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 Dfpg Investments, 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
Hyung Jin KimKlk Capital Management LLC mixed wealthDfpg Investments, LLC independent RIARIA to RIADec 31, 2023Aug 25, 2023
Leon Chang Soo KimKlk Capital Management LLC mixed wealthDfpg Investments, LLC independent RIARIA to RIADec 31, 2023Aug 25, 2023
Michael MccabeFox & Company Wealth Management unclassifiedDfpg Investments, LLC independent RIAOtherFeb 22, 2023Oct 12, 2023 (232 d)
Anthony Angelo CipollaEagle Strategies LLC BD affiliatedDfpg Investments, LLC independent RIAAffiliated broker-dealer or bank to independent RIAJan 13, 2023Jan 4, 2023
Noah Kamuela BeecherEagle Strategies LLC BD affiliatedDfpg Investments, LLC independent RIAAffiliated broker-dealer or bank to independent RIAJan 13, 2023Jan 3, 2023
Laura Elizabeth BalbackCwm Advisory, LLC independent RIADfpg Investments, LLC independent RIARIA to RIAJan 10, 2023Jan 12, 2023
Peter R BurnhamSurevest Private Wealth independent RIADfpg Investments, LLC independent RIARIA to RIADec 12, 2022Dec 12, 2022
Breanne Nicole PoloniaSurevest Private Wealth independent RIADfpg Investments, LLC independent RIARIA to RIADec 12, 2022Dec 1, 2022
Haddy Alexander HomampourSurevest Private Wealth independent RIADfpg Investments, LLC independent RIARIA to RIADec 12, 2022Nov 30, 2022
Moriah RanadeSurevest Private Wealth independent RIADfpg Investments, LLC independent RIARIA to RIADec 12, 2022Dec 5, 2022
Robin Leon AndersenTownsquare Capital, LLC mixed wealthDfpg Investments, LLC independent RIARIA to RIANov 9, 2022Oct 25, 2022
Charles Chadwick CampbellKestra Advisory Services, LLC BD affiliatedDfpg Investments, LLC independent RIAAffiliated broker-dealer or bank to independent RIAOct 21, 2022Oct 21, 2022
Eddie GhabourKestra Advisory Services, LLC BD affiliatedDfpg Investments, LLC independent RIAAffiliated broker-dealer or bank to independent RIAOct 21, 2022Oct 21, 2022
Michael Thomas RedmondKestra Advisory Services, LLC BD affiliatedDfpg Investments, LLC independent RIAAffiliated broker-dealer or bank to independent RIAOct 21, 2022Oct 21, 2022
Joseph Albert GhabourKestra Advisory Services, LLC BD affiliatedDfpg Investments, LLC independent RIAAffiliated broker-dealer or bank to independent RIAOct 21, 2022Oct 21, 2022
David J AliKestra Advisory Services, LLC BD affiliatedDfpg Investments, LLC independent RIAAffiliated broker-dealer or bank to independent RIAOct 21, 2022Oct 21, 2022
Adilene CalixtroFermata Advisors independent RIADfpg Investments, LLC independent RIARIA to RIAJul 13, 2022Mar 1, 2023 (231 d)
Christopher Layton ClaridgeTransamerica Financial Advisors, LLC BD affiliatedDfpg Investments, LLC independent RIAAffiliated broker-dealer or bank to independent RIAJun 15, 2022Jun 16, 2022
Layne Curtis JensenTransamerica Financial Advisors, LLC BD affiliatedDfpg Investments, LLC independent RIAAffiliated broker-dealer or bank to independent RIAJun 3, 2022Jun 1, 2022
Robert Anthony SaleTransamerica Financial Advisors, LLC BD affiliatedDfpg Investments, LLC independent RIAAffiliated broker-dealer or bank to independent RIAJun 1, 2022Jun 3, 2022
Tommy Call JensenTransamerica Financial Advisors, LLC BD affiliatedDfpg Investments, LLC independent RIAAffiliated broker-dealer or bank to independent RIAJun 1, 2022Jun 14, 2022
Eric Scott KofordBmo Asset Management Corp. otherDfpg Investments, LLC independent RIAOtherFeb 4, 2022Mar 9, 2022 (33 d)
