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 Lockton Investment Advisors, 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
Colby Lee CarpenterEdward Jones national BDLockton Investment Advisors, LLC institutionalOtherNov 8, 2021Nov 18, 2021
Ashli Brook SmithIra Group, Inc. institutionalLockton Investment Advisors, LLC institutionalOtherOct 27, 2021Oct 5, 2021
Joseph James MasciopintoKestra Advisory Services, LLC BD affiliatedLockton Investment Advisors, LLC institutionalOtherAug 2, 2021Aug 11, 2021
Daniel Patrick FoleyInnovative Investment Fiduciaries, LLC no RAUMLockton Investment Advisors, LLC institutionalOtherJun 1, 2021Jul 1, 2021
Matthew Steven FlemingNationwide Investment Advisors, LLC BD affiliatedLockton Investment Advisors, LLC institutionalOtherMar 17, 2021Apr 6, 2021
Jason KennedyFinancial Advocates Investment Management independent RIALockton Investment Advisors, LLC institutionalOtherFeb 4, 2021Mar 5, 2021
Michael Robert MonahanLPL Financial LLC BD affiliatedLockton Investment Advisors, LLC institutionalOtherJul 16, 2020Jul 23, 2020
Paola Andrea SantosStancorp Investment Advisers, Inc. otherLockton Investment Advisors, LLC institutionalOtherApr 10, 2020Dec 6, 2021 (605 d)
Grant Richard EllisForum Six Financial unclassifiedLockton Investment Advisors, LLC institutionalOtherMar 30, 2020Apr 22, 2020
Jessica Ann OdorisioHub Investment Advisors, Inc otherLockton Investment Advisors, LLC institutionalOtherJan 23, 2020Jan 23, 2020
Cale Edward HillCopper Financial independent RIALockton Investment Advisors, LLC institutionalOtherOct 28, 2019Nov 16, 2020 (385 d)
Meredith Ruth MooreKestra Advisory Services, LLC BD affiliatedLockton Investment Advisors, LLC institutionalOtherOct 18, 2019Nov 11, 2019
David Thomas HoobanKestra Advisory Services, LLC BD affiliatedLockton Investment Advisors, LLC institutionalOtherAug 28, 2019Sep 26, 2019
Valerie BakerEmpower Advisory Group, LLC institutionalLockton Investment Advisors, LLC institutionalOtherApr 24, 2019Oct 1, 2019 (160 d)
Ryan Michael FuchsIfrah Financial Services, Inc. independent RIALockton Investment Advisors, LLC institutionalOtherApr 2, 2019Apr 15, 2019
Sally Marie JohnsonWealthplan Advisors, LLC otherLockton Investment Advisors, LLC institutionalOtherJan 23, 2019Sep 7, 2018
Anna Patricia DuarteWealthplan Advisors, LLC otherLockton Investment Advisors, LLC institutionalOtherJan 23, 2019Sep 7, 2018
Dustin Lynn PalmerPrevail Innovative Wealth Advisors, LLC independent RIALockton Investment Advisors, LLC institutionalOtherDec 24, 2018Jan 24, 2019 (31 d)
Matthew Jeffrey ArnoultRetirement And Wealth At Alliant, LLC institutionalLockton Investment Advisors, LLC institutionalOtherOct 29, 2018Nov 15, 2018
Nathan WatsonEquitable Advisors, LLC national BDLockton Investment Advisors, LLC institutionalOtherJul 19, 2018Sep 7, 2021 (1146 d)
Mckenzie Lee JohnsonKestra Advisory Services, LLC BD affiliatedLockton Investment Advisors, LLC institutionalOtherApr 12, 2018Apr 26, 2018
Jason Michael SmithCreative Planning Institutional Advisors, LLC otherLockton Investment Advisors, LLC no RAUMOtherFeb 8, 2018Feb 16, 2018
Kelly GrzybNationwide Investment Advisors, LLC otherLockton Investment Advisors, LLC no RAUMOtherJan 19, 2018Jan 22, 2018
Christian Wayne ThomasUsi Advisors otherLockton Investment Advisors, LLC no RAUMOtherDec 12, 2017Jan 8, 2018
Melissa Lee LaceyPentegra Investors, Inc. otherLockton Investment Advisors, LLC no RAUMOtherNov 30, 2017Dec 12, 2017
Hubert Paul KingsleyMmc Securities LLC no RAUMLockton Investment Advisors, LLC no RAUMOtherSep 8, 2017Dec 18, 2017 (101 d)
Kristie Lynn JacksonPrincipal Securities, Inc. otherLockton Investment Advisors, LLC no RAUMOtherAug 7, 2017Aug 10, 2017
Kathleen Ruth AicherM Holdings Securities, Inc. otherLockton Investment Advisors, LLC no RAUMOtherJun 19, 2017Jul 11, 2017
Gary Michael StevensMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseLockton Investment Advisors, LLC no RAUMOtherApr 3, 2017Apr 19, 2017
