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
William Thomas Schoffelman	Charles Schwab & Co., Inc. national BD	Osaic Fa, Inc. other	Other	Jan 3, 2018	Jan 18, 2018
Victor Vernon Sanders	Independent Portfolio Consultants, Inc. other	Osaic Fa, Inc. other	Other	Dec 31, 2017	Dec 13, 2017
Dragos Georgescu	Insight Capital Research & Management Inc other	Osaic Fa, Inc. other	Other	Dec 31, 2017	Dec 15, 2017
Paul Philip Melanson	Osaic Institutions, Inc. other	Osaic Fa, Inc. other	Other	Dec 19, 2017	Jan 26, 2018 (38 d)
Garrick Allen Peters	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Osaic Fa, Inc. other	Other	Dec 19, 2017	Dec 15, 2017
Loren Sinclair Peters	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Osaic Fa, Inc. other	Other	Dec 19, 2017	Dec 15, 2017
Denny Charles Bilikas	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Osaic Fa, Inc. other	Other	Dec 19, 2017	Dec 15, 2017
Thomas Michael Burke	Osaic Institutions, Inc. other	Osaic Fa, Inc. other	Other	Dec 19, 2017	Jan 23, 2018 (35 d)
Jonathan M Pineda	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Osaic Fa, Inc. other	Other	Dec 19, 2017	Dec 15, 2017
Frank Joseph Maldonado	Edward Jones national BD	Osaic Fa, Inc. other	Other	Dec 19, 2017	Dec 18, 2017
Kenneth Allan Ulrich	Sii Investments, Inc. other	Osaic Fa, Inc. other	Other	Dec 8, 2017	Jan 9, 2018 (32 d)
John Ariola	Sii Investments, Inc. other	Osaic Fa, Inc. other	Other	Dec 8, 2017	Dec 11, 2017
Andrew Paul Goetz	Ameriprise Financial Services, LLC national BD	Osaic Fa, Inc. other	Other	Dec 6, 2017	Mar 13, 2018 (97 d)
Beth Ann Hearn	Waddell & Reed other	Osaic Fa, Inc. other	Other	Nov 28, 2017	Nov 22, 2017
Matthew Kent Whitson	MML Investors Services, LLC other	Osaic Fa, Inc. other	Other	Nov 14, 2017	Nov 10, 2017
William Warren Crozier	MML Investors Services, LLC other	Osaic Fa, Inc. other	Other	Nov 13, 2017	Nov 13, 2017
Nicholas Moor Weissfeld	MML Investors Services, LLC other	Osaic Fa, Inc. other	Other	Nov 10, 2017	Oct 30, 2017
Kevin Joseph Mcdermott	Cuso Financial Services, L.P. other	Osaic Fa, Inc. other	Other	Nov 8, 2017	Nov 2, 2017
John George Kane	Cuso Financial Services, L.P. other	Osaic Fa, Inc. other	Other	Nov 8, 2017	Nov 2, 2017
Andrew T. Norton	Cuso Financial Services, L.P. other	Osaic Fa, Inc. other	Other	Nov 8, 2017	Nov 3, 2017
Shawn Lee Ehrhardt	Investment Centers Of America, Inc. other	Osaic Fa, Inc. other	Other	Nov 6, 2017	Nov 3, 2017
Yu Zhang Krisko	Morgan Stanley wirehouse	Osaic Fa, Inc. other	Other	Oct 16, 2017	Oct 13, 2017
Ty Mcgilberry	Securian Financial Services, Inc. other	Osaic Fa, Inc. other	Other	Oct 13, 2017	Oct 11, 2017
John Andrew Frank	Summit Financial Resources Inc no RAUM	Osaic Fa, Inc. other	Other	Oct 5, 2017	Oct 3, 2017
James Vincent Greco	Equitable Advisors, LLC national BD	Osaic Fa, Inc. other	Other	Oct 5, 2017	Oct 4, 2017
Mark Christopher Hughes	Oppenheimer & Co. Inc. other	Osaic Fa, Inc. other	Other	Sep 22, 2017	Sep 12, 2017
Amy Janelle Violante	Ameriprise Financial Services, LLC national BD	Osaic Fa, Inc. other	Other	Sep 13, 2017	Nov 6, 2017 (54 d)
Courtney Ann Walls	Blackrock Financial Management, Inc other	Osaic Fa, Inc. BD affiliated	Other	Sep 7, 2017	May 2, 2018 (237 d)
Patricia Ann O'Connor	MML Investors Services, LLC other	Osaic Fa, Inc. other	Other	Sep 5, 2017	Aug 31, 2017
Norma Alice Romero-Mitchell	Woodbury Financial Services, Inc. other	Osaic Fa, Inc. other	Other	Aug 24, 2017	Aug 21, 2017
