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 Legend Advisory, 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
Jared Reed WeissCapital Analysts BD affiliatedLegend Advisory, LLC BD affiliatedAffiliated broker-dealer or bank to anotherDec 3, 2021Jan 25, 2019
Edward DorseyLincoln Investment BD affiliatedLegend Advisory, LLC BD affiliatedAffiliated broker-dealer or bank to anotherJan 23, 2020Jan 25, 2019
Raelene Ann NickersonMML Investors Services, LLC otherLegend Advisory, LLC otherOtherDec 20, 2017Jan 26, 2018 (37 d)
Matthew Stuart PhillipsWaddell & Reed otherLegend Advisory, LLC otherOtherSep 28, 2017Sep 25, 2017
Garrett Logan FrankAmeriprise Financial Services, LLC national BDLegend Advisory, LLC otherOtherAug 9, 2017Aug 15, 2017
David Brian BellLincoln Investment otherLegend Advisory, LLC otherOtherAug 3, 2017Mar 8, 2017
Melissa Laura De RozarioMorgan Stanley wirehouseLegend Advisory, LLC otherOtherMay 11, 2017May 8, 2017
Anita Maria AdamsHuntington Financial Advisors otherLegend Advisory, LLC otherOtherMay 8, 2017May 15, 2017
Nicholas Anthony CovyeauUsaa Financial Planning Services no RAUMLegend Advisory, LLC otherOtherNov 2, 2016Oct 3, 2017 (335 d)
Theodore Leonard BrooksPlanmember Securities Corporation otherLegend Advisory, LLC otherOtherJul 18, 2016Aug 2, 2016
Thomas Mark TurchettiConcourse Financial Group Advisors otherLegend Advisory, LLC otherOtherJun 23, 2016Jun 28, 2016
Teresa Ann HemannNovem Group otherLegend Advisory, LLC otherOtherMay 20, 2016Mar 1, 2018 (650 d)
David Allen FantValic Financial Advisors, Inc. otherLegend Advisory, LLC otherOtherJan 22, 2016Feb 26, 2016 (35 d)
Robert Allan PalmaMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseLegend Advisory, LLC otherOtherJan 19, 2016Jan 21, 2016
Kimberly Frances MyersOsaic Fs, Inc. otherLegend Advisory, LLC otherOtherDec 17, 2015Nov 25, 2016 (344 d)
Alexander Joseph CorriereFinancial West Group otherLegend Advisory, LLC otherOtherDec 15, 2015Mar 21, 2016 (97 d)
Denny ArtacheAllstate Financial Advisors, LLC no RAUMLegend Advisory, LLC otherOtherOct 22, 2015Nov 4, 2015
Justin Duane BlevinsJ.P. Morgan Securities LLC wirehouseLegend Advisory, LLC otherOtherApr 20, 2015Apr 22, 2015
James Kenneth SpannValic Financial Advisors, Inc. otherLegend Advisory, LLC otherOtherMar 12, 2015Mar 17, 2015
Nicole Sue MeehanMorgan Stanley wirehouseLegend Advisory, LLC otherOtherJan 26, 2015Apr 11, 2016 (441 d)
Christopher Ian DiodatoMorgan Stanley wirehouseLegend Advisory, LLC otherOtherJan 16, 2015Mar 11, 2015 (54 d)
Theodore Gabriel MihutaVoya Financial Advisors, Inc. otherLegend Advisory, LLC otherOtherJan 8, 2015Aug 21, 2015 (225 d)
Aaron Grant HolderIsc Advisors, Inc. otherLegend Advisory, LLC otherOtherDec 11, 2014Dec 16, 2014
Valerie Brenatte Love-ParkerForesters Equity Services, Inc. otherLegend Advisory, LLC otherOtherDec 2, 2014Mar 5, 2015 (93 d)
Scott Andrew EllsworthNew England Securities Corporation otherLegend Advisory, LLC otherOtherNov 11, 2014Nov 11, 2014
Carmine Joseph PassanteB. Riley Wealth Advisors, Inc. otherLegend Advisory, LLC otherOtherOct 14, 2014Oct 23, 2014
Corey Lamont SneedPark Avenue Securities LLC otherLegend Advisory, LLC otherOtherOct 10, 2014Oct 13, 2014
William Howard WoodM&T Securities, Inc. unclassifiedLegend Advisory, LLC otherOtherMay 8, 2014Jul 11, 2014 (64 d)
Graham Mcmurray ClementValic Financial Advisors, Inc. otherLegend Advisory, LLC otherOtherApr 10, 2014Apr 10, 2014
Paul Anthony DickinsonEdward Jones national BDLegend Advisory, LLC otherOtherDec 4, 2013Apr 10, 2014 (127 d)