Oscar VarelaPrincipal Securities, Inc. otherLockton Investment Advisors, LLC no RAUMOtherFeb 2, 2017Feb 3, 2017
Michael Ryan DuckettKestra Advisory Services, LLC otherLockton Investment Advisors, LLC no RAUMOtherDec 12, 2016Dec 21, 2016
Jessica Ruth SeifertOnedigital otherLockton Investment Advisors, LLC no RAUMOtherAug 2, 2016Aug 19, 2016
Jacqueline Simone O'HernOnedigital otherLockton Investment Advisors, LLC no RAUMOtherMay 24, 2016May 25, 2016
Amanda Hayda StaplesRobert W. Baird & Co. Incorporated otherLockton Investment Advisors, LLC no RAUMOtherFeb 9, 2016Mar 17, 2016 (37 d)
John Conrad HaysNationwide Investment Advisors, LLC otherLockton Investment Advisors, LLC no RAUMOtherJan 26, 2016Feb 10, 2016
Daniel Bradford BarryPrincipal Securities, Inc. otherLockton Investment Advisors, LLC no RAUMOtherJul 14, 2015Jul 13, 2015
Deana Angulo CalvelliLPL Financial LLC otherLockton Investment Advisors, LLC no RAUMOtherJul 9, 2015Jul 9, 2015
Angela OsborneEdward Jones national BDLockton Investment Advisors, LLC no RAUMOtherMar 18, 2015Mar 27, 2015
Michael Scott BenoitPrincipal Securities, Inc. otherLockton Investment Advisors, LLC no RAUMOtherJan 29, 2015Jan 28, 2015
Jason Bezanson MaplesNfp Advisor Services, LLC otherLockton Investment Advisors, LLC no RAUMOtherSep 15, 2014Sep 16, 2014
Melinda Marie MarburgerEquitable Advisors, LLC national BDLockton Investment Advisors, LLC no RAUMOtherApr 1, 2014Apr 9, 2014
William Arthur CrockerLPL Financial LLC otherLockton Investment Advisors, LLC no RAUMOtherNov 25, 2013Jan 23, 2014 (59 d)
Jueryll Normand B BuanMmc Securities LLC no RAUMLockton Investment Advisors, LLC no RAUMOtherOct 4, 2013Oct 22, 2013
Jennifer Kate MartinJ.P. Morgan Securities LLC wirehouseLockton Investment Advisors, LLC institutionalOtherOct 1, 2013Feb 26, 2019 (1974 d)
Julie Hilliard WilsonMmc Securities LLC no RAUMLockton Investment Advisors, LLC no RAUMOtherOct 25, 2012Jan 30, 2018 (1923 d)
Thomas Paul SimonsonMmc Securities LLC no RAUMLockton Investment Advisors, LLC no RAUMOtherAug 10, 2012Aug 20, 2012
James Lewis BattmerLPL Financial LLC otherLockton Investment Advisors, LLC institutionalOtherFeb 10, 2012Apr 7, 2021 (3344 d)
Andrew Eben LollbackLPL Financial LLC otherLockton Investment Advisors, LLC no RAUMOtherFeb 7, 2012Feb 13, 2017 (1833 d)
Shelly Ann HorwitzPrincipal Securities, Inc. otherLockton Investment Advisors, LLC no RAUMOtherJul 23, 2010Aug 25, 2010 (33 d)
Michael Christopher PattonCetera Advisors LLC otherLockton Investment Advisors, LLC no RAUMOtherSep 30, 2009Oct 19, 2009
Carly Frances Prentice BellBlue Prairie Group,LLC otherLockton Investment Advisors, LLC no RAUMOtherAug 17, 2009May 28, 2009
Scott Henry AndricksStrategic Advisers LLC national BDLockton Investment Advisors, LLC no RAUMAffiliated broker-dealer or bank to a newly registered adviserMar 2, 2009Mar 5, 2012 (1099 d)
Troy Laton RedstoneLawing Financial Inc otherLockton Investment Advisors, LLC no RAUMOtherMar 2, 2009May 20, 2009 (79 d)
Lucas M BartonCitigroup Global Markets Inc. otherLockton Investment Advisors, LLC no RAUMOtherOct 2, 2008Oct 30, 2008
Richard David UnserSagepoint Financial, Inc. otherLockton Investment Advisors, LLC no RAUMOtherJul 2, 2008Nov 8, 2007
David Russell LambNew York Life Investment Management LLC otherLockton Investment Advisors, LLC no RAUMOtherApr 15, 2008May 28, 2008 (43 d)
Julie Dennis BabcockPrincipal Securities, Inc. otherLockton Investment Advisors, LLC no RAUMOtherOct 16, 2007Dec 7, 2007 (52 d)
Stephanie Ann StanoSagepoint Financial, Inc. otherLockton Investment Advisors, LLC no RAUMOtherAug 1, 2007Jul 27, 2007
Courtney Danielle StroopeSagepoint Financial, Inc. otherLockton Investment Advisors, LLC no RAUMOtherAug 1, 2007Jul 27, 2007
Thomas Albert ClarkSagepoint Financial, Inc. otherLockton Investment Advisors, LLC no RAUMOtherJul 31, 2007Aug 17, 2007
Page 1 of 2Next
63 moves match.