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 On Investment Management Co
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 |
|---|---|---|---|---|---|
| Gregory Scott Shuman | Altitude Capital Management LLC independent RIA | On Investment Management Co BD affiliated | RIA to affiliated broker-dealer or bank | Aug 19, 2026 | Aug 12, 2026 |
| Jake Whalen | Whalen Capital, Inc. independent RIA | On Investment Management Co BD affiliated | RIA to affiliated broker-dealer or bank | Jun 1, 2026 | Apr 24, 2024 |
| Jared William Elijah Kiepke | Whalen Capital, Inc. independent RIA | On Investment Management Co BD affiliated | RIA to affiliated broker-dealer or bank | Jun 1, 2026 | Oct 2, 2025 |
| Virginia Renee Vanderwaal | Whalen Capital, Inc. independent RIA | On Investment Management Co BD affiliated | RIA to affiliated broker-dealer or bank | May 18, 2026 | Oct 2, 2025 |
| Tracy Ford | Normandy Investment Advisors independent RIA | On Investment Management Co BD affiliated | RIA to affiliated broker-dealer or bank | Dec 31, 2025 | Jan 14, 2026 |
| Benjamin L Miller | Archer Investment Corporation independent RIA | On Investment Management Co BD affiliated | RIA to affiliated broker-dealer or bank | Dec 31, 2025 | Jan 2, 2026 |
| George Barton Newton | Cambridge Investment Research Advisors, Inc. BD affiliated | On Investment Management Co BD affiliated | Affiliated broker-dealer or bank to another | Dec 4, 2025 | Dec 2, 2025 |
| Douglas Keith Moss | Parallel Advisors, LLC independent RIA | On Investment Management Co BD affiliated | RIA to affiliated broker-dealer or bank | Dec 1, 2025 | Mar 5, 2026 (94 d) |
| George Erwin Cater | Prevail Innovative Wealth Advisors, LLC independent RIA | On Investment Management Co BD affiliated | RIA to affiliated broker-dealer or bank | Sep 24, 2025 | Oct 20, 2025 |
| Benjamin Arthur Walton | Edgetech Analytics, LLC state registered | On Investment Management Co BD affiliated | Other | Sep 2, 2025 | Jan 7, 2026 (127 d) |
| Philip Thomas Alford | Edward Jones national BD | On Investment Management Co BD affiliated | Affiliated broker-dealer or bank to another | Jun 23, 2025 | Jun 30, 2025 |
| Jacob Charles Mcconnell | Hummel Wealth Management, LLC no RAUM | On Investment Management Co BD affiliated | Other | Jun 4, 2025 | Mar 8, 2022 |
| Jennifer K Gilroy | Raymond James Financial Services Advisors, Inc BD affiliated | On Investment Management Co BD affiliated | Affiliated broker-dealer or bank to another | Jun 3, 2025 | Jun 3, 2025 |
| Kathryn Lutz | MML Investors Services, LLC BD affiliated | On Investment Management Co BD affiliated | Affiliated broker-dealer or bank to another | Jan 6, 2025 | Sep 3, 2026 (605 d) |
| James Robert Sickorez | Osaic Wealth, Inc. BD affiliated | On Investment Management Co BD affiliated | Affiliated broker-dealer or bank to another | Dec 26, 2024 | Jan 2, 2025 |
| Michael Jerome Kucera | Fai Advisors, Inc. independent RIA | On Investment Management Co other | Other | Dec 9, 2024 | Jul 7, 2010 |
| Lindsay Batezel | Valic Financial Advisors, Inc. BD affiliated | On Investment Management Co BD affiliated | Affiliated broker-dealer or bank to another | Dec 6, 2024 | Jan 2, 2025 |
| Scott David Sorum | Premier Southwest Planning Group, LLC state registered | On Investment Management Co other | Other | Apr 26, 2024 | May 30, 2014 |
| Grant Blake Newton | Cambridge Investment Research Advisors, Inc. BD affiliated | On Investment Management Co BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2023 | Dec 2, 2025 (702 d) |
| Steven Mark Horton | Nationwide Investment Advisors, LLC BD affiliated | On Investment Management Co BD affiliated | Affiliated broker-dealer or bank to another | Dec 6, 2023 | Mar 25, 2024 (110 d) |
