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 Mmc Securities LLC

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.

AdvisorFromToTypeLeftRegistered
Gary Lynn GunningSagepoint Financial, Inc. BD affiliatedMmc Securities LLC no RAUMOtherSep 1, 2023Nov 6, 2014
William Joseph PeartreeSagepoint Financial, Inc. BD affiliatedMmc Securities LLC no RAUMOtherJul 6, 2018Sep 17, 2014
Ryan Michael StoverSagepoint Financial, Inc. BD affiliatedMmc Securities LLC no RAUMOtherJul 6, 2018Nov 11, 2014
Kevin Michael ClemsonCapital Client Group, Inc. no RAUMMmc Securities LLC no RAUMOtherJun 2, 2017Sep 14, 2017 (104 d)
Cameron WrennallLPL Financial LLC otherMmc Securities LLC no RAUMOtherJan 27, 2017Feb 17, 2017
Christina Anne TunisonPrincipal Securities, Inc. otherMmc Securities LLC no RAUMOtherApr 12, 2016May 10, 2016
Brian Michael ZitoCaptrust otherMmc Securities LLC no RAUMOtherJan 29, 2016Oct 5, 2017 (615 d)
Michael Edward SylvesterLPL Financial LLC otherMmc Securities LLC no RAUMOtherJan 23, 2015Dec 22, 2016 (699 d)
Kipp Gordon SmallNfp Advisor Services, LLC otherMmc Securities LLC no RAUMOtherJun 23, 2011Nov 4, 2011 (134 d)
Luther Charles MeythalerShepherd Kaplan LLC otherMmc Securities LLC no RAUMOtherJan 13, 2011Jun 14, 2011 (152 d)
Amanda Hayda StaplesWaddell & Reed otherMmc Securities LLC no RAUMOtherDec 8, 2010Jan 10, 2011 (33 d)
Jeffrey Robert KleinRaymond James Financial Services Advisors, Inc otherMmc Securities LLC no RAUMOtherSep 30, 2010Sep 29, 2010
Lisa Faith VaillancourtRaymond James Financial Services Advisors, Inc otherMmc Securities LLC no RAUMOtherSep 30, 2010Sep 29, 2010
Sarala KattaMsi Financial Services, Inc. otherMmc Securities LLC no RAUMOtherAug 24, 2009Nov 2, 2009 (70 d)
Christopher Peter Michael HerselEquitable Advisors, LLC national BDMmc Securities LLC no RAUMAffiliated broker-dealer or bank to a newly registered adviserJan 15, 2009Jan 24, 2011 (739 d)
Julie Hilliard WilsonChoreo, LLC otherMmc Securities LLC no RAUMOtherDec 11, 2006Feb 29, 2008 (445 d)
Charles Francis MansfieldAmerican Securities Group, Inc. unclassifiedMmc Securities LLC no RAUMOtherMar 23, 2006Jul 22, 2010 (1582 d)
Jueryll Normand B BuanAmeriprise Financial Services, LLC national BDMmc Securities LLC no RAUMAffiliated broker-dealer or bank to a newly registered adviserJan 6, 2006May 5, 2008 (850 d)
James Alan Ian LaschingerUsi Advisors otherMmc Securities LLC no RAUMOtherMay 7, 2004Jun 3, 2004
Thomas Albert ClarkNfp Advisor Services, LLC otherMmc Securities LLC no RAUMOtherJun 24, 2003Aug 1, 2003 (38 d)
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20 moves match.