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 Zacks Investment 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
Sandie Kay RoddaLPL Financial LLC BD affiliatedZacks Investment Management, Inc. mixed wealthAffiliated broker-dealer or bank to independent RIAJul 7, 2026Jul 20, 2026
Nicholas James DemetralRaymond James Financial Services Advisors, Inc BD affiliatedZacks Investment Management, Inc. mixed wealthAffiliated broker-dealer or bank to independent RIAMay 20, 2026Jun 4, 2026
Tonio CrudeleAdvisors Asset Management, Inc. mixed wealthZacks Investment Management, Inc. mixed wealthRIA to RIAMar 18, 2026Mar 26, 2026
Nicholas James CoccioAc Wealth Partners mixed wealthZacks Investment Management, Inc. mixed wealthRIA to RIADec 1, 2025Dec 4, 2025
Kevin Leo GaffeyEmpower Advisory Group, LLC BD affiliatedZacks Investment Management, Inc. mixed wealthAffiliated broker-dealer or bank to independent RIANov 19, 2025Nov 28, 2025
Reginald J SmithJ.P. Morgan Securities LLC wirehouseZacks Investment Management, Inc. mixed wealthWirehouse to independent RIAAug 21, 2025Aug 18, 2026 (362 d)
Adam Michael MillmanFisher Investments independent RIAZacks Investment Management, Inc. mixed wealthRIA to RIAAug 8, 2025Aug 6, 2025
James Scott RoseBluespring Wealth Management, LLC independent RIAZacks Investment Management, Inc. mixed wealthRIA to RIAAug 4, 2025Sep 23, 2025 (50 d)
Christopher Nicholas WallackFisher Investments independent RIAZacks Investment Management, Inc. mixed wealthRIA to RIAJul 18, 2025Oct 28, 2025 (102 d)
Sean PhilbinWells Fargo Advisors wirehouseZacks Investment Management, Inc. mixed wealthWirehouse to independent RIAJul 3, 2025Oct 27, 2025 (116 d)
James BondarShelton Capital Management otherZacks Investment Management, Inc. mixed wealthOtherJul 2, 2025Aug 1, 2025
Donald Richard FrankFisher Investments independent RIAZacks Investment Management, Inc. mixed wealthRIA to RIAApr 17, 2025Sep 23, 2025 (159 d)
Seth Broderick JenningsFisher Investments independent RIAZacks Investment Management, Inc. mixed wealthRIA to RIAMar 4, 2025Nov 6, 2025 (247 d)
Kurt Allan PetricekGuggenheim Investments asset managerZacks Investment Management, Inc. mixed wealthOtherFeb 5, 2025Feb 11, 2026 (371 d)
Michael William SiriannoLPL Financial LLC BD affiliatedZacks Investment Management, Inc. mixed wealthAffiliated broker-dealer or bank to independent RIAAug 27, 2024Jan 23, 2025 (149 d)
Briana-Capri ThadisonThrivent Investment Management Inc. BD affiliatedZacks Investment Management, Inc. mixed wealthAffiliated broker-dealer or bank to independent RIAMar 15, 2024Jun 4, 2025 (446 d)
Matthew Todd GlinskyCharles Schwab & Co., Inc. national BDZacks Investment Management, Inc. mixed wealthAffiliated broker-dealer or bank to independent RIADec 6, 2023Dec 26, 2023
Michael James CaterinaUBS Financial Services Inc. wirehouseZacks Investment Management, Inc. mixed wealthWirehouse to independent RIADec 4, 2023Apr 17, 2024 (135 d)
James Alexander FivesOrion Portfolio Solutions, LLC BD affiliatedZacks Investment Management, Inc. mixed wealthAffiliated broker-dealer or bank to independent RIAJul 14, 2023Oct 4, 2023 (82 d)
Kevin Jordan GrahamRothschild Wealth LLC independent RIAZacks Investment Management, Inc. mixed wealthRIA to RIAMay 15, 2023Nov 2, 2023 (171 d)
Dylan Frank Patrick YouncePersonal Capital Advisors Corporation independent RIAZacks Investment Management, Inc. mixed wealthRIA to RIAJan 6, 2023Jan 12, 2023
Salvatore EspositoUBS Financial Services Inc. wirehouseZacks Investment Management, Inc. mixed wealthWirehouse to independent RIAMar 15, 2022Mar 25, 2022
Joseph Glenn MaxeyIndependent Financial Partners BD affiliatedZacks Investment Management, Inc. mixed wealthAffiliated broker-dealer or bank to independent RIAMar 10, 2022Mar 24, 2022
Paul Dominic MangiardiIht Wealth Management LLC BD affiliatedZacks Investment Management, Inc. mixed wealthAffiliated broker-dealer or bank to independent RIAFeb 23, 2022Mar 8, 2022
Triston Rafael NavarroEquitable Advisors, LLC national BDZacks Investment Management, Inc. mixed wealthAffiliated broker-dealer or bank to independent RIAAug 17, 2021Nov 25, 2024 (1196 d)
Nicholas Keith LopezEdward Jones national BDZacks Investment Management, Inc. mixed wealthAffiliated broker-dealer or bank to independent RIAAug 5, 2021Oct 15, 2021 (71 d)
Kelly G HammondWaddell & Reed BD affiliatedZacks Investment Management, Inc. mixed wealthAffiliated broker-dealer or bank to independent RIAApr 21, 2021Aug 5, 2021 (106 d)