| Aaron Phillip Hughes | Advice And Planning Services BD affiliated | On Investment Management Co BD affiliated | Affiliated broker-dealer or bank to another | Oct 30, 2023 | Aug 7, 2024 (282 d) |
| Justin Porco | Global Retirement Partners LLC institutional | On Investment Management Co BD affiliated | Other | Aug 9, 2023 | Jun 5, 2023 |
| Thomas Rowland | Pnc Wealth Management BD affiliated | On Investment Management Co BD affiliated | Affiliated broker-dealer or bank to another | Jul 10, 2023 | Jul 25, 2023 |
| Steven Michael Kluever | Northwestern Mutual Investment Services,LLC no RAUM | On Investment Management Co BD affiliated | Other | Apr 14, 2023 | May 19, 2023 (35 d) |
| Bradford Chandler Smith | Ameritas Advisory Services, LLC BD affiliated | On Investment Management Co BD affiliated | Affiliated broker-dealer or bank to another | Feb 7, 2023 | Jun 18, 2025 (862 d) |
| Terek Wilson | Creativeone Wealth, LLC independent RIA | On Investment Management Co BD affiliated | RIA to affiliated broker-dealer or bank | Dec 20, 2022 | Jan 12, 2023 |
| Jack Lyman Carter | Calamos Advisors LLC asset manager | On Investment Management Co BD affiliated | Other | Dec 19, 2022 | Dec 3, 2024 (715 d) |
| Stephen Richard Mueller | Principal Securities, Inc. BD affiliated | On Investment Management Co BD affiliated | Affiliated broker-dealer or bank to another | Dec 5, 2022 | May 4, 2023 (150 d) |
| Danielle V. Davis | Integrity Alliance, LLC independent RIA | On Investment Management Co BD affiliated | RIA to affiliated broker-dealer or bank | Sep 14, 2022 | Mar 19, 2025 (917 d) |
| Bruce Joseph Falcon | Pruco Securities, LLC BD affiliated | On Investment Management Co BD affiliated | Affiliated broker-dealer or bank to another | Jul 14, 2022 | Jun 17, 2022 |
| Sage Jones Lake | Cutter & Company, Inc. independent RIA | On Investment Management Co BD affiliated | RIA to affiliated broker-dealer or bank | Jun 24, 2022 | Aug 4, 2022 (41 d) |
| Gregory J. Szelung | J.P. Morgan Securities LLC wirehouse | On Investment Management Co BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 14, 2022 | May 4, 2026 (1451 d) |
| Jacob Karl Buckley | Spectrum Financial Alliance, Ltd., L.L.C. independent RIA | On Investment Management Co BD affiliated | RIA to affiliated broker-dealer or bank | May 3, 2022 | Jul 19, 2022 (77 d) |
| Randall Lloyd Diehl | Osaic Wealth, Inc. BD affiliated | On Investment Management Co BD affiliated | Affiliated broker-dealer or bank to another | Mar 3, 2022 | Mar 1, 2022 |
| Leslie Shannon Mcdonald | Fidelity Personal And Workplace Advisors BD affiliated | On Investment Management Co BD affiliated | Affiliated broker-dealer or bank to another | Jan 10, 2022 | Jul 18, 2024 (920 d) |
| Michelle Marie Degree | Cuso Financial Services, L.P. BD affiliated | On Investment Management Co BD affiliated | Affiliated broker-dealer or bank to another | Jan 3, 2022 | May 27, 2022 (144 d) |
| Robin Leslie Faulkner-Harrison | Northwestern Mutual Investment Services,LLC no RAUM | On Investment Management Co BD affiliated | Other | Sep 18, 2021 | Oct 21, 2021 (33 d) |
| Brian K Hayes | Oneamerica Securities, Inc. BD affiliated | On Investment Management Co BD affiliated | Affiliated broker-dealer or bank to another | Aug 27, 2021 | Aug 29, 2021 |
| Barbara Jean Kubesh | Principal Securities, Inc. BD affiliated | On Investment Management Co BD affiliated | Affiliated broker-dealer or bank to another | Jul 7, 2021 | Jun 25, 2021 |
| Slayd Casey | Pnc Managed Account Solutions, Inc. BD affiliated | On Investment Management Co BD affiliated | Affiliated broker-dealer or bank to another | Jun 2, 2021 | Oct 4, 2021 (124 d) |
