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 Professional Planning Group
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 |
|---|---|---|---|---|---|
| Bryan David Pitney | Charles Schwab & Co., Inc. national BD | Professional Planning Group independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 5, 2025 | Apr 4, 2025 |
| Todd Joseph Wokoske | Commonwealth Financial Network national BD | Professional Planning Group independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 28, 2023 | Aug 24, 2023 (57 d) |
| Giancarlo Pannone | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Professional Planning Group independent RIA | Wirehouse to independent RIA | Oct 19, 2020 | Dec 15, 2020 (57 d) |
| Stephanie Mondro | Osaic Institutions, Inc. BD affiliated | Professional Planning Group independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 3, 2019 | Jan 22, 2020 (50 d) |
| Patrick Joseph Connelly | Securian Financial Services, Inc. BD affiliated | Professional Planning Group independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 16, 2019 | Oct 2, 2019 (47 d) |
| Andrea Michelle Spieth | LPL Financial LLC independent RIA | Professional Planning Group independent RIA | RIA to RIA | Nov 5, 2018 | Jun 28, 2019 (235 d) |
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6 moves match.