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 Regal Advisory 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.

AdvisorFromToTypeLeftRegistered
Michael Gerard HickeyLevel Four Advisory Services BD affiliatedRegal Advisory Services, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAOct 26, 2023Oct 26, 2023
Timothy Joseph TaschlerSprott Asset Management USA Inc. independent RIARegal Advisory Services, Inc. independent RIARIA to RIAOct 4, 2022Oct 12, 2022
Andrew R ZimmerSage Private Wealth Group, LLC independent RIARegal Advisory Services, Inc. independent RIARIA to RIAJan 29, 2021Jan 8, 2021
Anthony Michael SchmittSpotlight Asset Group independent RIARegal Advisory Services, Inc. independent RIARIA to RIAAug 2, 2019Nov 6, 2019 (96 d)
Brian Charles LauxVictory Capital Management Inc. asset managerRegal Advisory Services, Inc. independent RIAOtherMay 18, 2018Nov 26, 2018 (192 d)
Leslie K CurranBuckman Advisory Group LLC otherRegal Advisory Services, Inc. otherOtherMar 6, 2018Mar 14, 2018
Jason Raymond SteenoScottrade Investment Management BD affiliatedRegal Advisory Services, Inc. independent RIAAffiliated broker-dealer or bank to independent RIADec 21, 2017Sep 24, 2019 (642 d)
John Vance KlosterKloster Capital Management,L.L.C. unclassifiedRegal Advisory Services, Inc. otherOtherAug 16, 2017Aug 15, 2016
Sean Thomas KeatingGwn Securities Inc. otherRegal Advisory Services, Inc. otherOtherJun 21, 2016Oct 28, 2016 (129 d)
Jill KazSecurian Financial Services, Inc. otherRegal Advisory Services, Inc. otherOtherFeb 24, 2016Mar 24, 2016
Douglas Eric DialAdvisornet Wealth Partners otherRegal Advisory Services, Inc. otherOtherMay 26, 2015Apr 5, 2016 (315 d)
James Francis MadiganWells Fargo Advisors wirehouseRegal Advisory Services, Inc. independent RIAWirehouse to independent RIAFeb 13, 2014Jan 6, 2026 (4345 d)
Jason Andrew CarpenterPnc Wealth Management otherRegal Advisory Services, Inc. otherOtherJan 30, 2014Jun 30, 2014 (151 d)
Barbara Gayle DeboerMorgan Stanley wirehouseRegal Advisory Services, Inc. otherOtherAug 7, 2013Sep 6, 2013
Molly AmbrosinoBrokersxpress LLC otherRegal Advisory Services, Inc. otherOtherDec 3, 2012Dec 2, 2014 (729 d)
Christopher Arthur FisherNorthstar Financial Partners, Inc. otherRegal Advisory Services, Inc. otherOtherOct 26, 2012Sep 28, 2012
Kevin John StembergerCommerce Wealth Advisers, LLC otherRegal Advisory Services, Inc. otherOtherSep 4, 2012Mar 31, 2015 (938 d)
Arthur Dennis FrascaCommerce Wealth Advisers, LLC otherRegal Advisory Services, Inc. otherOtherSep 4, 2012Apr 7, 2015 (945 d)
Scott Kendall BransonBrokersxpress LLC otherRegal Advisory Services, Inc. otherOtherAug 13, 2012Aug 16, 2012
Jeffry Scott LivingstonBrokersxpress LLC otherRegal Advisory Services, Inc. otherOtherAug 7, 2012Apr 16, 2014 (617 d)
Marilyn P Carter-HoganBrokersxpress LLC otherRegal Advisory Services, Inc. otherOtherAug 6, 2012Aug 7, 2012
Jerry Wayne LudwigBrokersxpress LLC otherRegal Advisory Services, Inc. otherOtherJul 23, 2012Jul 23, 2012
Kevin Brooks KugleyChase Investment Services Corp. otherRegal Advisory Services, Inc. otherOtherOct 12, 2010Oct 10, 2012 (729 d)
John ReynaRaymond James Financial Services Advisors, Inc otherRegal Advisory Services, Inc. otherOtherJul 22, 2010Sep 1, 2010 (41 d)
Ryan Frederick SmithPatriot Enterprises LLC unclassifiedRegal Advisory Services, Inc. otherOtherMay 10, 2010Aug 22, 2011 (469 d)
Sharon A. ShapiroCharles Schwab & Co., Inc. national BDRegal Advisory Services, Inc. otherOtherOct 19, 2009Jul 28, 2010 (282 d)
Joseph Ali AyersBanc Of America Investment Services, Inc. unclassifiedRegal Advisory Services, Inc. otherOtherMar 10, 2009Mar 7, 2011 (727 d)
Michael Francis CloutierSynergy Investment Group, LLC otherRegal Advisory Services, Inc. otherOtherDec 31, 2008Jan 6, 2009
Brent Alan ReedSynergy Investment Group, LLC otherRegal Advisory Services, Inc. otherOtherDec 31, 2008Jan 2, 2009
Shawn Michael LoddyScf Investment Advisors, Inc. otherRegal Advisory Services, Inc. otherOtherNov 30, 2007Nov 21, 2007
Gregory Scott KnightBrookstreet Securities Corporation unclassifiedRegal Advisory Services, Inc. otherOtherJul 12, 2007Jan 29, 2015 (2758 d)
Matthew Patrick NardolilloBrookstreet Securities Corporation unclassifiedRegal Advisory Services, Inc. otherOtherJul 12, 2007Jul 10, 2007
Steven Maier SmithBrookstreet Securities Corporation unclassifiedRegal Advisory Services, Inc. otherOtherJul 3, 2007Jul 25, 2007
Eric Arthur BickneseBrookstreet Securities Corporation unclassifiedRegal Advisory Services, Inc. otherOtherJul 3, 2007Jul 31, 2007
Michael Rennie MoreraBrookstreet Securities Corporation unclassifiedRegal Advisory Services, Inc. otherOtherJul 2, 2007Jul 6, 2007
Craig Warren MccombBrookstreet Securities Corporation unclassifiedRegal Advisory Services, Inc. otherOtherJun 29, 2007Jul 31, 2007 (32 d)
Keith Ronan NielsenSamco Financial Services, Inc. unclassifiedRegal Advisory Services, Inc. otherOtherDec 31, 2006Feb 12, 2007 (43 d)
John Christopher ShiblesMorgan Stanley Dw Inc. unclassifiedRegal Advisory Services, Inc. otherOtherDec 18, 2006Jan 4, 2007
Eric J HatchAmeriprise Financial Services, LLC national BDRegal Advisory Services, Inc. otherOtherNov 24, 2006May 31, 2007 (188 d)
Gregory Carl BarsonVoya Financial Advisors, Inc. otherRegal Advisory Services, Inc. otherOtherFeb 14, 2006Jan 7, 2008 (692 d)
Peter Francis ForbesB. Riley Wealth Advisors, Inc. otherRegal Advisory Services, Inc. otherOtherNov 30, 2005Sep 18, 2008 (1023 d)
Donald Todd CohenNew England Securities Corporation otherRegal Advisory Services, Inc. otherOtherOct 13, 2004Aug 24, 2004
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42 moves match.