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 Sagepoint 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
Brooks David VanderzeeOsaic Wealth, Inc. BD affiliatedSagepoint Financial, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherMar 31, 2026May 30, 2019
Justin N GardinerValic Financial Advisors, Inc. BD affiliatedSagepoint Financial, Inc. otherOtherSep 2, 2025Dec 5, 2014
Joseph Lawrence TauntRegal Investment Advisors LLC BD affiliatedSagepoint Financial, Inc. otherOtherDec 23, 2024Feb 2, 2010
George Lester TaylorThreadline Wealth independent RIASagepoint Financial, Inc. otherOtherNov 14, 2024Oct 31, 2005
Michael Brett McmahonVwm Advisors, LLC unclassifiedSagepoint Financial, Inc. BD affiliatedOtherDec 31, 2023Aug 30, 2018
Doyle Henry BrownWindrose Retirement Income Planners, Inc. unclassifiedSagepoint Financial, Inc. otherOtherDec 15, 2023Jul 20, 2006
Douglas Allen MaherBms Financial Advisors, LLC independent RIASagepoint Financial, Inc. otherOtherNov 9, 2023Oct 31, 2005
Hugh Thomas BoyleBms Financial Advisors, LLC independent RIASagepoint Financial, Inc. otherOtherNov 9, 2023Oct 31, 2005
Nathaniel Allen StarkeyBms Financial Advisors, LLC independent RIASagepoint Financial, Inc. BD affiliatedRIA to affiliated broker-dealer or bankNov 9, 2023Mar 29, 2021
Glenn KrcmaricPayant Wealth Management Group independent RIASagepoint Financial, Inc. otherOtherJun 30, 2023Nov 8, 2012
Clinton Samuel QuinnLPL Financial LLC BD affiliatedSagepoint Financial, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherJun 13, 2023Jun 14, 2023
William Clement MartinProsperity - An Eisneramper Company independent RIASagepoint Financial, Inc. BD affiliatedRIA to affiliated broker-dealer or bankJun 8, 2023Aug 2, 2023 (55 d)
Robin Ann PorschenLPL Financial LLC BD affiliatedSagepoint Financial, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherMay 31, 2023May 18, 2023
Brian D YaiserOsaic Fa, Inc. BD affiliatedSagepoint Financial, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherMay 16, 2023May 15, 2023
Brooke Danielle YaiserOsaic Fa, Inc. BD affiliatedSagepoint Financial, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherMay 16, 2023May 15, 2023
Noor El Houda BucholzCommonwealth Financial Network national BDSagepoint Financial, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherMay 15, 2023May 22, 2023
Jodi Lynn BukowskiEagle Strategies LLC BD affiliatedSagepoint Financial, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherMay 3, 2023May 1, 2023
Steven Thomas HofmannEagle Strategies LLC BD affiliatedSagepoint Financial, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherMay 3, 2023May 1, 2023
Daniel Wade PierceSecurian Financial Services, Inc. independent RIASagepoint Financial, Inc. BD affiliatedRIA to affiliated broker-dealer or bankApr 17, 2023Apr 18, 2023
John Anthony LaceyEdward Jones national BDSagepoint Financial, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherApr 11, 2023Apr 10, 2023
Shannon Lea FowlerMML Investors Services, LLC BD affiliatedSagepoint Financial, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherApr 11, 2023Mar 31, 2023
Echo Ranell McneillUBS Financial Services Inc. wirehouseSagepoint Financial, Inc. BD affiliatedWirehouse to affiliated broker-dealer or bankMar 23, 2023Jun 28, 2023 (97 d)
Stacy Lynn ObneyMorgan Stanley wirehouseSagepoint Financial, Inc. BD affiliatedWirehouse to affiliated broker-dealer or bankMar 2, 2023Feb 14, 2023
Erik PetersonMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseSagepoint Financial, Inc. BD affiliatedWirehouse to affiliated broker-dealer or bankFeb 13, 2023Feb 22, 2023
John J PreceB. Riley Wealth Advisors, Inc. BD affiliatedSagepoint Financial, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherJan 17, 2023Jan 18, 2023
Kenneth HagarHuntington Financial Advisors BD affiliatedSagepoint Financial, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherJan 9, 2023Jan 3, 2023
John Francis RyanAcumen Financial Advisors, LLC independent RIASagepoint Financial, Inc. BD affiliatedRIA to affiliated broker-dealer or bankJan 3, 2023May 20, 2022
Monte Lee SniderSnider Financial Group independent RIASagepoint Financial, Inc. otherOtherDec 31, 2022Dec 6, 2005
John Moore FrobergHightower Advisors, LLC BD affiliatedSagepoint Financial, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherDec 31, 2022Jan 4, 2023
Jimmy Sherrod HollandBrookstone Capital Management LLC independent RIASagepoint Financial, Inc. BD affiliatedRIA to affiliated broker-dealer or bankDec 13, 2022Dec 15, 2022
Zachary Ryan BassEdward Jones national BDSagepoint Financial, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherDec 1, 2022Aug 9, 2023 (251 d)
