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 Investment Advisors LLC
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 |
|---|---|---|---|---|---|
| Donna Marie Adams | Oneamerica Securities, Inc. BD affiliated | Regal Investment Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 9, 2026 | Jul 10, 2026 |
| Anthony Catapano | Morgan Stanley wirehouse | Regal Investment Advisors LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Mar 16, 2026 | Mar 18, 2026 |
| Thomas Orcutt | Lincoln Investment independent RIA | Regal Investment Advisors LLC BD affiliated | RIA to affiliated broker-dealer or bank | Feb 24, 2026 | Jun 16, 2025 |
| Thomas Anthony Ditta | Valic Financial Advisors, Inc. BD affiliated | Regal Investment Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 11, 2026 | Feb 9, 2026 |
| Paul Anthony Savage | Cambridge Investment Research Advisors, Inc. BD affiliated | Regal Investment Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 4, 2026 | Feb 2, 2026 |
| Trey Gilbert | Ameriprise Financial Services, LLC national BD | Regal Investment Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 29, 2026 | Feb 5, 2026 |
| Ericka Butler | Cetera Investment Advisers LLC BD affiliated | Regal Investment Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 23, 2026 | Jan 26, 2026 |
| Robert Jerry Boerkoel | Centennial Securities Company Inc independent RIA | Regal Investment Advisors LLC BD affiliated | RIA to affiliated broker-dealer or bank | Dec 11, 2025 | Dec 11, 2025 |
| Cornelius Willem Boerkoel | Centennial Securities Company Inc independent RIA | Regal Investment Advisors LLC BD affiliated | RIA to affiliated broker-dealer or bank | Dec 11, 2025 | Dec 11, 2025 |
| Herbert Robert Franco | MML Investors Services, LLC BD affiliated | Regal Investment Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 28, 2025 | Jul 22, 2026 (236 d) |
| Peter Louis Vescovi | Cetera Investment Advisers LLC BD affiliated | Regal Investment Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 15, 2025 | Oct 14, 2025 |
| Darrans Margens Desire | Kinetic Investment Management, Inc. independent RIA | Regal Investment Advisors LLC BD affiliated | RIA to affiliated broker-dealer or bank | Oct 13, 2025 | Oct 21, 2025 |
| Ralph Edma Desire | Kinetic Investment Management, Inc. independent RIA | Regal Investment Advisors LLC BD affiliated | RIA to affiliated broker-dealer or bank | Oct 13, 2025 | Oct 21, 2025 |
| Lisa Tursi | Capital Analysts BD affiliated | Regal Investment Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 10, 2025 | Oct 10, 2025 |
| Olivia Geiger | LPL Financial LLC BD affiliated | Regal Investment Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 24, 2025 | Jan 26, 2026 (186 d) |
| Daniel Rosado Mercado | Schorn Wealth independent RIA | Regal Investment Advisors LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jun 20, 2025 | Jul 9, 2025 |
| David Evans Decesare | Capital Analysts BD affiliated | Regal Investment Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 3, 2025 | Jun 17, 2025 |
| John Richard Hemenway | Next Financial Group, Inc. BD affiliated | Regal Investment Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 8, 2025 | Apr 9, 2025 |
| Peter Louis Vescovi | Strategic Advisers LLC national BD | Regal Investment Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 8, 2025 | Aug 15, 2025 (129 d) |
| Vinh Ma | Edward Jones national BD | Regal Investment Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 31, 2025 | Mar 18, 2025 |
| Carl Andrew Keil | Raymond James & Associates, Inc. national BD | Regal Investment Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 11, 2025 | Jul 21, 2025 (160 d) |
| Christopher Tyler Simon | Osaic Wealth, Inc. BD affiliated | Regal Investment Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 6, 2024 | Dec 3, 2024 |
| Shiqi Wang | Private Advisor Group, LLC BD affiliated | Regal Investment Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 5, 2024 | Dec 17, 2024 |
| Paul Russell Cunningham | Osaic Wealth, Inc. BD affiliated | Regal Investment Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 9, 2024 | Jul 22, 2024 |
| Gregory Peter Brick | Cetera Investment Advisers LLC BD affiliated | Regal Investment Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 18, 2024 | Jan 1, 2025 (197 d) |
| Thomas Kowalkoski | J.P. Morgan Securities LLC wirehouse | Regal Investment Advisors LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 2, 2024 | Dec 19, 2024 (261 d) |
| Rafat Jadon Jadon | Woodbury Financial Services, Inc. BD affiliated | Regal Investment Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2023 | Feb 7, 2024 (38 d) |
| Shawn Christian Everett | Cetera Investment Advisers LLC BD affiliated | Regal Investment Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 12, 2023 | Dec 11, 2023 |
| Blake Thomas Moore | Sequent Planning, LLC independent RIA | Regal Investment Advisors LLC BD affiliated | RIA to affiliated broker-dealer or bank | Dec 5, 2023 | Dec 5, 2023 |
| Phillip Max Owens | Woodbury Financial Services, Inc. BD affiliated | Regal Investment Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 15, 2023 | Nov 13, 2023 |
