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 Lawing Financial 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
Brenda Brooks RocchioInvestment Professionals, Inc. otherLawing Financial Inc otherOtherMay 2, 2017May 8, 2017
Gentry Parks MooreKestra Advisory Services, LLC otherLawing Financial Inc otherOtherFeb 16, 2017Feb 15, 2017
William Adolph SteihInvestors Capital Advisory otherLawing Financial Inc otherOtherMay 23, 2016May 16, 2016
Douglas Howard PardieckEdward Jones national BDLawing Financial Inc otherOtherMar 17, 2016May 2, 2016 (46 d)
Thomas MancusoMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseLawing Financial Inc otherOtherFeb 24, 2016Feb 22, 2016
Michael Allen SmootsOne Advisory Partners, LLC otherLawing Financial Inc otherOtherDec 5, 2015Jan 20, 2016 (46 d)
Bruce Walter BeyerCambridge Investment Research Advisors, Inc. otherLawing Financial Inc otherOtherFeb 9, 2015Aug 1, 2014
Gus Miller MaskEquitable Advisors, LLC national BDLawing Financial Inc otherOtherJul 18, 2014Jul 16, 2014
Lisa Diane JonesMsi Financial Services, Inc. otherLawing Financial Inc otherOtherMar 12, 2014Mar 13, 2014
Mark Allen GashEagle Strategies LLC otherLawing Financial Inc otherOtherMar 6, 2014Mar 7, 2014
Patrick E MoorePark Avenue Securities LLC otherLawing Financial Inc otherOtherFeb 19, 2014Feb 3, 2014
Thomas J. BrunzLPL Financial LLC otherLawing Financial Inc otherOtherAug 20, 2013Aug 20, 2013
John Phillip MorganMutual Of Omaha Investor Services, Inc. no RAUMLawing Financial Inc otherOtherJul 31, 2013Jul 9, 2013
Michael John NedreskiCambridge Investment Research Advisors, Inc. otherLawing Financial Inc otherOtherApr 1, 2013Jan 14, 2013
Derek Jay MitchellCambridge Investment Research Advisors, Inc. otherLawing Financial Inc otherOtherDec 31, 2012Nov 15, 2012
Robert MalekVoya Financial Advisors, Inc. otherLawing Financial Inc otherOtherMay 22, 2012Jul 2, 2012 (41 d)
Marc Charles DesmarteauVoya Financial Advisors, Inc. otherLawing Financial Inc otherOtherMay 21, 2012May 24, 2012
Timothy Brennan MccutchenTransamerica Financial Advisors, LLC otherLawing Financial Inc otherOtherDec 8, 2011Dec 13, 2011
Jason Allen GerberTransamerica Financial Advisors, LLC otherLawing Financial Inc otherOtherDec 8, 2011Dec 13, 2011
Craig Alan BurtisNew England Securities Corporation otherLawing Financial Inc otherOtherNov 22, 2011Nov 15, 2011
Steven Joseph Vander VeldeEquitable Advisors, LLC national BDLawing Financial Inc otherOtherFeb 17, 2011Feb 16, 2011
Merlin Moody HaganValic Financial Advisors, Inc. otherLawing Financial Inc otherOtherApr 14, 2010Dec 13, 2011 (608 d)
Douglas Jon LodePrincipal Securities, Inc. otherLawing Financial Inc otherOtherSep 17, 2009Sep 29, 2009
Stephen Matthew BrownEdward Jones national BDLawing Financial Inc otherOtherAug 25, 2009Sep 8, 2009
Brad David HoldhusenEdward Jones national BDLawing Financial Inc otherOtherJul 16, 2009Jul 16, 2009
Richard Lee BakerLPL Financial LLC otherLawing Financial Inc otherOtherFeb 3, 2009Feb 27, 2009
Amy Jeanne BerryOn Investment Management Co otherLawing Financial Inc otherOtherAug 29, 2008Aug 28, 2008
David M. CompereVoya Financial Advisors, Inc. otherLawing Financial Inc otherOtherMay 1, 2008May 9, 2008
Bradley Christopher LawingMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseLawing Financial Inc otherOtherJul 16, 2007Aug 17, 2007 (32 d)
Anthony Elliott WoodardWoodard, Charles Woodbridge unclassifiedLawing Financial Inc otherOtherApr 10, 2007Oct 17, 2005
Scott James ColangeloMason James Asset Management, Inc. unclassifiedLawing Financial Inc otherOtherDec 31, 2006May 4, 2005
Jeremiah David MummOn Investment Management Co otherLawing Financial Inc otherOtherAug 31, 2006Sep 5, 2006
Bryan Eric SchuenemannMsi Financial Services, Inc. otherLawing Financial Inc otherOtherApr 25, 2006Dec 10, 2013 (2786 d)
Jeffrey Scott DonovanBanc Of America Investment Services, Inc. unclassifiedLawing Financial Inc otherOtherFeb 13, 2006Feb 21, 2006
Troy Laton RedstoneJ.P. Morgan Institutional Investments otherLawing Financial Inc otherOtherJan 31, 2006Jan 30, 2008 (729 d)
David G MillerMorgan Stanley Dw Inc. unclassifiedLawing Financial Inc otherOtherNov 23, 2005Jan 31, 2006 (69 d)
Paul Elliot CohenAmeriprise Financial Services, LLC national BDLawing Financial Inc otherOtherFeb 18, 2005Mar 16, 2006 (391 d)
Steven Christopher NelsonOn Investment Management Co otherLawing Financial Inc otherOtherMar 9, 2004Apr 28, 2004 (50 d)
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38 moves match.