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 Sgl Financial, 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
Kaleb GandyHantz Financial Services, Inc. independent RIASgl Financial, LLC independent RIARIA to RIAMar 11, 2026Jun 5, 2026 (86 d)
Rahul Prakash ShirahattiCoyle independent RIASgl Financial, LLC independent RIARIA to RIAJun 6, 2025Jun 11, 2025
Dominic Daniel DemiccoMML Investors Services, LLC BD affiliatedSgl Financial, LLC independent RIAAffiliated broker-dealer or bank to independent RIAFeb 18, 2025Feb 18, 2025
Ryan Michael FiliaggiIp Financial Advisory Services LLC BD affiliatedSgl Financial, LLC independent RIAAffiliated broker-dealer or bank to independent RIAJan 30, 2025Apr 18, 2024
Bryan Tyrell StigerBetterment independent RIASgl Financial, LLC independent RIARIA to RIAMar 27, 2024Apr 17, 2024
Joseph M McgrawCharles Schwab & Co., Inc. national BDSgl Financial, LLC independent RIAAffiliated broker-dealer or bank to independent RIAJun 26, 2023Oct 29, 2024 (491 d)
Shane Mark ScottOxley Capital Management, LLC state registeredSgl Financial, LLC independent RIAOtherMay 1, 2023May 31, 2023
Robert Joel EisenbergNorthwestern Mutual Investment Services,LLC no RAUMSgl Financial, LLC independent RIAOtherJul 20, 2022Aug 12, 2022
Melvin LubelskiFifth Third Securities, Inc. BD affiliatedSgl Financial, LLC independent RIAAffiliated broker-dealer or bank to independent RIASep 7, 2021Jun 13, 2022 (279 d)
Paul David AmbrosiniAmeriprise Financial Services, LLC national BDSgl Financial, LLC otherOtherJan 5, 2018Jan 16, 2018
Tami J. SimpsonWealth Financial Group West, Inc. unclassifiedSgl Financial, LLC otherOtherDec 31, 2017Apr 10, 2013
Richard Robert DwyerWorld Equity Group, Inc. otherSgl Financial, LLC otherOtherMay 2, 2017May 12, 2016
William Paul BoscowPacer Advisors, Inc. otherSgl Financial, LLC otherOtherOct 4, 2016Mar 23, 2017 (170 d)
Kevin Patrick SmithCreative Financial Designs, Inc. otherSgl Financial, LLC independent RIAOtherAug 31, 2016Aug 21, 2018 (720 d)
Kimberly Sue StrosniderProsperity Capital Advisors otherSgl Financial, LLC otherOtherMay 2, 2016Dec 18, 2015
James Andrew BarnashEdelman Financial Services, LLC otherSgl Financial, LLC otherOtherDec 17, 2015Mar 1, 2016 (75 d)
Peter James ConwayGlobal Financial Private Capital, Inc. otherSgl Financial, LLC otherOtherSep 17, 2014Aug 13, 2014
Martin D. WeissNew England Securities Corporation otherSgl Financial, LLC otherOtherOct 7, 2013Oct 3, 2013
Kevin B DivechaNestwise LLC otherSgl Financial, LLC otherOtherSep 27, 2013May 23, 2014 (238 d)
Robert Steven MessinaFa Advisor Network, LLC. otherSgl Financial, LLC otherOtherAug 23, 2013Jul 3, 2013
Jeffrey Keith StukeyFa Advisor Network, LLC. otherSgl Financial, LLC otherOtherApr 26, 2013May 6, 2013
Leonard Peter HayduchokDedicated Financial Services, LLC unclassifiedSgl Financial, LLC otherOtherDec 31, 2012Feb 11, 2013 (42 d)
Robert Duayne MooreAmerican Investment Services otherSgl Financial, LLC independent RIAOtherNov 9, 2012Sep 18, 2024 (4331 d)
Nicholas Robert SloaneSloane Wealth Management LLC unclassifiedSgl Financial, LLC otherOtherOct 31, 2012Oct 25, 2012
Gabriel David LewitIntegrity Alliance, LLC otherSgl Financial, LLC otherOtherJun 14, 2011Jun 21, 2011
Scott Christopher CampbellRedhawk Wealth Advisors, Inc. otherSgl Financial, LLC otherOtherApr 1, 2011Nov 6, 2012 (585 d)
Roger Jay CowenAmerican Investment Services otherSgl Financial, LLC otherOtherNov 1, 2010Oct 19, 2012 (718 d)
William Robert WinnAmeriprise Advisor Services, Inc. unclassifiedSgl Financial, LLC otherOtherAug 7, 2008May 20, 2016 (2843 d)
Mark Lawrence WalshUBS Financial Services Inc. wirehouseSgl Financial, LLC otherOtherApr 29, 2008Apr 7, 2014 (2169 d)
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29 moves match.