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 Tcfg Investment Advisors, 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
Daniel Charles HauschildMariner BD affiliatedTcfg Investment Advisors, LLC independent RIAAffiliated broker-dealer or bank to independent RIAFeb 27, 2026Mar 11, 2026
Howard Michael WolfsonGold Coast Securities, Inc. otherTcfg Investment Advisors, LLC independent RIAOtherDec 31, 2025Feb 11, 2026 (42 d)
Burton Blayne BrownCompound Planning, Inc. independent RIATcfg Investment Advisors, LLC independent RIARIA to RIAJan 8, 2025Jan 3, 2025
Steven Andrew KingEdward Jones national BDTcfg Investment Advisors, LLC independent RIAAffiliated broker-dealer or bank to independent RIAApr 19, 2024May 6, 2024
Peter Joseph GlowackiRBC Capital Markets, LLC national BDTcfg Investment Advisors, LLC independent RIAAffiliated broker-dealer or bank to independent RIAMar 22, 2023May 8, 2023 (47 d)
Carl Lance HuntleyThornhill Securities, Inc. otherTcfg Investment Advisors, LLC independent RIAOtherAug 4, 2022Jul 18, 2024 (714 d)
Timothy Dj RocheJ.P. Morgan Securities LLC wirehouseTcfg Investment Advisors, LLC independent RIAWirehouse to independent RIAJan 21, 2022Feb 17, 2022
Michael John HerleviEdward Jones national BDTcfg Investment Advisors, LLC independent RIAAffiliated broker-dealer or bank to independent RIANov 9, 2021Dec 9, 2021
Matthew Carl SeemPruco Securities, LLC BD affiliatedTcfg Investment Advisors, LLC independent RIAAffiliated broker-dealer or bank to independent RIAJul 7, 2021Feb 11, 2026 (1680 d)
Benny EllerbeU.S. Bancorp Investments, Inc. BD affiliatedTcfg Investment Advisors, LLC independent RIAAffiliated broker-dealer or bank to independent RIAMar 16, 2021Mar 11, 2021
David Andrew BaldwinEdward Jones national BDTcfg Investment Advisors, LLC independent RIAAffiliated broker-dealer or bank to independent RIAJan 4, 2021Jan 5, 2021
Steven Erik JakschComposition Wealth, LLC independent RIATcfg Investment Advisors, LLC independent RIARIA to RIAOct 13, 2020Dec 3, 2020 (51 d)
Don M DumasCreativeone Securities, LLC BD affiliatedTcfg Investment Advisors, LLC independent RIAAffiliated broker-dealer or bank to independent RIAJun 5, 2020Jun 8, 2020
Neil Sampat GavandeMorgan Stanley wirehouseTcfg Investment Advisors, LLC independent RIAWirehouse to independent RIAMay 14, 2020Jul 27, 2020 (74 d)
Russell A AndrewsFirst Financial Equity Corporation BD affiliatedTcfg Investment Advisors, LLC independent RIAAffiliated broker-dealer or bank to independent RIAJan 3, 2020Jan 3, 2020
Eric NicholsMorgan Stanley wirehouseTcfg Investment Advisors, LLC independent RIAWirehouse to independent RIAMar 13, 2019Aug 10, 2020 (516 d)
Daniel NovakCharles Schwab & Co., Inc. national BDTcfg Investment Advisors, LLC independent RIAAffiliated broker-dealer or bank to independent RIAMar 5, 2019Mar 11, 2019
Henry Martinez PenaCharles Schwab & Co., Inc. national BDTcfg Investment Advisors, LLC independent RIAAffiliated broker-dealer or bank to independent RIAFeb 13, 2019Jan 8, 2026 (2521 d)
Timothy D. SoulesEdward Jones national BDTcfg Investment Advisors, LLC independent RIAAffiliated broker-dealer or bank to independent RIANov 16, 2018Jan 22, 2019 (67 d)
