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 Prospera Financial Services, 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 |
|---|---|---|---|---|---|
| Patrick Charles Sweeney | Wells Fargo Advisors wirehouse | Prospera Financial Services, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 10, 2026 | Aug 28, 2026 |
| John Cleaveland Palmer | Wells Fargo Advisors wirehouse | Prospera Financial Services, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 17, 2026 | Aug 7, 2026 |
| Mary Kathleen Flaherty | World Investment Advisors, LLC other | Prospera Financial Services, Inc. BD affiliated | Other | Aug 11, 2026 | Aug 13, 2026 |
| Christopher Aaron Palmer | Wells Fargo Advisors wirehouse | Prospera Financial Services, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 30, 2026 | Jul 17, 2026 |
| Amy Kristine Ochs | Wells Fargo Advisors wirehouse | Prospera Financial Services, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 27, 2026 | Jul 20, 2026 |
| Joan Hsu | Wells Fargo Advisors wirehouse | Prospera Financial Services, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 13, 2026 | Jul 13, 2026 |
| Mack Robert Courter | Courter Financial, LLC unclassified | Prospera Financial Services, Inc. other | Other | Jun 1, 2026 | Jul 5, 2017 |
| Austin Robert Collins | Cambridge Investment Research Advisors, Inc. BD affiliated | Prospera Financial Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 18, 2026 | Aug 24, 2026 (98 d) |
| David Keith Cole | B. Riley Wealth Advisors, Inc. BD affiliated | Prospera Financial Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 2, 2026 | Apr 20, 2026 |
| Alana Kay Davis | Esi Financial Advisors independent RIA | Prospera Financial Services, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Mar 30, 2026 | Mar 27, 2026 |
| Thomas Milan Wyszynski | MML Investors Services, LLC BD affiliated | Prospera Financial Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 13, 2026 | Apr 24, 2026 (42 d) |
| Tamara Lawson Hackett | Robert W. Baird & Co. Incorporated mixed wealth | Prospera Financial Services, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Mar 6, 2026 | Sep 16, 2026 (194 d) |
| Anatoly Khait | World Investment Advisors, LLC other | Prospera Financial Services, Inc. BD affiliated | Other | Feb 23, 2026 | Feb 17, 2026 |
| Rebecca Elizabeth Reynaud | Wells Fargo Advisors wirehouse | Prospera Financial Services, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 6, 2026 | Apr 14, 2026 (98 d) |
| John J Harm | Wells Fargo Advisors wirehouse | Prospera Financial Services, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 17, 2025 | Dec 5, 2025 |
| Connor Scott Corbett | Wells Fargo Advisors wirehouse | Prospera Financial Services, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 17, 2025 | Dec 4, 2025 |
| Nicholas David Olivas | LPL Financial LLC BD affiliated | Prospera Financial Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 14, 2025 | Oct 30, 2025 |
| Christina Anne Mccaughey | Ameriprise Financial Services, LLC national BD | Prospera Financial Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 5, 2025 | Oct 30, 2025 |
| Mark Richard Delp | Wells Fargo Advisors wirehouse | Prospera Financial Services, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 2, 2025 | Sep 12, 2025 |
| Jessica Joan Moon | Wells Fargo Advisors wirehouse | Prospera Financial Services, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 2, 2025 | Sep 12, 2025 |
| Joseph Daniel Bergin | B. Riley Wealth Advisors, Inc. BD affiliated | Prospera Financial Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 17, 2025 | Jan 5, 2026 (110 d) |
| Steven Craig Behrle | B. Riley Wealth Advisors, Inc. BD affiliated | Prospera Financial Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 16, 2025 | Sep 12, 2025 |
| Michael Bless | Wells Fargo Advisors wirehouse | Prospera Financial Services, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 21, 2025 | Jul 18, 2025 |
| Deborah Marie Castiglioni | Cutter & Company, Inc. independent RIA | Prospera Financial Services, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jul 25, 2025 | May 22, 2025 |
| Travis Garrett Carver | Cetera Investment Advisers LLC BD affiliated | Prospera Financial Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 17, 2025 | Jun 17, 2025 |
| Marina Rodriguez | Morgan Stanley wirehouse | Prospera Financial Services, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 2, 2025 | Feb 20, 2025 |
| Theodore J Gill | Morgan Stanley wirehouse | Prospera Financial Services, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Feb 28, 2025 | Feb 14, 2025 |
| Peter Norman Deluyker | Morgan Stanley wirehouse | Prospera Financial Services, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Feb 27, 2025 | Feb 14, 2025 |
| Wilson Bryan Winn | Edward Jones national BD | Prospera Financial Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 17, 2025 | Feb 14, 2025 |
| Moriah Ranade | Kestra Private Wealth Services, LLC BD affiliated | Prospera Financial Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 15, 2025 | Oct 29, 2025 (287 d) |
