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 Mid Atlantic Financial Management, 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
Mitchell Dean SimkinsUnited Capital Financial Advisors independent RIAMid Atlantic Financial Management, Inc. BD affiliatedRIA to affiliated broker-dealer or bankNov 9, 2023Apr 9, 2019
Rebecca May HoodCitizens Securities, Inc. BD affiliatedMid Atlantic Financial Management, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherApr 22, 2021Apr 20, 2021
Mitchell Thomas BodenmillerWestminster Financial Advisory Corp independent RIAMid Atlantic Financial Management, Inc. BD affiliatedRIA to affiliated broker-dealer or bankFeb 12, 2021Jun 14, 2021 (122 d)
Brian Michael MurphyPathways Financial Partners,Inc. independent RIAMid Atlantic Financial Management, Inc. otherOtherDec 31, 2020May 4, 2004
Joseph Mccarrell PiszczorIlg Private Wealth, Inc. state registeredMid Atlantic Financial Management, Inc. BD affiliatedOtherOct 26, 2020Aug 18, 2020
Tammy Lynn SymonsNewday Solutions, LLC independent RIAMid Atlantic Financial Management, Inc. BD affiliatedRIA to affiliated broker-dealer or bankOct 1, 2020Sep 25, 2019
Stephen Andrew CoopersmithNewday Solutions, LLC independent RIAMid Atlantic Financial Management, Inc. BD affiliatedRIA to affiliated broker-dealer or bankOct 1, 2020Sep 25, 2019
Joseph Tyndale NeffNewday Solutions, LLC independent RIAMid Atlantic Financial Management, Inc. BD affiliatedRIA to affiliated broker-dealer or bankOct 1, 2020Sep 25, 2019
Thomas Charles SchwabRaymond James Financial Services Advisors, Inc BD affiliatedMid Atlantic Financial Management, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherMar 30, 2020Apr 7, 2020
Kent Rodney BealMorgan Stanley wirehouseMid Atlantic Financial Management, Inc. BD affiliatedWirehouse to affiliated broker-dealer or bankFeb 10, 2020Feb 7, 2020
David Samuel LockmanHuntington Financial Advisors BD affiliatedMid Atlantic Financial Management, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherAug 12, 2019Oct 23, 2019 (72 d)
Tenzing Thomas DeckM&T Securities, Inc. unclassifiedMid Atlantic Financial Management, Inc. BD affiliatedOtherJul 29, 2019Jul 26, 2019
Sean Patrick HeschKmc Wealth Management, LLC state registeredMid Atlantic Financial Management, Inc. BD affiliatedOtherJan 15, 2019Jan 16, 2019
Corey OltyanEquitable Advisors, LLC national BDMid Atlantic Financial Management, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherJan 14, 2019Jan 16, 2019
Aaron Eugene SchuellerCetera Investment Advisers LLC BD affiliatedMid Atlantic Financial Management, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherDec 31, 2018Aug 6, 2019 (218 d)
Hugh William RhodesEf Hutton Investments LLC no RAUMMid Atlantic Financial Management, Inc. BD affiliatedOtherDec 5, 2018Feb 20, 2019 (77 d)
Paul Raymond HakelUBS Financial Services Inc. wirehouseMid Atlantic Financial Management, Inc. BD affiliatedWirehouse to affiliated broker-dealer or bankNov 8, 2018Dec 20, 2018 (42 d)
Robert Anthony FabrizioUBS Financial Services Inc. wirehouseMid Atlantic Financial Management, Inc. BD affiliatedWirehouse to affiliated broker-dealer or bankNov 8, 2018Dec 24, 2018 (46 d)
Kenneth Louis RiffleNuveen Asset Management, LLC otherMid Atlantic Financial Management, Inc. BD affiliatedOtherSep 14, 2018Sep 17, 2018
William Lewis GurnerNuveen Asset Management, LLC otherMid Atlantic Financial Management, Inc. BD affiliatedOtherMay 7, 2018May 23, 2018
Steven Anthony CecilUsaa Investment Services Company BD affiliatedMid Atlantic Financial Management, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherApr 25, 2018Apr 23, 2018
Kevin Mitchell StarkeyFtn Capital Management state registeredMid Atlantic Financial Management, Inc. BD affiliatedOtherDec 31, 2017Jun 24, 2020 (906 d)
Jared Daniel BurkeAmeriprise Financial Services, LLC national BDMid Atlantic Financial Management, Inc. otherOtherOct 20, 2017Oct 13, 2017
Brent Stephen HillerichAmeriprise Financial Services, LLC national BDMid Atlantic Financial Management, Inc. otherOtherOct 17, 2017Oct 13, 2017
Brian Anthony GroganAmeriprise Financial Services, LLC national BDMid Atlantic Financial Management, Inc. otherOtherOct 16, 2017Oct 13, 2017
James Kevin PheneyWfg Advisors, LP otherMid Atlantic Financial Management, Inc. otherOtherAug 2, 2017Aug 1, 2017
Deborah Elizabeth BrentMotif Capital Management, Inc. otherMid Atlantic Financial Management, Inc. otherOtherMay 12, 2017Jun 9, 2017
