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 Carroll Financial Associates 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.

AdvisorFromToTypeLeftRegistered
Terrell StaufferCrown Capital Securities, L.P. BD affiliatedCarroll Financial Associates Inc independent RIAAffiliated broker-dealer or bank to independent RIAJul 10, 2020Jul 16, 2020
Michelle Leigh GuissingerLephew Financial Services, Inc. independent RIACarroll Financial Associates Inc independent RIARIA to RIAJun 18, 2019Jun 21, 2019
Sarah L LephewLephew Financial Services, Inc. independent RIACarroll Financial Associates Inc independent RIARIA to RIAJun 18, 2019Jun 21, 2019
Philip Reese BaileyRaymond James Financial Services Advisors, Inc BD affiliatedCarroll Financial Associates Inc independent RIAAffiliated broker-dealer or bank to independent RIAApr 15, 2019Apr 17, 2019
Clifford Jonathan CamardaProsperity Capital Group, Inc. unclassifiedCarroll Financial Associates Inc independent RIAOtherMar 7, 2019Jan 23, 2019
Timothy James McdermottProsperity Capital Group, Inc. unclassifiedCarroll Financial Associates Inc independent RIAOtherMar 7, 2019Jan 23, 2019
Joshua Reese BaileyEquitable Advisors, LLC national BDCarroll Financial Associates Inc independent RIAAffiliated broker-dealer or bank to independent RIAJan 29, 2019Feb 22, 2019
Christopher Ralph BakerProsperity Capital Group, Inc. unclassifiedCarroll Financial Associates Inc independent RIAOtherJan 9, 2019Jan 10, 2019
Thomas Jeffrey McdermottFreedom Investment Management, Inc. independent RIACarroll Financial Associates Inc independent RIARIA to RIADec 31, 2018May 23, 2019 (143 d)
Brian Wayne DebruinFreedom Investment Management, Inc. independent RIACarroll Financial Associates Inc independent RIARIA to RIADec 31, 2018Feb 22, 2019 (53 d)
Philip S GibsonElation Wealth LLC unclassifiedCarroll Financial Associates Inc independent RIAOtherDec 31, 2018Jan 2, 2019
Derek HawkCetera Advisor Networks LLC BD affiliatedCarroll Financial Associates Inc otherOtherNov 21, 2018Sep 2, 2016
Keith Robert BentonCetera Advisor Networks LLC BD affiliatedCarroll Financial Associates Inc otherOtherNov 19, 2018Sep 2, 2016
Carl David TolsonCetera Advisor Networks LLC BD affiliatedCarroll Financial Associates Inc otherOtherNov 19, 2018Sep 2, 2016
Jacob Charles CarrCetera Advisor Networks LLC BD affiliatedCarroll Financial Associates Inc otherOtherNov 19, 2018Oct 6, 2017
Austin Keith TerryCetera Advisor Networks LLC BD affiliatedCarroll Financial Associates Inc independent RIAAffiliated broker-dealer or bank to independent RIANov 19, 2018May 8, 2018
Donald Cody BowersCetera Advisor Networks LLC BD affiliatedCarroll Financial Associates Inc otherOtherNov 19, 2018Feb 2, 2018
John Andrew PattersonCetera Advisor Networks LLC BD affiliatedCarroll Financial Associates Inc independent RIAAffiliated broker-dealer or bank to independent RIAOct 24, 2018Oct 26, 2018
Patrick James BobbinsCetera Advisor Networks LLC otherCarroll Financial Associates Inc otherOtherJan 16, 2015Jan 21, 2015
Emily Netzel ReidenouerRaymond James & Associates, Inc. national BDCarroll Financial Associates Inc otherOtherNov 4, 2014Dec 5, 2014 (31 d)
Brice Russell OldhamMorgan Stanley wirehouseCarroll Financial Associates Inc otherOtherAug 12, 2014Aug 8, 2014
Richard Philip TaylorCetera Advisor Networks LLC otherCarroll Financial Associates Inc otherOtherJun 26, 2013Jul 3, 2013
Robert Steven StewartAvantax Advisory Services otherCarroll Financial Associates Inc otherOtherAug 13, 2012Aug 17, 2012
John HallMorgan Stanley wirehouseCarroll Financial Associates Inc otherOtherDec 12, 2011Dec 12, 2011
Scott M LauritzenAmeriprise Financial Services, LLC national BDCarroll Financial Associates Inc otherOtherApr 19, 2010Apr 30, 2010
Kellen S TaylorAmeriprise Financial Services, LLC national BDCarroll Financial Associates Inc otherOtherApr 13, 2010Apr 30, 2010
Denis Richard CurcioMML Investors Services, LLC otherCarroll Financial Associates Inc otherOtherFeb 22, 2010Apr 7, 2010 (44 d)
Kevin M BowyerCetera Advisor Networks LLC otherCarroll Financial Associates Inc otherOtherJun 5, 2009Jun 9, 2009
Carl David HedstromTricapital Wealth Management, Inc. independent RIACarroll Financial Associates Inc otherOtherDec 31, 2004Jan 5, 2005
James Carl HedstromTricapital Wealth Management, Inc. independent RIACarroll Financial Associates Inc otherOtherDec 31, 2004Jan 5, 2005
John Thomas GugleUBS Financial Services Inc. wirehouseCarroll Financial Associates Inc otherOtherSep 15, 2003Sep 25, 2003
Kristopher Wayne CarrollCetera Advisor Networks LLC otherCarroll Financial Associates Inc otherOtherSep 13, 2002Jan 7, 2005 (847 d)
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32 moves match.