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 Sorrento Pacific Financial, 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.

AdvisorFromToTypeLeftRegistered
Christopher Leonard MccainCuso Financial Services, L.P. BD affiliatedSorrento Pacific Financial, LLC otherOtherNov 7, 2025Jan 15, 2016
John J KonikowskiCuso Financial Services, L.P. BD affiliatedSorrento Pacific Financial, LLC otherOtherMar 1, 2024Feb 22, 2016
Patrick OwensIndependent Wealth Network, Inc. independent RIASorrento Pacific Financial, LLC BD affiliatedRIA to affiliated broker-dealer or bankMar 16, 2023Mar 21, 2023
Teresa Walsh FolkinsCuso Financial Services, L.P. BD affiliatedSorrento Pacific Financial, LLC otherOtherJun 13, 2022Nov 10, 2014
Caleb Brian WalterWells Fargo Advisors wirehouseSorrento Pacific Financial, LLC BD affiliatedWirehouse to affiliated broker-dealer or bankJul 20, 2021Jul 20, 2021
Shannon Renee IrwinCreativeone Wealth, LLC independent RIASorrento Pacific Financial, LLC BD affiliatedRIA to affiliated broker-dealer or bankDec 31, 2020Dec 17, 2020
John Francis PotterMML Investors Services, LLC BD affiliatedSorrento Pacific Financial, LLC BD affiliatedAffiliated broker-dealer or bank to anotherSep 17, 2019Sep 16, 2019
Steven Andrew SanchezVoya Financial Advisors, Inc. BD affiliatedSorrento Pacific Financial, LLC BD affiliatedAffiliated broker-dealer or bank to anotherJul 30, 2019Oct 22, 2019 (84 d)
Daniel Rosado MercadoFirst Allied Advisory Services, Inc. BD affiliatedSorrento Pacific Financial, LLC BD affiliatedAffiliated broker-dealer or bank to anotherJul 1, 2019Jul 3, 2019
Mario A PomettaEdward Jones national BDSorrento Pacific Financial, LLC independent RIAAffiliated broker-dealer or bank to independent RIAFeb 6, 2019Feb 13, 2019
David VigilWells Fargo Advisors wirehouseSorrento Pacific Financial, LLC independent RIAWirehouse to independent RIAAug 7, 2018Aug 3, 2018
Anthony Martin BonafedeIndependent Financial Group, LLC BD affiliatedSorrento Pacific Financial, LLC independent RIAAffiliated broker-dealer or bank to independent RIAJul 27, 2018Aug 27, 2018 (31 d)
Robert Michael McallisterSecurities America Advisors, Inc. BD affiliatedSorrento Pacific Financial, LLC independent RIAAffiliated broker-dealer or bank to independent RIAJun 4, 2018Jun 5, 2018
Matthew Roger BassukFirst Allied Advisory Services, Inc. otherSorrento Pacific Financial, LLC independent RIAOtherFeb 2, 2018Apr 25, 2018 (82 d)
Sybil Lee PoageInvest Financial Corporation otherSorrento Pacific Financial, LLC BD affiliatedOtherDec 15, 2017Dec 15, 2017
Kathryn Leeper HooperInvest Financial Corporation otherSorrento Pacific Financial, LLC BD affiliatedOtherDec 15, 2017Dec 15, 2017
Kimberly Marie MartinHantz Financial Services, Inc. otherSorrento Pacific Financial, LLC otherOtherSep 19, 2017Sep 22, 2017
Megan RuoCitizens Securities, Inc. otherSorrento Pacific Financial, LLC otherOtherJul 17, 2017Jul 26, 2017
Michael Anthony PuglieseSantander Securities otherSorrento Pacific Financial, LLC otherOtherJun 1, 2017Jun 14, 2017
George H EliasMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseSorrento Pacific Financial, LLC otherOtherApr 5, 2017Apr 5, 2017
Adam Louis NietoLPL Financial LLC otherSorrento Pacific Financial, LLC otherOtherFeb 24, 2017Jan 31, 2017
Simon Y ChungCreative Planning otherSorrento Pacific Financial, LLC otherOtherFeb 15, 2017Jul 25, 2017 (160 d)
Raymond S OffenburgerNorthwestern Mutual Investment Services,LLC no RAUMSorrento Pacific Financial, LLC otherOtherJan 27, 2017Feb 7, 2017
Andrew MorrisAst Investment Services, Inc. otherSorrento Pacific Financial, LLC otherOtherNov 9, 2016Jan 12, 2017 (64 d)
Donna HickoCuso Financial Services, L.P. otherSorrento Pacific Financial, LLC otherOtherNov 8, 2016May 19, 2015
Joe Neil HaywoodThe Retirement Group, LLC otherSorrento Pacific Financial, LLC BD affiliatedOtherOct 31, 2016Feb 1, 2018 (458 d)
Andrey LetushkoInvest Financial Corporation otherSorrento Pacific Financial, LLC otherOtherSep 29, 2016Oct 7, 2016
