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 Novem 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
Joseph George McphersonAmerican Portfolios Advisors, Inc BD affiliatedNovem Group independent RIAAffiliated broker-dealer or bank to independent RIAOct 11, 2024Sep 17, 2024
Paula Marie RogalaAmerican Portfolios Advisors, Inc BD affiliatedNovem Group independent RIAAffiliated broker-dealer or bank to independent RIAOct 11, 2024Oct 11, 2024
Robert Joseph BartolottaAmerican Portfolios Advisors, Inc BD affiliatedNovem Group independent RIAAffiliated broker-dealer or bank to independent RIAOct 11, 2024Oct 24, 2019
Kris Eric TowerAmerican Portfolios Advisors, Inc BD affiliatedNovem Group otherOtherOct 11, 2024Jan 15, 2015
Charles Gabriel HerendeenAmerican Portfolios Advisors, Inc BD affiliatedNovem Group otherOtherOct 11, 2024Feb 24, 2015
Ronald Jack TaylorAmerican Portfolios Advisors, Inc BD affiliatedNovem Group independent RIAAffiliated broker-dealer or bank to independent RIAOct 11, 2024Apr 26, 2022
Daniel Stephen DipaolaAmerican Portfolios Advisors, Inc BD affiliatedNovem Group otherOtherOct 11, 2024Oct 8, 2014
Adam C MorganAmerican Portfolios Advisors, Inc BD affiliatedNovem Group independent RIAAffiliated broker-dealer or bank to independent RIAOct 11, 2024Nov 14, 2018
Anthony L SimonettiAmerican Portfolios Advisors, Inc BD affiliatedNovem Group independent RIAAffiliated broker-dealer or bank to independent RIAOct 11, 2024Oct 22, 2021
Torrey James GiancursioAmerican Portfolios Advisors, Inc BD affiliatedNovem Group independent RIAAffiliated broker-dealer or bank to independent RIAOct 11, 2024Mar 3, 2022
Catherine Elizabeth GueliRBC Capital Markets, LLC national BDNovem Group independent RIAAffiliated broker-dealer or bank to independent RIAOct 10, 2024Sep 26, 2024
Alec John QuaidAmerican Portfolios Advisors, Inc BD affiliatedNovem Group independent RIAAffiliated broker-dealer or bank to independent RIANov 1, 2023Jul 28, 2020
Torry WhitcherBlackridge Asset Management, LLC BD affiliatedNovem Group independent RIAAffiliated broker-dealer or bank to independent RIAAug 17, 2022Aug 17, 2022
Kevin Glenn AlbrechtLPL Financial LLC independent RIANovem Group independent RIARIA to RIAMay 16, 2022May 13, 2022
Vincent James PalumbosAmerican Portfolios Advisors, Inc independent RIANovem Group independent RIARIA to RIADec 10, 2021Dec 8, 2020
Chad Ross AllenPruco Securities, LLC BD affiliatedNovem Group independent RIAAffiliated broker-dealer or bank to independent RIAOct 7, 2021Nov 10, 2021 (34 d)
Mark Peter GattiAmerican Portfolios Advisors, Inc independent RIANovem Group independent RIARIA to RIAMay 6, 2021Nov 25, 2020
Jeffrey Bernard AltieriRBC Capital Markets, LLC national BDNovem Group independent RIAAffiliated broker-dealer or bank to independent RIAMar 17, 2021Mar 29, 2021
Thomas Christopher FroehlichFroehlich Financial Group, Ltd. unclassifiedNovem Group independent RIAOtherNov 17, 2020Jul 27, 2020
Andrew Louis GentileTlg Advisors, Inc. BD affiliatedNovem Group independent RIAAffiliated broker-dealer or bank to independent RIAApr 4, 2019Oct 26, 2020 (571 d)
Bruce Todd LearSecurities America Advisors, Inc. BD affiliatedNovem Group independent RIAAffiliated broker-dealer or bank to independent RIAJan 7, 2019Jan 8, 2019
Stephen Thomas MitchellAmerican Portfolios Advisors, Inc independent RIANovem Group independent RIARIA to RIAAug 29, 2018Aug 29, 2018
Thomas K QueriAmerican Portfolios Advisors, Inc otherNovem Group otherOtherMay 15, 2017Mar 9, 2015
Robert C HayesCetera Advisors LLC otherNovem Group otherOtherJan 19, 2016Jan 25, 2016
Angelo Anthony CostanzaFsc Securities Corporation otherNovem Group otherOtherMay 20, 2015Nov 3, 2015 (167 d)
John William PoseyWealth Advisors Network, Inc. otherNovem Group otherOtherMay 18, 2015May 22, 2015
Shane Tyler WissmannRegal Investment Advisors LLC otherNovem Group otherOtherDec 31, 2014Jan 2, 2015
James William UgoneAmerican Portfolios Advisors, Inc otherNovem Group otherOtherNov 24, 2014Nov 10, 2014
Stephen Gerald RoehrigAmerican Portfolios Advisors, Inc otherNovem Group otherOtherSep 25, 2013May 20, 2013
Jeremy Thomas RacoHornor, Townsend & Kent, LLC otherNovem Group independent RIAOtherFeb 15, 2013Oct 26, 2020 (2810 d)
Patrick Daniel ManuelInvest Financial Corporation otherNovem Group independent RIAOtherOct 30, 2007Dec 10, 2019 (4424 d)
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31 moves match.