Mindy M ZattaOsaic Fa, Inc. BD affiliatedSagepoint Financial, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherNov 17, 2022Nov 14, 2022
Mary Katherine BrimerOn Investment Management Co BD affiliatedSagepoint Financial, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherNov 16, 2022Nov 15, 2022
Patricia Marie CurranCambridge Investment Research Advisors, Inc. BD affiliatedSagepoint Financial, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherNov 4, 2022Nov 1, 2022
Alex David SamselLPL Financial LLC independent RIASagepoint Financial, Inc. BD affiliatedRIA to affiliated broker-dealer or bankNov 2, 2022Nov 10, 2022
Jason Robert CampbellJ.P. Morgan Securities LLC wirehouseSagepoint Financial, Inc. BD affiliatedWirehouse to affiliated broker-dealer or bankNov 1, 2022Oct 31, 2022
David Mark EllowitchOsaic Fa, Inc. BD affiliatedSagepoint Financial, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherOct 27, 2022Oct 21, 2022
James N EllowitchOsaic Fa, Inc. BD affiliatedSagepoint Financial, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherOct 25, 2022Oct 21, 2022
Shawn Michael MihalLPL Financial LLC independent RIASagepoint Financial, Inc. BD affiliatedRIA to affiliated broker-dealer or bankOct 20, 2022May 24, 2023 (216 d)
Ronald Rex DalleyMorgan Stanley wirehouseSagepoint Financial, Inc. BD affiliatedWirehouse to affiliated broker-dealer or bankOct 17, 2022Oct 7, 2022
Deepa GibbonsTransamerica Financial Advisors, LLC BD affiliatedSagepoint Financial, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherSep 26, 2022Sep 27, 2022
Lindsay Elizabeth OlsenLPL Financial LLC independent RIASagepoint Financial, Inc. BD affiliatedRIA to affiliated broker-dealer or bankSep 15, 2022Sep 29, 2022
Derrick Bart OssiLPL Financial LLC independent RIASagepoint Financial, Inc. BD affiliatedRIA to affiliated broker-dealer or bankSep 9, 2022Sep 6, 2022
Gregory Philip FongPlanned Wealth Consultants unclassifiedSagepoint Financial, Inc. BD affiliatedOtherSep 7, 2022Aug 25, 2022
John Francis MazzoneCitizens Securities, Inc. BD affiliatedSagepoint Financial, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherSep 2, 2022Aug 31, 2022
Jonathan David ParksOsaic Fa, Inc. BD affiliatedSagepoint Financial, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherSep 2, 2022Aug 29, 2022
Blake G CullenMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseSagepoint Financial, Inc. BD affiliatedWirehouse to affiliated broker-dealer or bankSep 1, 2022Sep 21, 2022
Brian S FalconerSecurian Financial Services, Inc. independent RIASagepoint Financial, Inc. BD affiliatedRIA to affiliated broker-dealer or bankAug 31, 2022Aug 2, 2022
Michael Lawrence BellodySecurian Financial Services, Inc. independent RIASagepoint Financial, Inc. BD affiliatedRIA to affiliated broker-dealer or bankAug 19, 2022Aug 2, 2022
David H WeinbergSecurian Financial Services, Inc. independent RIASagepoint Financial, Inc. BD affiliatedRIA to affiliated broker-dealer or bankAug 19, 2022Aug 2, 2022
Erik OlearySecurian Financial Services, Inc. independent RIASagepoint Financial, Inc. BD affiliatedRIA to affiliated broker-dealer or bankAug 19, 2022Aug 2, 2022
Chandler Harry WinchesterSecurian Financial Services, Inc. independent RIASagepoint Financial, Inc. BD affiliatedRIA to affiliated broker-dealer or bankAug 19, 2022Aug 2, 2022
Jose Emanuel Gomes LopesSecurian Financial Services, Inc. independent RIASagepoint Financial, Inc. BD affiliatedRIA to affiliated broker-dealer or bankAug 19, 2022Aug 2, 2022
Michael I GuertinSecurian Financial Services, Inc. independent RIASagepoint Financial, Inc. BD affiliatedRIA to affiliated broker-dealer or bankAug 19, 2022Aug 2, 2022
James Harold RossSecurian Financial Services, Inc. independent RIASagepoint Financial, Inc. BD affiliatedRIA to affiliated broker-dealer or bankAug 19, 2022Aug 2, 2022
Connor MahoneySecurian Financial Services, Inc. independent RIASagepoint Financial, Inc. BD affiliatedRIA to affiliated broker-dealer or bankAug 19, 2022Aug 2, 2022
Paul Michael O'MalleySecurian Financial Services, Inc. independent RIASagepoint Financial, Inc. BD affiliatedRIA to affiliated broker-dealer or bankAug 19, 2022Aug 2, 2022
Peter John FitzgeraldSecurian Financial Services, Inc. independent RIASagepoint Financial, Inc. BD affiliatedRIA to affiliated broker-dealer or bankAug 19, 2022Aug 2, 2022
James David MohrPrincipal Securities, Inc. BD affiliatedSagepoint Financial, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherAug 9, 2022Jul 22, 2022
Janey L KegleyMain Management, LLC independent RIASagepoint Financial, Inc. BD affiliatedRIA to affiliated broker-dealer or bankAug 1, 2022Jan 12, 2023 (164 d)
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977 moves match.