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 Npb Financial 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.

AdvisorFromToTypeLeftRegistered
Whitney E JohnsonBaseline Investments, LLC state registeredNpb Financial Group, LLC independent RIAOtherDec 31, 2023Aug 1, 2019
Justin K McintyreMorgan Stanley wirehouseNpb Financial Group, LLC independent RIAWirehouse to independent RIAMay 18, 2020May 15, 2020
Kimberly Ann BarentsenFirst Allied Advisory Services, Inc. BD affiliatedNpb Financial Group, LLC independent RIAAffiliated broker-dealer or bank to independent RIAApr 8, 2019Apr 12, 2019
Christopher David GarciaLPL Financial LLC independent RIANpb Financial Group, LLC independent RIARIA to RIAMar 8, 2018Apr 10, 2018 (33 d)
Lance Taylor PattonCetera Advisor Networks LLC otherNpb Financial Group, LLC otherOtherJan 8, 2018Jan 2, 2018
Khiem Thi Truong - Von GarvischStrategic Advisers LLC national BDNpb Financial Group, LLC independent RIAAffiliated broker-dealer or bank to independent RIANov 16, 2017Jun 25, 2019 (586 d)
Christian Fernando CarreonGold Coast Securities, Inc. otherNpb Financial Group, LLC otherOtherSep 27, 2017Oct 17, 2017
Mark Stephen SauerButorac Wealth Management Inc otherNpb Financial Group, LLC otherOtherAug 31, 2017Aug 15, 2017
Dieter Erwin ThurowThe Planners Network, Inc. otherNpb Financial Group, LLC otherOtherMar 20, 2017Mar 10, 2017
Ara Alexander KachadourianMML Investors Services, LLC otherNpb Financial Group, LLC otherOtherFeb 6, 2017Apr 10, 2017 (63 d)
John Patrick RiceIndependent Financial Group, LLC otherNpb Financial Group, LLC otherOtherMar 12, 2015Mar 25, 2015
Kent Randall AlstonFoothill Securities, Inc. otherNpb Financial Group, LLC otherOtherJul 18, 2014Jul 23, 2014
Yi Ping ChouInvestacorp Advisory Services Inc otherNpb Financial Group, LLC otherOtherFeb 6, 2014Jan 31, 2014
Joseph Gustav YurgecLPL Financial LLC otherNpb Financial Group, LLC otherOtherSep 30, 2013Sep 20, 2013
Gregory Lloyd BernhardtSpc otherNpb Financial Group, LLC otherOtherFeb 19, 2013Sep 14, 2016 (1303 d)
Maureen Ming-Yuan TsuProfessional Financial Advisors Inc no RAUMNpb Financial Group, LLC otherOtherNov 16, 2011Dec 14, 2010
Charles Brian ConnersProfessional Financial Advisors Inc no RAUMNpb Financial Group, LLC otherOtherNov 16, 2011Nov 5, 2010
Joshua Allen IversenLPL Financial LLC otherNpb Financial Group, LLC otherOtherSep 13, 2010Sep 3, 2010
Paul Louis KnoblichFoothill Securities, Inc. otherNpb Financial Group, LLC otherOtherSep 3, 2010Jan 4, 2017 (2315 d)
Thomas Leonard MckenzieQuest Capital Strategies, Inc. otherNpb Financial Group, LLC otherOtherMay 14, 2010May 17, 2010
Nathan PetersLPL Financial LLC otherNpb Financial Group, LLC otherOtherApr 27, 2010Apr 20, 2010
Elizabeth Anne WindischWorld Equity Group, Inc. otherNpb Financial Group, LLC otherOtherJan 12, 2010Feb 9, 2010
Charles Harry CurtinHouseholder Group, Estate & Retirement Specialists unclassifiedNpb Financial Group, LLC otherOtherNov 18, 2009Jun 30, 2008
John Raymond PearsonAssociated Securities Corp. unclassifiedNpb Financial Group, LLC otherOtherAug 25, 2009Aug 24, 2009
Kevin Paul FarrellAssociated Securities Corp. unclassifiedNpb Financial Group, LLC otherOtherAug 21, 2009Aug 20, 2009
Timothy Thomas TracyAssociated Planners Investment Advisory Inc unclassifiedNpb Financial Group, LLC otherOtherAug 12, 2009Aug 10, 2009
Steven Thomas HadderAssociated Securities Corp. unclassifiedNpb Financial Group, LLC otherOtherAug 12, 2009Aug 10, 2009
Roger Joel CondeJ P Turner & Company Capital Management, LLC otherNpb Financial Group, LLC otherOtherApr 2, 2008Apr 1, 2008
Sandra Kay KingInvestment Centers Of America, Inc. otherNpb Financial Group, LLC otherOtherJan 22, 2008Jan 23, 2008
James Audy BrazielBraziel & Associates, LLC unclassifiedNpb Financial Group, LLC otherOtherDec 27, 2007Apr 24, 2006
Gary Lee EdkinsAssociated Planners Investment Advisory Inc unclassifiedNpb Financial Group, LLC otherOtherJun 14, 2007May 25, 2007
Richard Binkley Du VernetAssociated Planners Investment Advisory Inc unclassifiedNpb Financial Group, LLC otherOtherJun 14, 2007May 25, 2007
Douglas Gene MccowenAssociated Securities Corp. unclassifiedNpb Financial Group, LLC otherOtherMay 31, 2007May 25, 2007
Shirley Jamil CoriaAssociated Planners Investment Advisory Inc unclassifiedNpb Financial Group, LLC otherOtherJul 13, 2005Jan 30, 2006 (201 d)
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34 moves match.