.