| Matthew Joseph Mortillaro | Eagle Strategies LLC BD affiliated | Regal Investment Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 10, 2023 | Nov 21, 2023 |
| William Brandon Gonzales | Foundations Investment Advisors LLC independent RIA | Regal Investment Advisors LLC BD affiliated | RIA to affiliated broker-dealer or bank | Sep 6, 2023 | Oct 5, 2023 |
| Alfredo Torres | Pruco Securities, LLC BD affiliated | Regal Investment Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 17, 2023 | Aug 9, 2023 |
| Kevin Peter Zebrowski | Intervest International, Inc. independent RIA | Regal Investment Advisors LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jun 27, 2023 | Jun 27, 2023 |
| Robert Esposito | Intervest International, Inc. independent RIA | Regal Investment Advisors LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jun 27, 2023 | Jun 27, 2023 |
| Giuseppe Roveccio | Stawnychy Financial Services, Inc. independent RIA | Regal Investment Advisors LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jun 20, 2023 | Jun 20, 2023 |
| Daylen Robert Dye | Fidelity Personal And Workplace Advisors BD affiliated | Regal Investment Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 8, 2023 | Jun 9, 2023 |
| Robert Wrona | Stewardship Advisory Group, LLC independent RIA | Regal Investment Advisors LLC BD affiliated | RIA to affiliated broker-dealer or bank | May 16, 2023 | Oct 23, 2024 (526 d) |
| Thomas Jack Bonnington | Nixon Capital LLC independent RIA | Regal Investment Advisors LLC BD affiliated | RIA to affiliated broker-dealer or bank | Apr 28, 2023 | Apr 28, 2023 |
| Trent Vernon Speckman | Center Street Advisors, Inc. independent RIA | Regal Investment Advisors LLC BD affiliated | RIA to affiliated broker-dealer or bank | Mar 31, 2023 | May 9, 2023 (39 d) |
| Kaponotuitalau Faitau | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Regal Investment Advisors LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Mar 28, 2023 | Jan 14, 2025 (658 d) |
| Andres Fabian Zambrano | Bankers Life Advisory Services, Inc. BD affiliated | Regal Investment Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 13, 2023 | Feb 22, 2023 (40 d) |
| Christopher Lee Warber | Advisory Services Network independent RIA | Regal Investment Advisors LLC BD affiliated | RIA to affiliated broker-dealer or bank | Dec 31, 2022 | Jan 3, 2023 |
| James Cameron Musgrave | Research Financial Strategies independent RIA | Regal Investment Advisors LLC BD affiliated | RIA to affiliated broker-dealer or bank | Aug 9, 2022 | Jun 20, 2023 (315 d) |
| Emily Joy Bustraan | Fidelity Personal And Workplace Advisors BD affiliated | Regal Investment Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | May 5, 2022 | May 5, 2022 |
| Jill Anne Veenstra | Oakwood Capital, Inc. independent RIA | Regal Investment Advisors LLC BD affiliated | RIA to affiliated broker-dealer or bank | May 2, 2022 | Dec 9, 2024 (952 d) |
| James Gerard Huhn | Sunrift Capital Partners LLC state registered | Regal Investment Advisors LLC BD affiliated | Other | Apr 20, 2022 | May 31, 2022 (41 d) |
| Cassandra Bezeau | Edward Jones national BD | Regal Investment Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 19, 2022 | May 13, 2022 |
| Vipul Braj Varma | Fsc Securities Corporation BD affiliated | Regal Investment Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 24, 2022 | Jan 18, 2022 |
| Ellis Charles Regini | Next Financial Group, Inc. BD affiliated | Regal Investment Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2021 | Dec 20, 2023 (719 d) |
| Marina B Peacock | Morgan Stanley wirehouse | Regal Investment Advisors LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 13, 2021 | Jan 6, 2022 |
| Anthony D Abrams | Woodbury Financial Services, Inc. BD affiliated | Regal Investment Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 21, 2021 | Sep 5, 2023 (714 d) |
| Don Ross Martin | Carrington Advisors, LLC state registered | Regal Investment Advisors LLC BD affiliated | Other | Aug 31, 2021 | Sep 2, 2021 |
| John Dennis Kelly | Carrington Advisors, LLC state registered | Regal Investment Advisors LLC BD affiliated | Other | Jun 28, 2021 | Jun 28, 2021 |
| Donald Wayne Aaron | Ae Wealth Management, LLC BD affiliated | Regal Investment Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 14, 2021 | Jun 8, 2021 |
| Kathleen Maura Mueller | Robert W. Baird & Co. Incorporated mixed wealth | Regal Investment Advisors LLC BD affiliated | RIA to affiliated broker-dealer or bank | May 4, 2021 | May 5, 2021 |
| Suzanne Renae Rohlik Holt | Ameriprise Financial Services, LLC national BD | Regal Investment Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 18, 2021 | Mar 12, 2021 |
| Barry J Magaoay | Lee Financial Group Hawaii, Inc. independent RIA | Regal Investment Advisors LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jan 8, 2021 | Feb 23, 2021 (46 d) |
| Kurt Ryan Davis | Esi Financial Advisors BD affiliated | Regal Investment Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 4, 2021 | Aug 10, 2021 (218 d) |
| Roger Edward Godin | Robert W. Baird & Co. Incorporated mixed wealth | Regal Investment Advisors LLC BD affiliated | RIA to affiliated broker-dealer or bank | Dec 2, 2020 | Jan 4, 2021 (33 d) |
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265 moves match.