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 Foresters Advisory Services, 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
Stephanie Leventis DiazLPL Financial LLC independent RIAForesters Advisory Services, LLC BD affiliatedRIA to affiliated broker-dealer or bankApr 23, 2019May 23, 2019
Dannie CoxFirst Command Advisory Services BD affiliatedForesters Advisory Services, LLC BD affiliatedAffiliated broker-dealer or bank to anotherMar 4, 2019May 15, 2019 (72 d)
Frances WorthingtonPark Avenue Securities LLC BD affiliatedForesters Advisory Services, LLC BD affiliatedAffiliated broker-dealer or bank to anotherJan 28, 2019Feb 4, 2019
Harvinder S SahniOneamerica Securities, Inc. BD affiliatedForesters Advisory Services, LLC BD affiliatedAffiliated broker-dealer or bank to anotherNov 6, 2018Feb 7, 2019 (93 d)
Sylvester ThomasSecurian Financial Services, Inc. BD affiliatedForesters Advisory Services, LLC BD affiliatedAffiliated broker-dealer or bank to anotherMay 25, 2018Jun 29, 2018 (35 d)
Sally DewittFisher Investments independent RIAForesters Advisory Services, LLC BD affiliatedRIA to affiliated broker-dealer or bankMay 3, 2018Feb 26, 2019 (299 d)
Scott SiripalakaThrivent Investment Management Inc. BD affiliatedForesters Advisory Services, LLC BD affiliatedAffiliated broker-dealer or bank to anotherMar 21, 2018Apr 11, 2018
Michael RoushPruco Securities, LLC otherForesters Advisory Services, LLC BD affiliatedOtherSep 14, 2017Jan 10, 2019 (483 d)
Lori W MeterMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseForesters Advisory Services, LLC otherOtherApr 20, 2017Aug 24, 2017 (126 d)
Fernando RiveraMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseForesters Advisory Services, LLC otherOtherMar 28, 2017Jan 23, 2018 (301 d)
Logan Daniel MurphyLPL Financial LLC otherForesters Advisory Services, LLC otherOtherDec 20, 2016Feb 3, 2017 (45 d)
Todd J LearyWaddell & Reed otherForesters Advisory Services, LLC otherOtherSep 12, 2016Oct 31, 2016 (49 d)
Gregory Scott StevensPgim Investments LLC otherForesters Advisory Services, LLC otherOtherMay 17, 2016Aug 12, 2016 (87 d)
Elliott CobbMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseForesters Advisory Services, LLC otherOtherMay 9, 2016Nov 15, 2016 (190 d)
Michael MurrayBlackrock Investment Management, LLC otherForesters Advisory Services, LLC otherOtherMar 2, 2016Jun 21, 2016 (111 d)
William Matthew FriederichsNational Planning Corporation ("Npc Of America" In Fl & Ny) otherForesters Advisory Services, LLC otherOtherFeb 19, 2016Mar 22, 2016 (32 d)
Christopher Ray LewisMML Investors Services, LLC otherForesters Advisory Services, LLC otherOtherJan 27, 2016Aug 19, 2016 (205 d)
Richard OlszewskiMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseForesters Advisory Services, LLC otherOtherNov 3, 2015Feb 3, 2016 (92 d)
Thomas Joseph GranaghanLord, Abbett & Co. LLC otherForesters Advisory Services, LLC otherOtherJan 5, 2015Feb 3, 2016 (394 d)
Jacob DalyJ.P. Morgan Securities LLC wirehouseForesters Advisory Services, LLC otherOtherJul 2, 2014Jul 22, 2014
Rafael Sosa MatosMorgan Stanley wirehouseForesters Advisory Services, LLC otherOtherApr 1, 2014Nov 14, 2017 (1323 d)
Jason Harris GerbEquinox Fund Management, LLC otherForesters Advisory Services, LLC otherOtherDec 12, 2013Dec 26, 2013
Paul David BrownEdward Jones national BDForesters Advisory Services, LLC otherOtherMar 25, 2013Apr 16, 2013
Carlos Manuel NoriegaPgim Investments LLC otherForesters Advisory Services, LLC no RAUMOtherJan 11, 2012Aug 24, 2012 (226 d)
George Dean KarrisFoxhall Capital Management, Inc. otherForesters Advisory Services, LLC no RAUMOtherMay 2, 2011Aug 13, 2012 (469 d)
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25 moves match.