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 American Independent Securities Group, 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
Timothy Ray Smith	USA Financial Securities LLC independent RIA	American Independent Securities Group, LLC independent RIA	RIA to RIA	Dec 19, 2025	Mar 30, 2026 (101 d)
Mark Matthew Melda	L.M. Kohn & Company independent RIA	American Independent Securities Group, LLC independent RIA	RIA to RIA	Sep 16, 2025	Sep 16, 2025
Thomas Holman Truesdell	L.M. Kohn & Company independent RIA	American Independent Securities Group, LLC independent RIA	RIA to RIA	Jul 1, 2025	Jul 2, 2025
Fred Howard Sultan	L.M. Kohn & Company independent RIA	American Independent Securities Group, LLC independent RIA	RIA to RIA	Jun 23, 2025	Jun 20, 2025
Mark Brennan Kelly	L.M. Kohn & Company independent RIA	American Independent Securities Group, LLC independent RIA	RIA to RIA	Jun 9, 2025	May 29, 2025
Martin Steven Healy	L.M. Kohn & Company independent RIA	American Independent Securities Group, LLC independent RIA	RIA to RIA	Jun 9, 2025	Jun 3, 2025
John Winship Durant	L.M. Kohn & Company independent RIA	American Independent Securities Group, LLC independent RIA	RIA to RIA	Apr 30, 2025	May 1, 2025
Bradley Thomas Lott	L.M. Kohn & Company independent RIA	American Independent Securities Group, LLC independent RIA	RIA to RIA	Mar 28, 2025	Mar 31, 2025
Wendy L Steadman	L.M. Kohn & Company independent RIA	American Independent Securities Group, LLC independent RIA	RIA to RIA	Mar 28, 2025	Mar 27, 2025
Alan Marquette Turner	L.M. Kohn & Company independent RIA	American Independent Securities Group, LLC independent RIA	RIA to RIA	Mar 28, 2025	Apr 17, 2025
Zachary James Cherocci	L.M. Kohn & Company independent RIA	American Independent Securities Group, LLC independent RIA	RIA to RIA	Mar 28, 2025	Mar 27, 2025
Xuejing Li	Transamerica Financial Advisors, LLC BD affiliated	American Independent Securities Group, LLC independent RIA	Affiliated broker-dealer or bank to independent RIA	Feb 19, 2025	Feb 20, 2025
Pamela Knight	Blackrock Investment Management, LLC other	American Independent Securities Group, LLC independent RIA	Other	Jan 25, 2024	Jan 16, 2025 (357 d)
Frederick Carl Ostermeyer	Securities America Advisors, Inc. BD affiliated	American Independent Securities Group, LLC independent RIA	Affiliated broker-dealer or bank to independent RIA	Oct 5, 2023	Oct 6, 2023
David M Robbins	Key Investment Services LLC BD affiliated	American Independent Securities Group, LLC independent RIA	Affiliated broker-dealer or bank to independent RIA	Jul 6, 2022	Jul 13, 2022
Cyla Fromm-Minett	Northwestern Mutual Investment Services,LLC no RAUM	American Independent Securities Group, LLC independent RIA	Other	Jul 27, 2021	Jan 27, 2022 (184 d)
Preston John Baus	Edward Jones national BD	American Independent Securities Group, LLC independent RIA	Affiliated broker-dealer or bank to independent RIA	Mar 18, 2021	Jan 1, 2025 (1385 d)
Melinda Jo Wells	Creativeone Securities, LLC BD affiliated	American Independent Securities Group, LLC independent RIA	Affiliated broker-dealer or bank to independent RIA	Oct 30, 2020	Dec 3, 2024 (1495 d)
Richard Michael Biel	Capital Financial Services, Inc. independent RIA	American Independent Securities Group, LLC independent RIA	RIA to RIA	Apr 23, 2019	Apr 23, 2019
Brandyn Duwayne Hendrickson	Capital Financial Services, Inc. independent RIA	American Independent Securities Group, LLC independent RIA	RIA to RIA	Mar 19, 2019	Mar 25, 2019
Eric Dean Rolshoven	Fsc Securities Corporation BD affiliated	American Independent Securities Group, LLC other	Other	Dec 26, 2018	Aug 18, 2017
Roger Charles Waller	Bfc Planning, Inc. BD affiliated	American Independent Securities Group, LLC independent RIA	Affiliated broker-dealer or bank to independent RIA	Nov 30, 2018	Jan 4, 2019 (35 d)
Sam Pieh	Jhs Capital Advisors, LLC other	American Independent Securities Group, LLC other	Other	Mar 8, 2018	Jul 29, 2015
Marina Maranatha Pelren	Scottrade Investment Management BD affiliated	American Independent Securities Group, LLC independent RIA	Affiliated broker-dealer or bank to independent RIA	Mar 7, 2018	Jan 23, 2019 (322 d)