| Joshua Matthew Holden | Fisher Investments independent RIA | Prospera Financial Services, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jan 10, 2025 | Jan 10, 2025 |
| William Ogden Plyler | B. Riley Wealth Advisors, Inc. BD affiliated | Prospera Financial Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 23, 2024 | Dec 10, 2024 |
| Herbert Alonzo Taylor | B. Riley Wealth Advisors, Inc. BD affiliated | Prospera Financial Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 1, 2024 | Sep 19, 2024 |
| Brown Burch Baine | B. Riley Wealth Advisors, Inc. BD affiliated | Prospera Financial Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 1, 2024 | Sep 19, 2024 |
| Philip Shields Wunderlich | B. Riley Wealth Advisors, Inc. BD affiliated | Prospera Financial Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 1, 2024 | Sep 19, 2024 |
| Danielle Lee Helfrich | Esi Financial Advisors independent RIA | Prospera Financial Services, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Sep 27, 2024 | Sep 24, 2024 |
| Albert Mclemore Alexander | B. Riley Wealth Advisors, Inc. BD affiliated | Prospera Financial Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 27, 2024 | Sep 19, 2024 |
| Albert May Alexander | B. Riley Wealth Advisors, Inc. BD affiliated | Prospera Financial Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 26, 2024 | Sep 19, 2024 |
| Thomas J Pruzin | Esi Financial Advisors independent RIA | Prospera Financial Services, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jul 24, 2024 | Sep 25, 2024 (63 d) |
| Ziying Zhou | Cerity Partners LLC independent RIA | Prospera Financial Services, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jul 22, 2024 | Aug 28, 2024 (37 d) |
| Gail M Mackler-Carlino | Wells Fargo Advisors wirehouse | Prospera Financial Services, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 19, 2024 | Jun 24, 2024 |
| David R Chapman | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Prospera Financial Services, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 3, 2024 | Jun 4, 2024 |
| Garrick Philip Updegraph | Wells Fargo Advisors wirehouse | Prospera Financial Services, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jun 12, 2024 | Jun 7, 2024 |
| Nicholas Anthony Cipriano | Morgan Stanley wirehouse | Prospera Financial Services, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 10, 2024 | May 22, 2024 |
| Diane Lynn Buchanan | LPL Financial LLC BD affiliated | Prospera Financial Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 23, 2024 | Apr 24, 2024 |
| Carl Michael Williams | LPL Financial LLC BD affiliated | Prospera Financial Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 23, 2024 | Jun 17, 2024 (55 d) |
| Jonathan I Khalavsky | World Advisory Services BD affiliated | Prospera Financial Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 12, 2024 | Feb 16, 2024 |
| Michael David Ross | LPL Financial LLC BD affiliated | Prospera Financial Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 22, 2024 | Jan 2, 2024 |
| David Eugene Smith | Painter, Smith And Amberg Inc. independent RIA | Prospera Financial Services, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jan 19, 2024 | Jan 22, 2024 |
| Jeffrey Paul Amberg | Painter, Smith And Amberg Inc. independent RIA | Prospera Financial Services, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jan 19, 2024 | Jan 22, 2024 |
| Charles Edward Painter | Painter, Smith And Amberg Inc. independent RIA | Prospera Financial Services, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jan 19, 2024 | Jan 22, 2024 |
| Kallie Nicole Rawson | Painter, Smith And Amberg Inc. independent RIA | Prospera Financial Services, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jan 17, 2024 | Jan 18, 2024 |
| Kelley Mellar Selph | Edward Jones national BD | Prospera Financial Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 18, 2023 | Dec 7, 2023 |
| Alvin Francisco Walk | Charles Schwab & Co., Inc. national BD | Prospera Financial Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 20, 2023 | Apr 24, 2024 (156 d) |
| Daniel Swift Edmunds | B. Riley Wealth Advisors, Inc. BD affiliated | Prospera Financial Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2023 | Nov 13, 2023 |
| Jonathan Mark Rawlings | Hilltop Securities Inc. BD affiliated | Prospera Financial Services, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 12, 2023 | Sep 21, 2023 |
| Joseph Andrew Giardano | Hilltop Securities Inc. BD affiliated | Prospera Financial Services, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 12, 2023 | Sep 21, 2023 |
| Yurij Szelewycz | LPL Financial LLC BD affiliated | Prospera Financial Services, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 19, 2023 | Jul 21, 2023 |
| Matthew Gaspar | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Prospera Financial Services, Inc. independent RIA | Wirehouse to independent RIA | Jun 12, 2023 | May 19, 2023 |
| Michael Thomas Beard | Edward Jones national BD | Prospera Financial Services, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | May 12, 2023 | May 8, 2023 |
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278 moves match.