| Frank Holder | Thrivent Investment Management Inc. BD affiliated | On Investment Management Co BD affiliated | Affiliated broker-dealer or bank to another | May 7, 2021 | Jul 2, 2021 (56 d) |
| Mark Allen Gash | Prime Capital Financial mixed wealth | On Investment Management Co BD affiliated | RIA to affiliated broker-dealer or bank | May 3, 2021 | May 5, 2021 |
| Adam Lemley Howard | Touchstone Advisors Inc asset manager | On Investment Management Co BD affiliated | Other | Apr 30, 2021 | Apr 23, 2021 |
| Paul Russell Adams | Hornor, Townsend & Kent, LLC BD affiliated | On Investment Management Co BD affiliated | Affiliated broker-dealer or bank to another | Jan 21, 2021 | Feb 23, 2021 (33 d) |
| Dillon Bruce Harper | Spectrum Financial Alliance, Ltd., L.L.C. independent RIA | On Investment Management Co BD affiliated | RIA to affiliated broker-dealer or bank | Jan 5, 2021 | Dec 13, 2022 (707 d) |
| Selina Jane Witt | MML Investors Services, LLC BD affiliated | On Investment Management Co BD affiliated | Affiliated broker-dealer or bank to another | Nov 25, 2020 | Nov 19, 2020 |
| Stephen James Schug | Capital Analysts BD affiliated | On Investment Management Co BD affiliated | Affiliated broker-dealer or bank to another | Sep 15, 2020 | Jun 16, 2021 (274 d) |
| Sarah Houston Ziese | Equitable Advisors, LLC national BD | On Investment Management Co BD affiliated | Affiliated broker-dealer or bank to another | Sep 11, 2020 | May 3, 2021 (234 d) |
| Stacey Robert Alan | Edward Jones national BD | On Investment Management Co BD affiliated | Affiliated broker-dealer or bank to another | May 19, 2020 | May 15, 2020 |
| Nathan Scott Biggerstaff | Tortoiseecofin Investments Partners, LLC no RAUM | On Investment Management Co BD affiliated | Other | Apr 7, 2020 | Mar 21, 2022 (713 d) |
| Kevin Bonacci | Fidelity Personal And Workplace Advisors BD affiliated | On Investment Management Co BD affiliated | Affiliated broker-dealer or bank to another | Feb 24, 2020 | Oct 6, 2020 (225 d) |
| Christopher Joseph Wood | Hornor, Townsend & Kent, LLC BD affiliated | On Investment Management Co BD affiliated | Affiliated broker-dealer or bank to another | Jan 24, 2020 | Jan 14, 2020 |
| Brent Wayne Derossett | Saxony Capital Management, LLC independent RIA | On Investment Management Co BD affiliated | RIA to affiliated broker-dealer or bank | Dec 31, 2019 | Jan 13, 2020 |
| Charles Eugene Glass | Citizens Securities, Inc. BD affiliated | On Investment Management Co BD affiliated | Affiliated broker-dealer or bank to another | Oct 4, 2019 | Mar 20, 2020 (168 d) |
| John Robert Mullett | Hummel Wealth Management, LLC no RAUM | On Investment Management Co other | Other | Jul 29, 2019 | Jul 20, 2012 |
| Elizabeth Kate Hand | Hummel Wealth Management, LLC no RAUM | On Investment Management Co other | Other | Jul 29, 2019 | Jan 14, 2014 |
| Clinton David Helmuth Miller | Hummel Wealth Management, LLC no RAUM | On Investment Management Co other | Other | Jul 29, 2019 | Jun 10, 2015 |
| Brice W Hartsuch | J.P. Morgan Securities LLC wirehouse | On Investment Management Co BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 1, 2019 | Apr 30, 2019 |
| Kenneth Andrew Hoiland | Principal Securities, Inc. BD affiliated | On Investment Management Co BD affiliated | Affiliated broker-dealer or bank to another | Apr 24, 2019 | Apr 22, 2019 |
| Malcolm Charles Beard | Principal Securities, Inc. BD affiliated | On Investment Management Co BD affiliated | Affiliated broker-dealer or bank to another | Mar 5, 2019 | Feb 26, 2019 |
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316 moves match.