Tracee Alane Adams	Morgan Stanley wirehouse	American Independent Securities Group, LLC other	Other	Oct 6, 2017	Jan 23, 2018 (109 d)
Lance Lynn Altheide	Cetera Advisor Networks LLC other	American Independent Securities Group, LLC other	Other	Nov 2, 2016	Nov 3, 2016
Pamela Krystal Mah	National Planning Corporation ("Npc Of America" In Fl & Ny) other	American Independent Securities Group, LLC other	Other	Sep 6, 2016	Sep 22, 2016
William Bryant Keith	Raymond James Financial Services Advisors, Inc other	American Independent Securities Group, LLC other	Other	Dec 3, 2015	Apr 8, 2016 (127 d)
Gregory Scott Bonzelaar	Oneamerica Securities, Inc. other	American Independent Securities Group, LLC independent RIA	Other	Dec 22, 2014	Jan 20, 2021 (2221 d)
Cortino Rito Garcia	Morgan Stanley wirehouse	American Independent Securities Group, LLC other	Other	Nov 15, 2013	Nov 12, 2013
Peter Carmine Covino	Prospera Financial Services, Inc. other	American Independent Securities Group, LLC other	Other	Oct 7, 2013	Mar 3, 2014 (147 d)
Ross Wayne Luekenga	Prospera Financial Services, Inc. other	American Independent Securities Group, LLC other	Other	Oct 7, 2013	Oct 4, 2013
Larry Dale Peregrine	Capital Synergy Partners independent RIA	American Independent Securities Group, LLC other	Other	Sep 17, 2012	Sep 14, 2012
Joseph Edward Tocchini	Equitable Advisors, LLC national BD	American Independent Securities Group, LLC other	Other	Feb 2, 2012	Jan 30, 2012
Michael Bienstock	Semaphore Investments state registered	American Independent Securities Group, LLC other	Other	Dec 31, 2010	Apr 11, 2008
Dennis Lynn Latham	Summit Financial Group Inc other	American Independent Securities Group, LLC other	Other	Jun 8, 2010	Jul 6, 2010
Sagar Parikh	Empire Securities Corporation unclassified	American Independent Securities Group, LLC other	Other	Apr 26, 2010	Apr 28, 2010
David James Martin	Afa Advisor Services LLC unclassified	American Independent Securities Group, LLC independent RIA	Other	Apr 22, 2010	Jan 1, 2025 (5368 d)
Brian Stoll	Arque Capital, Ltd. unclassified	American Independent Securities Group, LLC other	Other	Apr 20, 2010	Apr 22, 2010
Christine Marie Bennett	D.A. Davidson & Co. other	American Independent Securities Group, LLC other	Other	Sep 24, 2009	Sep 24, 2009
Paul Thomas Ferguson	Equitable Advisors, LLC national BD	American Independent Securities Group, LLC other	Other	Mar 27, 2007	Mar 23, 2007
Robert Laurence Kunde	Waddell & Reed other	American Independent Securities Group, LLC other	Other	Mar 5, 2007	Feb 26, 2007
Michael William Gray	First Heartland Consultants, Inc. other	American Independent Securities Group, LLC other	Other	Oct 31, 2005	Nov 1, 2005
Matthew Donald Shannahan	First Heartland Consultants, Inc. other	American Independent Securities Group, LLC other	Other	Oct 31, 2005	Nov 1, 2005
Walter Lee Ruddiman	First Heartland Consultants, Inc. other	American Independent Securities Group, LLC independent RIA	Other	Oct 31, 2005	Dec 20, 2019 (5163 d)
Katherine Anne Kirkpatrick	First Heartland Consultants, Inc. other	American Independent Securities Group, LLC other	Other	Oct 31, 2005	Nov 1, 2005
Joseph Thomas	Wells Fargo Advisors wirehouse	American Independent Securities Group, LLC other	Other	May 24, 2005	Jun 27, 2012 (2591 d)
Douglas Fosdick Carter	Td Ameritrade, Inc. no RAUM	American Independent Securities Group, LLC other	Other	Nov 10, 2004	Oct 19, 2005 (343 d)
Ryan Shane Carlson	Td Ameritrade, Inc. no RAUM	American Independent Securities Group, LLC other	Other	Nov 10, 2004	Oct 18, 2005 (342 d)
Suanne Yvonne Jones	Transamerica Financial Advisors, LLC other	American Independent Securities Group, LLC other	Other	Apr 28, 2004	Jan 9, 2006 (621 d)
Randal Warren Best	U.S. Bancorp Investments, Inc. other	American Independent Securities Group, LLC other	Other	Sep 12, 2003	Oct 19, 2005 (768 d)
Andrew James Daudt	Morgan Stanley Dw Inc. unclassified	American Independent Securities Group, LLC independent RIA	Other	Apr 8, 2003	May 22, 2024 (7715 d)

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52 moves match.