Christian CodyEdward Jones national BDZacks Investment Management, Inc. mixed wealthAffiliated broker-dealer or bank to independent RIAMar 5, 2021Dec 20, 2024 (1386 d)
Nicholas J StreitAvantax Advisory Services BD affiliatedZacks Investment Management, Inc. mixed wealthAffiliated broker-dealer or bank to independent RIAFeb 12, 2021Feb 10, 2021
Gabriel Phillip SzymarekDearborn Partners L.L.C. otherZacks Investment Management, Inc. mixed wealthOtherJun 16, 2020Mar 31, 2021 (288 d)
Jacob Thomas JablonskiCharles Schwab & Co., Inc. national BDZacks Investment Management, Inc. mixed wealthAffiliated broker-dealer or bank to independent RIANov 26, 2019Nov 10, 2020 (350 d)
Luke Wade MichalikJ.P. Morgan Securities LLC wirehouseZacks Investment Management, Inc. mixed wealthWirehouse to independent RIAMay 28, 2019Jun 5, 2019
Robert John AlessandroMcadam LLC independent RIAZacks Investment Management, Inc. mixed wealthRIA to RIADec 20, 2018Apr 15, 2026 (2673 d)
Duncan Cuyler SmithFisher Investments independent RIAZacks Investment Management, Inc. mixed wealthRIA to RIANov 16, 2018Nov 8, 2018
Kevin Louis AntoszEdward Jones national BDZacks Investment Management, Inc. otherOtherApr 11, 2018May 9, 2018
Brian Nielsen MulberryAllegis Investment Advisors, LLC otherZacks Investment Management, Inc. otherOtherNov 20, 2017Jan 22, 2018 (63 d)
Charles Kenneth SherburneAmeriprise Financial Services, LLC national BDZacks Investment Management, Inc. otherOtherJan 6, 2017May 18, 2017 (132 d)
Todd Robert MarsellPnc Wealth Management otherZacks Investment Management, Inc. otherOtherNov 19, 2014Nov 20, 2014
Roman KobrinTd Ameritrade, Inc. no RAUMZacks Investment Management, Inc. otherOtherJul 14, 2014Jan 9, 2015 (179 d)
Gregory John KarolichRaymond James Financial Services Advisors, Inc otherZacks Investment Management, Inc. otherOtherOct 24, 2012Oct 18, 2012
Richard Stone DelioLPL Financial LLC otherZacks Investment Management, Inc. otherOtherFeb 13, 2012Feb 28, 2012
David Alan KotyWells Fargo Advisors wirehouseZacks Investment Management, Inc. otherOtherAug 22, 2011Aug 22, 2011
Stephen Scott PhilipMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseZacks Investment Management, Inc. otherOtherFeb 28, 2011Jun 3, 2016 (1922 d)
Scott Thomas BewickFisher Investments otherZacks Investment Management, Inc. otherOtherOct 14, 2010Jan 30, 2013 (839 d)
Christopher Stephen MccarryLPL Financial LLC otherZacks Investment Management, Inc. otherOtherJul 19, 2010Jul 12, 2010
Nicholas Anthony PunzioJohn Hancock Investment Management LLC otherZacks Investment Management, Inc. otherOtherJul 24, 2009Dec 16, 2010 (510 d)
Wayne Andrew HoffmanFred Alger Management, LLC otherZacks Investment Management, Inc. mixed wealthOtherJun 24, 2009Jun 7, 2018 (3270 d)
Timothy Carter HarperAmeriprise Advisor Services, Inc. unclassifiedZacks Investment Management, Inc. otherOtherMar 24, 2009Apr 22, 2009
Alexander Wallace InsleyFisher Investments otherZacks Investment Management, Inc. otherOtherNov 28, 2008Jan 15, 2009 (48 d)
Jarret Michael ShattuckGuggenheim Investments otherZacks Investment Management, Inc. otherOtherNov 4, 2008Feb 13, 2009 (101 d)
Christopher Lee BishopFisher Investments otherZacks Investment Management, Inc. otherOtherOct 27, 2008Jan 14, 2009 (79 d)
Felix F BarrazaChase Investment Services Corp. otherZacks Investment Management, Inc. otherOtherSep 24, 2008Apr 20, 2009 (208 d)
Kyle Eric MerkStrategic Advisers LLC national BDZacks Investment Management, Inc. otherOtherJul 24, 2008Jul 18, 2008
Jeffrey Clinton HaskinUBS Financial Services Inc. wirehouseZacks Investment Management, Inc. otherOtherMay 21, 2008Jan 12, 2011 (966 d)
Eric S. ErwayGuggenheim Investments otherZacks Investment Management, Inc. otherOtherApr 9, 2008Apr 20, 2009 (376 d)
Justin Timothy BaileyLPL Financial LLC otherZacks Investment Management, Inc. otherOtherFeb 5, 2008Sep 4, 2013 (2038 d)
David Allen KecskesOsaic Fa, Inc. otherZacks Investment Management, Inc. otherOtherJan 29, 2008Jan 28, 2008
Robert Anthony PattiFsc Securities Corporation otherZacks Investment Management, Inc. otherOtherJan 18, 2008Jan 29, 2008
John Connor McchesneyMorgan Stanley & Co. LLC unclassifiedZacks Investment Management, Inc. otherOtherJan 2, 2008Jan 18, 2008
Jay Kevin FaliniInvestacorp Advisory Services Inc otherZacks Investment Management, Inc. otherOtherAug 23, 2007Sep 16, 2008 (390 d)
Page 1 of 2Next
82 moves match.