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 Brogan Financial

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
Jason SurdykCommonwealth Financial Network national BDBrogan Financial independent RIAAffiliated broker-dealer or bank to independent RIAMay 28, 2025Apr 8, 2026 (315 d)
Jay Everett KadlecUSA Financial Securities LLC independent RIABrogan Financial independent RIARIA to RIANov 18, 2021Sep 28, 2023 (679 d)
Eric Lee BelewMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseBrogan Financial independent RIAWirehouse to independent RIAJun 7, 2021Sep 8, 2021 (93 d)
Mark Richard ShreveAmeriprise Financial Services, LLC national BDBrogan Financial independent RIAAffiliated broker-dealer or bank to independent RIAApr 2, 2021Sep 2, 2021 (153 d)
Aaron Matthew BuckIc Advisory Services, Inc. BD affiliatedBrogan Financial independent RIAAffiliated broker-dealer or bank to independent RIANov 14, 2018Dec 11, 2018
Richard PolchinskiWells Fargo Advisors wirehouseBrogan Financial independent RIAWirehouse to independent RIAJul 18, 2018Oct 9, 2018 (83 d)
Alicia Diane NewhouseSuntrust Investment Services, Inc. otherBrogan Financial otherOtherDec 28, 2015Apr 28, 2016 (122 d)
James Nathan KraeskeValic Financial Advisors, Inc. otherBrogan Financial otherOtherApr 30, 2009Jun 25, 2009 (56 d)
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8 moves match.