Richard WilsonValic Financial Advisors, Inc. otherLegend Advisory, LLC otherOtherAug 8, 2013Aug 26, 2013
Victor Manuel GomezValic Financial Advisors, Inc. otherLegend Advisory, LLC otherOtherJul 31, 2013Jul 23, 2013
Michelle Marie TomeiOsaic Wealth, Inc. otherLegend Advisory, LLC otherOtherJun 18, 2013Jun 11, 2013
Chase John CarlinGirard Securities, Inc. otherLegend Advisory, LLC otherOtherJun 4, 2013Aug 1, 2013 (58 d)
Charles Eric GrethValic Financial Advisors, Inc. otherLegend Advisory, LLC otherOtherMay 30, 2013May 28, 2013
Albert Donghyuk KimValic Financial Advisors, Inc. otherLegend Advisory, LLC otherOtherMay 30, 2013May 30, 2013
Melissa Donna DarnellMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseLegend Advisory, LLC otherOtherApr 4, 2013May 7, 2014 (398 d)
Gary Joel MendelowInvestment Centers Of America, Inc. otherLegend Advisory, LLC otherOtherFeb 11, 2013Feb 11, 2013
Tracey DeanGirard Securities, Inc. otherLegend Advisory, LLC otherOtherDec 13, 2012Dec 17, 2012
Rhonda Hershey MccurryValic Financial Advisors, Inc. otherLegend Advisory, LLC otherOtherNov 8, 2012Dec 11, 2013 (398 d)
Jack Mackenzie MiceliEquitable Advisors, LLC national BDLegend Advisory, LLC otherOtherOct 18, 2012Oct 24, 2012
Michael Bruce HinkelValic Financial Advisors, Inc. otherLegend Advisory, LLC otherOtherAug 22, 2012Aug 30, 2012
Joseph LauroEquitable Advisors, LLC national BDLegend Advisory, LLC otherOtherAug 14, 2012Aug 31, 2012
Michael Patrick DalleoValic Financial Advisors, Inc. otherLegend Advisory, LLC otherOtherJul 26, 2012Jul 27, 2012
Carlo Della MeaValic Financial Advisors, Inc. otherLegend Advisory, LLC otherOtherJul 5, 2012Jul 19, 2012
David Wilfredo VeraValic Financial Advisors, Inc. otherLegend Advisory, LLC otherOtherJun 28, 2012Jul 25, 2012
Jason Samuel TrippettValic Financial Advisors, Inc. otherLegend Advisory, LLC otherOtherMay 17, 2012May 18, 2012
Lesta Gail AndersenChase Investment Services Corp. otherLegend Advisory, LLC otherOtherMay 15, 2012Aug 13, 2012 (90 d)
Steven Andrew ZborowskiPruco Securities, LLC otherLegend Advisory, LLC otherOtherApr 16, 2012May 30, 2012 (44 d)
Antonio Rodrigo Fernandez-SalvadorMsi Financial Services, Inc. otherLegend Advisory, LLC otherOtherJan 20, 2012Jan 27, 2012
Adam Patrick ClyneEquitable Advisors, LLC national BDLegend Advisory, LLC otherOtherSep 6, 2011Sep 6, 2011
Roger Craig MillerChase Investment Services Corp. otherLegend Advisory, LLC otherOtherJun 3, 2011Apr 5, 2013 (672 d)
Cooper Graham PetersRaymond James Financial Services Advisors, Inc otherLegend Advisory, LLC otherOtherApr 26, 2011Apr 21, 2011
Craig HerbertWells Fargo Advisors wirehouseLegend Advisory, LLC otherOtherApr 5, 2011Apr 23, 2012 (384 d)
Jeffrey Michael OttEdward Jones national BDLegend Advisory, LLC otherOtherFeb 11, 2011Jun 1, 2011 (110 d)
Timothy Jay MadiganFreedom One Investment Advisors, Inc. otherLegend Advisory, LLC otherOtherJan 14, 2011Jan 21, 2011
Kevan Michael BreidingerChase Investment Services Corp. otherLegend Advisory, LLC otherOtherDec 20, 2010Jan 18, 2011
Zachary David HawleyEquitable Advisors, LLC national BDLegend Advisory, LLC otherOtherDec 17, 2010Dec 13, 2010
Eric Christian ShupeValic Financial Advisors, Inc. otherLegend Advisory, LLC otherOtherDec 7, 2010Mar 30, 2011 (113 d)
Ronald Robert CovingtonEdward Jones national BDLegend Advisory, LLC otherOtherDec 2, 2010Mar 1, 2011 (89 d)
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124 moves match.