Peter Frederick ButlerAmeriprise Financial Services, LLC national BDMid Atlantic Financial Management, Inc. otherOtherFeb 2, 2017Feb 10, 2017
Phillip Austin GebhardtLPL Financial LLC otherMid Atlantic Financial Management, Inc. otherOtherDec 31, 2016Jan 3, 2017
Brittany Louise ShakerAmeriprise Financial Services, LLC national BDMid Atlantic Financial Management, Inc. otherOtherDec 19, 2016Dec 16, 2016
Lindsay Nichole WolfSmart Advisory Group, LLC no RAUMMid Atlantic Financial Management, Inc. otherOtherOct 21, 2016Oct 26, 2016
Elizabeth Anne HermanMML Investors Services, LLC otherMid Atlantic Financial Management, Inc. otherOtherSep 22, 2016Sep 22, 2016
John Kristen GuidiMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseMid Atlantic Financial Management, Inc. otherOtherMar 15, 2016Mar 11, 2016
Glenn Dale HoyerFirst Allied Advisory Services, Inc. otherMid Atlantic Financial Management, Inc. otherOtherOct 8, 2015Sep 15, 2015
Lori Jo Daff-SigginsCommonwealth Financial Network national BDMid Atlantic Financial Management, Inc. otherOtherJul 13, 2015Jul 10, 2015
Travis Ned BarkerCommonwealth Financial Network national BDMid Atlantic Financial Management, Inc. otherOtherJul 13, 2015Jul 10, 2015
Alicia M ReedCommonwealth Financial Network national BDMid Atlantic Financial Management, Inc. otherOtherJul 13, 2015Jul 10, 2015
John Philip WilliamsStrategic Advisers LLC national BDMid Atlantic Financial Management, Inc. otherOtherJul 7, 2015Jan 16, 2018 (924 d)
Carey A DroznekWaddell & Reed otherMid Atlantic Financial Management, Inc. otherOtherJul 6, 2015Apr 15, 2016 (284 d)
Terry Edward RumkerConcorde Asset Management, LLC otherMid Atlantic Financial Management, Inc. otherOtherMay 29, 2015May 15, 2015
John Michael BeanConcorde Asset Management, LLC otherMid Atlantic Financial Management, Inc. otherOtherMay 22, 2015May 15, 2015
Bruce Carl GilmorePackerland Brokerage Services, Inc. otherMid Atlantic Financial Management, Inc. otherOtherMay 20, 2015May 20, 2015
Joseph James WagnerLPL Financial LLC otherMid Atlantic Financial Management, Inc. otherOtherMay 1, 2015Apr 16, 2015
Gary Anthony GulloAmeritas Advisory Services otherMid Atlantic Financial Management, Inc. otherOtherDec 31, 2014Jan 2, 2015
Justin Allen KumphSummit Financial Group Inc otherMid Atlantic Financial Management, Inc. otherOtherOct 15, 2014Oct 16, 2014
Dennis Ray PlylerFinancial Telesis, Inc. otherMid Atlantic Financial Management, Inc. otherOtherAug 15, 2014Aug 15, 2014
Lloyd Vernon CrawfordFinancial Telesis, Inc. otherMid Atlantic Financial Management, Inc. otherOtherAug 15, 2014Aug 15, 2014
Jeremy Shane PlylerFinancial Telesis, Inc. otherMid Atlantic Financial Management, Inc. otherOtherAug 15, 2014Aug 15, 2014
Jose Maria ValenzuelaHbw Advisory Services LLC otherMid Atlantic Financial Management, Inc. otherOtherJul 28, 2014Aug 4, 2014
Ingrid Linda RoosildAmeritas Advisory Services otherMid Atlantic Financial Management, Inc. otherOtherJun 27, 2014May 30, 2014
James Edgar BradleyVoya Financial Advisors, Inc. otherMid Atlantic Financial Management, Inc. otherOtherApr 18, 2014Apr 16, 2014
Thomas Lee HarnishVoya Financial Advisors, Inc. otherMid Atlantic Financial Management, Inc. otherOtherApr 17, 2014Apr 16, 2014
Craig Alan GroverVoya Financial Advisors, Inc. otherMid Atlantic Financial Management, Inc. otherOtherApr 17, 2014Apr 16, 2014
Craig Arthur JoncasVoya Financial Advisors, Inc. otherMid Atlantic Financial Management, Inc. otherOtherApr 17, 2014Apr 16, 2014
Jonathan Paul HlavacConcourse Financial Group Advisors otherMid Atlantic Financial Management, Inc. otherOtherNov 27, 2013Nov 1, 2013
Duane Jerrod GillmanConcourse Financial Group Advisors otherMid Atlantic Financial Management, Inc. otherOtherNov 27, 2013Nov 1, 2013
Mark Andrew PhillipsWells Fargo Advisors wirehouseMid Atlantic Financial Management, Inc. otherOtherApr 22, 2013Apr 19, 2013
Rick MeyeresMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseMid Atlantic Financial Management, Inc. otherOtherMar 19, 2013Mar 15, 2013
Joshua Reed SteinNew England Securities Corporation otherMid Atlantic Financial Management, Inc. otherOtherFeb 7, 2013Feb 4, 2013
Gregory Michael BakkeFirst Allied Advisory Services, Inc. otherMid Atlantic Financial Management, Inc. otherOtherDec 31, 2012Jan 2, 2013
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124 moves match.