Keith LarsenHornor, Townsend & Kent, LLC BD affiliatedDfpg Investments, LLC independent RIAAffiliated broker-dealer or bank to independent RIAOct 7, 2021Oct 5, 2021
Daniel Allan TeagueGradient Wealth Management BD affiliatedDfpg Investments, LLC independent RIAAffiliated broker-dealer or bank to independent RIAApr 5, 2021Apr 19, 2021
Jonathan Reid RowlandSpc BD affiliatedDfpg Investments, LLC BD affiliatedAffiliated broker-dealer or bank to anotherFeb 26, 2021Mar 11, 2021
Jerry Marlin ToombsArs Investment Advisors, Inc. independent RIADfpg Investments, LLC BD affiliatedRIA to affiliated broker-dealer or bankFeb 18, 2021Feb 18, 2021
Charles Elmer SorensenArs Investment Advisors, Inc. independent RIADfpg Investments, LLC BD affiliatedRIA to affiliated broker-dealer or bankFeb 18, 2021Feb 22, 2021
Timothy Michael MurphyArs Investment Advisors, Inc. independent RIADfpg Investments, LLC BD affiliatedRIA to affiliated broker-dealer or bankFeb 17, 2021Mar 10, 2021
Janice Marie PowellSecurities America Advisors, Inc. BD affiliatedDfpg Investments, LLC independent RIAAffiliated broker-dealer or bank to independent RIAJan 27, 2021Mar 7, 2023 (769 d)
John William HomerKms Financial Services, Inc BD affiliatedDfpg Investments, LLC BD affiliatedAffiliated broker-dealer or bank to anotherJun 30, 2020Jul 1, 2020
Dorian Michael GradyNationwide Investment Advisors, LLC BD affiliatedDfpg Investments, LLC independent RIAAffiliated broker-dealer or bank to independent RIAJun 26, 2019Jul 17, 2019
Marcus BlanchardFidelity Personal And Workplace Advisors BD affiliatedDfpg Investments, LLC independent RIAAffiliated broker-dealer or bank to independent RIAApr 25, 2019May 7, 2019
Daniel Gerald GomezHornor, Townsend & Kent, LLC BD affiliatedDfpg Investments, LLC independent RIAAffiliated broker-dealer or bank to independent RIAFeb 5, 2019Mar 4, 2019
Jason Lee McmurtryWestpark Capital, Inc. independent RIADfpg Investments, LLC independent RIARIA to RIANov 2, 2018Sep 17, 2018
James Anthony SerratelliQuestar Asset Management, Inc. BD affiliatedDfpg Investments, LLC independent RIAAffiliated broker-dealer or bank to independent RIAMay 4, 2018May 3, 2018
Joan DuquettePruco Securities, LLC BD affiliatedDfpg Investments, LLC independent RIAAffiliated broker-dealer or bank to independent RIAApr 26, 2018Apr 27, 2018
Naghmeh Melody MossayiAmerican Financial Network Advisory Services, LLC independent RIADfpg Investments, LLC independent RIARIA to RIAApr 13, 2018Jun 18, 2018 (66 d)
Paul Woodson AbeleUnited Planners' Financial Services Of America A Limited Partner otherDfpg Investments, LLC independent RIAOtherOct 25, 2017Nov 30, 2017 (36 d)
Jerry Leon GruberNational Planning Corporation ("Npc Of America" In Fl & Ny) otherDfpg Investments, LLC otherOtherJun 9, 2017Jun 28, 2017
Brent Alan ReedRegal Advisory Services, Inc. otherDfpg Investments, LLC otherOtherDec 31, 2016Jan 3, 2017
Bryan SonderbySagepoint Financial, Inc. otherDfpg Investments, LLC independent RIAOtherNov 29, 2016Oct 12, 2018 (682 d)
Susan Denise VargasonVsr Advisory Services otherDfpg Investments, LLC otherOtherOct 1, 2016Oct 27, 2016
Steven Lamar NielsenDiversify Wealth Management, Inc. unclassifiedDfpg Investments, LLC otherOtherDec 15, 2015Oct 15, 2015
Robert HolcombFirst Allied Advisory Services, Inc. otherDfpg Investments, LLC otherOtherJan 12, 2015Nov 1, 2016 (659 d)
Richard Douglas GannLPL Financial LLC otherDfpg Investments, LLC independent RIAOtherJan 4, 2007Jul 17, 2019 (4577 d)
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45 moves match.