Eric John ZebrauskasSummit Financial Group Inc BD affiliatedTcfg Investment Advisors, LLC independent RIAAffiliated broker-dealer or bank to independent RIAOct 16, 2018Oct 10, 2018
Willy Ong TanWestern International Securities independent RIATcfg Investment Advisors, LLC independent RIARIA to RIAAug 1, 2018Aug 1, 2018
Francesco Natale RuggeriSecurities America Advisors, Inc. BD affiliatedTcfg Investment Advisors, LLC independent RIAAffiliated broker-dealer or bank to independent RIAJul 16, 2018Jul 25, 2018
Paul Jeremiah TooheyThe Planners Network, Inc. otherTcfg Investment Advisors, LLC otherOtherDec 31, 2017Oct 6, 2017
Michael Edward HallaSii Investments, Inc. BD affiliatedTcfg Investment Advisors, LLC independent RIAAffiliated broker-dealer or bank to independent RIADec 18, 2017Dec 5, 2018 (352 d)
William George KnappNational Planning Corporation ("Npc Of America" In Fl & Ny) otherTcfg Investment Advisors, LLC otherOtherNov 10, 2017Nov 7, 2017
Robert Lee MilanNational Planning Corporation ("Npc Of America" In Fl & Ny) otherTcfg Investment Advisors, LLC otherOtherNov 9, 2017Dec 22, 2017 (43 d)
Remick Landon HamInvestment Centers Of America, Inc. otherTcfg Investment Advisors, LLC otherOtherSep 28, 2017Sep 28, 2017
Christopher J KilrainHornor, Townsend & Kent, LLC otherTcfg Investment Advisors, LLC otherOtherSep 15, 2017Sep 6, 2017
Carl Lance HuntleyHonest Dollar otherTcfg Investment Advisors, LLC independent RIAOtherJun 12, 2017May 24, 2018 (346 d)
Erin Murray WilliamsBalboa Wealth Partners, Inc. otherTcfg Investment Advisors, LLC otherOtherApr 28, 2017Apr 26, 2017
Randall Scott KarlPlatinum Wealth Partners otherTcfg Investment Advisors, LLC otherOtherMar 27, 2017Mar 17, 2017
Larry David ZuckermanNational Planning Corporation ("Npc Of America" In Fl & Ny) otherTcfg Investment Advisors, LLC otherOtherJan 13, 2017Jan 17, 2017
William Noble JenkinsSecurities America Advisors, Inc. otherTcfg Investment Advisors, LLC otherOtherDec 19, 2016Jan 3, 2017
Terry Donald DeeverColorado Financial Service Corporation otherTcfg Investment Advisors, LLC otherOtherJun 20, 2016Jun 20, 2016
Gregory Reed GilesCrown Capital Securities, L.P. otherTcfg Investment Advisors, LLC independent RIAOtherApr 25, 2016Jan 2, 2020 (1347 d)
Carol Jeanette PipitoneCalton & Associates, Inc. otherTcfg Investment Advisors, LLC otherOtherFeb 27, 2015Mar 5, 2015
Giovanni TodescoCalton & Associates, Inc. otherTcfg Investment Advisors, LLC otherOtherFeb 26, 2015Oct 9, 2015 (225 d)
Ethan G MatkinCalton & Associates, Inc. otherTcfg Investment Advisors, LLC otherOtherFeb 26, 2015Mar 11, 2015
Randall Joseph MontoyaThe Planners Network, Inc. otherTcfg Investment Advisors, LLC otherOtherDec 13, 2013Feb 12, 2014 (61 d)
Thomas John WolfThe Planners Network, Inc. otherTcfg Investment Advisors, LLC no RAUMOtherOct 30, 2013Nov 1, 2013
Jon Alan KerbyThe Planners Network, Inc. otherTcfg Investment Advisors, LLC otherOtherAug 22, 2013Jan 9, 2014 (140 d)
Martin Charles JohnsonCrossroads Capital Management, Inc. unclassifiedTcfg Investment Advisors, LLC no RAUMOtherJan 9, 2013Jun 27, 2013 (169 d)
Sharon Lee HerbstWealth Asset Managers otherTcfg Investment Advisors, LLC otherOtherJun 28, 2002Mar 5, 2018 (5729 d)
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43 moves match.