Gregory Drew VaccaSavedaily.Com, Inc. otherSorrento Pacific Financial, LLC otherOtherMay 31, 2016May 31, 2016
Mark Joseph MinniumPnc Wealth Management otherSorrento Pacific Financial, LLC otherOtherApr 12, 2016Aug 17, 2016 (127 d)
Antonio CarterCuso Financial Services, L.P. otherSorrento Pacific Financial, LLC otherOtherDec 7, 2015Oct 2, 2015
Doris T CaramelloLPL Financial LLC otherSorrento Pacific Financial, LLC otherOtherNov 18, 2015Apr 25, 2016 (159 d)
David AmatoMsi Financial Services, Inc. otherSorrento Pacific Financial, LLC otherOtherSep 11, 2015Sep 11, 2015
Matthew A WeaverBedell Frazier Investment Counselling, LLC. otherSorrento Pacific Financial, LLC otherOtherJul 14, 2015Dec 1, 2015 (140 d)
John Byron PooreTaylor & Williams, Inc. otherSorrento Pacific Financial, LLC otherOtherJun 29, 2015May 26, 2015
Mark Anthony SanchezCuso Financial Services, L.P. otherSorrento Pacific Financial, LLC otherOtherJun 19, 2015Feb 9, 2012
Edward Benjamin HarrisJ.P. Morgan Securities LLC wirehouseSorrento Pacific Financial, LLC otherOtherMay 19, 2015Jun 5, 2015
David Todd GreenCetera Advisors LLC otherSorrento Pacific Financial, LLC otherOtherApr 29, 2015Apr 28, 2015
Michael Dale MiltonWells Fargo Advisors wirehouseSorrento Pacific Financial, LLC otherOtherApr 15, 2015May 22, 2015 (37 d)
Timothy Alexander QuigleyCuso Financial Services, L.P. otherSorrento Pacific Financial, LLC otherOtherMar 6, 2015Mar 17, 2014
James J GiordanoSecurian Financial Services, Inc. otherSorrento Pacific Financial, LLC otherOtherJul 9, 2014Aug 26, 2014 (48 d)
Leonard LudovicoPnc Wealth Management otherSorrento Pacific Financial, LLC otherOtherJun 20, 2014Jun 25, 2014
Martin James MangialardiLPL Financial LLC otherSorrento Pacific Financial, LLC otherOtherJun 9, 2014Jun 2, 2014
Robert Henry BreslinSantander Securities otherSorrento Pacific Financial, LLC otherOtherJun 5, 2014Jul 18, 2014 (43 d)
Hector Frank SiqueirosLPL Financial LLC otherSorrento Pacific Financial, LLC otherOtherApr 3, 2014Nov 24, 2014 (235 d)
Savas Nick ConstantinouEdward Jones national BDSorrento Pacific Financial, LLC otherOtherMar 3, 2014Sep 3, 2014 (184 d)
Joseph Alphonse FermanoLPL Financial LLC otherSorrento Pacific Financial, LLC otherOtherDec 31, 2013Jan 2, 2014
Alfonso Joseph SiravoLPL Financial LLC otherSorrento Pacific Financial, LLC otherOtherDec 31, 2013Jan 2, 2014
Edward MontagnaLPL Financial LLC otherSorrento Pacific Financial, LLC otherOtherDec 31, 2013Jan 2, 2014
Paul Christopher RanieriLPL Financial LLC otherSorrento Pacific Financial, LLC otherOtherDec 31, 2013Jan 2, 2014
James N WhittCambridge Investment Research Advisors, Inc. otherSorrento Pacific Financial, LLC otherOtherAug 12, 2013Jul 25, 2013
Oscar Lee HarrisonRaymond James Financial Services Advisors, Inc otherSorrento Pacific Financial, LLC otherOtherApr 2, 2013Apr 4, 2013
Michael Steven GradlCuso Financial Services, L.P. otherSorrento Pacific Financial, LLC otherOtherFeb 1, 2013Jan 17, 2013
Vladislav TsynWells Fargo Advisors wirehouseSorrento Pacific Financial, LLC otherOtherDec 18, 2012Dec 19, 2012
Benjamin J PearmanEdward Jones national BDSorrento Pacific Financial, LLC otherOtherAug 8, 2012Nov 14, 2012 (98 d)
James ParkerPartnervest Advisory Services LLC otherSorrento Pacific Financial, LLC otherOtherJul 16, 2012Aug 23, 2012 (38 d)
Julie Anne WallaceTransamerica Financial Advisors, LLC otherSorrento Pacific Financial, LLC otherOtherFeb 15, 2012May 24, 2012 (99 d)
Brian Michael FrostMorgan Stanley wirehouseSorrento Pacific Financial, LLC otherOtherSep 7, 2011Sep 16, 2011
Timothy Blane SeaseUvest Financial Services Group, Inc. unclassifiedSorrento Pacific Financial, LLC otherOtherAug 16, 2011Sep 14, 2011
Treze J BeasleyUvest Financial Services Group, Inc. unclassifiedSorrento Pacific Financial, LLC otherOtherAug 16, 2011Sep 14, 2011
Robert Ray RossUvest Financial Services Group, Inc. unclassifiedSorrento Pacific Financial, LLC otherOtherAug 16, 2011Sep 14, 2011
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90 moves match.