Anthony James Cerciello	Park Avenue Securities LLC other	Osaic Fa, Inc. BD affiliated	Other	Aug 22, 2017	Sep 26, 2018 (400 d)
Andre Dawkins	MML Investors Services, LLC other	Osaic Fa, Inc. other	Other	Aug 16, 2017	Aug 9, 2017
Scott Andrew Lauer	MML Investors Services, LLC other	Osaic Fa, Inc. other	Other	Aug 8, 2017	Aug 7, 2017
Asa Clayton Alliston	Trademark Capital Management Inc. other	Osaic Fa, Inc. other	Other	Aug 1, 2017	Aug 3, 2017
Eric Tropea	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Osaic Fa, Inc. other	Other	Jul 25, 2017	Jul 27, 2017
Joseph James Kavanagh	Lincoln Investment other	Osaic Fa, Inc. other	Other	Jul 13, 2017	Aug 3, 2017
Derek Michael Tuz	Charles Schwab & Co., Inc. national BD	Osaic Fa, Inc. other	Other	Jul 11, 2017	Jul 12, 2017
Carolyn Marie Robinson	MML Investors Services, LLC other	Osaic Fa, Inc. other	Other	Jul 10, 2017	Aug 8, 2017
Michael George Devere	MML Investors Services, LLC other	Osaic Fa, Inc. other	Other	Jun 13, 2017	Jun 12, 2017
Chase Jonathan Young	MML Investors Services, LLC other	Osaic Fa, Inc. other	Other	Jun 13, 2017	Jun 12, 2017
Michael Andre Aguado	MML Investors Services, LLC other	Osaic Fa, Inc. other	Other	Jun 9, 2017	Jun 6, 2017
Robert E. Lutz	Invest Financial Corporation other	Osaic Fa, Inc. other	Other	Jun 9, 2017	Jun 15, 2017
Jason Michael Simmons	Fisher Investments other	Osaic Fa, Inc. other	Other	May 24, 2017	Jul 7, 2017 (44 d)
Nicholas J Desantis	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Osaic Fa, Inc. other	Other	May 18, 2017	Jul 13, 2017 (56 d)
Jeffrey Andrew Nance	Invista Advisors other	Osaic Fa, Inc. other	Other	May 11, 2017	May 5, 2017
Kathie Herbst Okun	Hornor, Townsend & Kent, LLC other	Osaic Fa, Inc. other	Other	Apr 13, 2017	Apr 7, 2017
Stuart Franklin Gray	Hornor, Townsend & Kent, LLC other	Osaic Fa, Inc. other	Other	Apr 13, 2017	Apr 7, 2017
Joann Canice Rodkey	Oppenheimer & Co. Inc. other	Osaic Fa, Inc. other	Other	Apr 11, 2017	May 26, 2017 (45 d)
John Daniel Ebinger	Sherman Wealth Management LLC independent RIA	Osaic Fa, Inc. other	Other	Apr 10, 2017	Oct 4, 2017 (177 d)
Ian David Weisser	Hornor, Townsend & Kent, LLC other	Osaic Fa, Inc. other	Other	Apr 6, 2017	Apr 3, 2017
Shane M Reniker	U.S. Bancorp Advisors, LLC other	Osaic Fa, Inc. other	Other	Apr 6, 2017	May 10, 2017 (34 d)
Nakia Schwann Martin	Cambridge Investment Research Advisors, Inc. other	Osaic Fa, Inc. other	Other	Apr 4, 2017	Apr 5, 2017
Katerina Hencova	Signator Investors, Inc. other	Osaic Fa, Inc. other	Other	Apr 1, 2017	Apr 4, 2017
Kyle James Charles	Equitable Advisors, LLC national BD	Osaic Fa, Inc. other	Other	Mar 22, 2017	Mar 21, 2017
Travis Craig Simas	Creative Financial Designs, Inc. other	Osaic Fa, Inc. other	Other	Mar 14, 2017	Mar 13, 2017
Ernst Mahler	Independent Portfolio Consultants, Inc. other	Osaic Fa, Inc. other	Other	Mar 7, 2017	May 24, 2017 (78 d)
Ricardo Graciano	Claraphi Advisory Network, LLC other	Osaic Fa, Inc. other	Other	Mar 7, 2017	Mar 17, 2017
Lawrence Sanfilippo	Equitable Advisors, LLC national BD	Osaic Fa, Inc. other	Other	Mar 3, 2017	Mar 6, 2017
Nicolas Rich	Valic Financial Advisors, Inc. other	Osaic Fa, Inc. other	Other	Feb 24, 2017	Jan 30, 2017
Joseph Dominic Dicriscio	Msi Financial Services, Inc. other	Osaic Fa, Inc. other	Other	Feb 21, 2017	Sep 14, 2017 (205 d)

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972 moves match.