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 Lucia Capital Group

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
Marisa FordSprott Asset Management USA Inc. independent RIALucia Capital Group independent RIARIA to RIAJul 9, 2019Jul 10, 2019
Michele L HerzbergUnited Planners' Financial Services Of America A Limited Partner otherLucia Capital Group otherOtherJun 1, 2016Dec 1, 2016 (183 d)
Ryan Atticus LoweWest Coast Asset Management,Inc. otherLucia Capital Group otherOtherJun 30, 2015Oct 24, 2014
Christopher Anthony PanagiotuMorgan Stanley wirehouseLucia Capital Group otherOtherApr 20, 2015May 11, 2015
Tiy Lynn OnealFirst Allied Advisory Services, Inc. otherLucia Capital Group otherOtherJan 12, 2015Mar 18, 2015 (65 d)
Jonathan Cabigas FerrerJ. W. Cole Advisors, Inc. otherLucia Capital Group otherOtherJun 24, 2014Jun 23, 2014
Scot Samuel FairchildSuccess Financial Advisors, LLC unclassifiedLucia Capital Group otherOtherMar 20, 2013Aug 28, 2012
Viktoria Irena PalermoFirst Allied Advisory Services, Inc. otherLucia Capital Group otherOtherJan 2, 2013May 27, 2014 (510 d)
Mitchell Steven AvnetOsaic Fs, Inc. otherLucia Capital Group otherOtherDec 31, 2012Nov 21, 2013 (325 d)
Kyle Gregory UtheStrategic Advisers LLC national BDLucia Capital Group otherOtherDec 21, 2012May 17, 2013 (147 d)
Angel P NguyenStrategic Advisers LLC national BDLucia Capital Group otherOtherJun 5, 2012Jul 23, 2012 (48 d)
Andrew TomlinsonWaddell & Reed otherLucia Capital Group otherOtherMar 30, 2012Mar 26, 2012
Jenica Maureen BertalanEdward Jones national BDLucia Capital Group otherOtherFeb 2, 2012Jun 18, 2012 (137 d)
Brent Lee HoneaBernzott Capital Advisors otherLucia Capital Group otherOtherDec 16, 2011Jun 12, 2012 (179 d)
Theresa Jean OchsRaymond J. Lucia Companies, Inc. unclassifiedLucia Capital Group otherOtherDec 15, 2011Apr 14, 2010
Jodie L HallNorthland Asset Management otherLucia Capital Group otherOtherSep 12, 2011Oct 20, 2011 (38 d)
Brenda Jo KnudsenRBC Capital Markets, LLC national BDLucia Capital Group otherOtherApr 1, 2011Feb 8, 2012 (313 d)
Tracy Lynn MarlinG.W. Sherwold Associates, Inc. otherLucia Capital Group otherOtherFeb 28, 2011Jan 15, 2013 (687 d)
Nicholas KolitsidasRaymond J. Lucia Companies, Inc. unclassifiedLucia Capital Group otherOtherNov 11, 2010Apr 13, 2010
Catherine Ann FordRaymond J. Lucia Companies, Inc. unclassifiedLucia Capital Group otherOtherNov 11, 2010Apr 20, 2010
John ProkosRaymond J. Lucia Companies, Inc. unclassifiedLucia Capital Group otherOtherNov 10, 2010Apr 9, 2010
Mark RonsiniRaymond J. Lucia Companies, Inc. unclassifiedLucia Capital Group otherOtherNov 10, 2010Apr 9, 2010
John Joseph ParrilloRaymond J. Lucia Companies, Inc. unclassifiedLucia Capital Group otherOtherNov 10, 2010Apr 15, 2010
Anthony Franklin ArteroRaymond J. Lucia Companies, Inc. unclassifiedLucia Capital Group otherOtherNov 10, 2010Apr 15, 2010
Matthew Michael HansenRaymond J. Lucia Companies, Inc. unclassifiedLucia Capital Group otherOtherNov 10, 2010Apr 9, 2010
John J EllisRaymond J. Lucia Companies, Inc. unclassifiedLucia Capital Group otherOtherNov 10, 2010Apr 15, 2010
Sondra ForknerRaymond J. Lucia Companies, Inc. unclassifiedLucia Capital Group otherOtherOct 21, 2010Apr 26, 2010
Preston W SchumacherRaymond J. Lucia Companies, Inc. unclassifiedLucia Capital Group otherOtherOct 21, 2010Apr 14, 2010
Joseph Alan KoehlerRaymond J. Lucia Companies, Inc. unclassifiedLucia Capital Group otherOtherOct 21, 2010Apr 13, 2010
Christopher Allen LloydRaymond J. Lucia Companies, Inc. unclassifiedLucia Capital Group otherOtherOct 20, 2010Apr 23, 2010
Robert Andrew BradfordRaymond J. Lucia Companies, Inc. unclassifiedLucia Capital Group otherOtherOct 20, 2010Apr 9, 2010
Joseph Paul LuciaRaymond J. Lucia Companies, Inc. unclassifiedLucia Capital Group otherOtherOct 20, 2010Apr 9, 2010
Daniel Allen DoughtyRaymond J. Lucia Companies, Inc. unclassifiedLucia Capital Group otherOtherOct 20, 2010Apr 9, 2010
Timothy John SheaRaymond J. Lucia Companies, Inc. unclassifiedLucia Capital Group otherOtherOct 19, 2010Apr 9, 2010
Rodd Robert MillerRaymond J. Lucia Companies, Inc. unclassifiedLucia Capital Group otherOtherOct 19, 2010Apr 13, 2010
Jonathan Paul SavonaRaymond J. Lucia Companies, Inc. unclassifiedLucia Capital Group otherOtherOct 19, 2010Apr 14, 2010
Jesse StarrRaymond J. Lucia Companies, Inc. unclassifiedLucia Capital Group otherOtherOct 19, 2010Apr 13, 2010
Craig Robert NettRaymond J. Lucia Companies, Inc. unclassifiedLucia Capital Group otherOtherAug 5, 2010Apr 19, 2010
Amber Lavon Reed ChristopherRaymond J. Lucia Companies, Inc. unclassifiedLucia Capital Group otherOtherAug 5, 2010Apr 12, 2010
Robert Owen RadfordRaymond J. Lucia Companies, Inc. unclassifiedLucia Capital Group otherOtherJul 16, 2010Apr 15, 2010
Terrance William KeyesRaymond J. Lucia Companies, Inc. unclassifiedLucia Capital Group otherOtherJun 14, 2010Apr 27, 2010
David Michael CookRaymond J. Lucia Companies, Inc. unclassifiedLucia Capital Group otherOtherJun 14, 2010Apr 9, 2010
Nicole Marie EnglishRaymond J. Lucia Companies, Inc. unclassifiedLucia Capital Group otherOtherJun 14, 2010Apr 15, 2010
Nicole Karen ChoiRaymond J. Lucia Companies, Inc. unclassifiedLucia Capital Group otherOtherJun 14, 2010Apr 15, 2010
Brandon Mitchell HibdonRaymond J. Lucia Companies, Inc. unclassifiedLucia Capital Group otherOtherJun 14, 2010Apr 15, 2010
Sean Michael O'ConnorRaymond J. Lucia Companies, Inc. unclassifiedLucia Capital Group otherOtherJun 14, 2010Apr 15, 2010
Jeremy David GottliebSecurities America Advisors, Inc. otherLucia Capital Group otherOtherSep 27, 2007Apr 9, 2010 (925 d)
Janean Evon StripeRjl Financial Network, L.L.C. unclassifiedLucia Capital Group otherOtherJun 6, 2006Apr 14, 2010 (1408 d)
Richard Bruce PlumRjl Financial Network, L.L.C. unclassifiedLucia Capital Group otherOtherJun 6, 2006Apr 21, 2010 (1415 d)
Raymond Joseph LuciaRjl Financial Network, L.L.C. unclassifiedLucia Capital Group otherOtherFeb 22, 2006Apr 9, 2010 (1507 d)
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50 moves match.