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 Founders Financial Alliance, 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
James Richard BateyValic Financial Advisors, Inc. BD affiliatedFounders Financial Alliance, LLC independent RIAAffiliated broker-dealer or bank to independent RIAMay 11, 2026Apr 30, 2026
Cole Stephen NolteEquitable Advisors, LLC national BDFounders Financial Alliance, LLC independent RIAAffiliated broker-dealer or bank to independent RIAMar 2, 2026Feb 24, 2026
Karen Lucinda DiamondWells Fargo Advisors wirehouseFounders Financial Alliance, LLC independent RIAWirehouse to independent RIAOct 23, 2024Oct 7, 2024
Hantz Don SerraoWells Fargo Advisors wirehouseFounders Financial Alliance, LLC independent RIAWirehouse to independent RIAOct 23, 2024Oct 7, 2024
James Michael MertensIndependent Advisor Alliance, LLC independent RIAFounders Financial Alliance, LLC independent RIARIA to RIAMar 15, 2024Mar 16, 2024
Kerry Carlton GoodmanIndependent Advisor Alliance, LLC independent RIAFounders Financial Alliance, LLC independent RIARIA to RIAMar 15, 2024Mar 15, 2024
Garrett Steven RailsbackIndependent Advisor Alliance, LLC independent RIAFounders Financial Alliance, LLC independent RIARIA to RIAMar 15, 2024Mar 15, 2024
Bruce Noel TrushelWells Fargo Advisors wirehouseFounders Financial Alliance, LLC independent RIAWirehouse to independent RIAJan 18, 2022Jan 14, 2022
Joshua Blair SchmalzWesbanco Securities, Inc. BD affiliatedFounders Financial Alliance, LLC independent RIAAffiliated broker-dealer or bank to independent RIAMay 11, 2021Apr 26, 2021
Nicholas E LivecchiMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseFounders Financial Alliance, LLC independent RIAWirehouse to independent RIAFeb 19, 2021Feb 19, 2021
Gregory Robert MitroRaymond James & Associates, Inc. national BDFounders Financial Alliance, LLC independent RIAAffiliated broker-dealer or bank to independent RIAFeb 8, 2021Jan 5, 2026 (1792 d)
Paul Anthony BarnetteWells Fargo Advisors wirehouseFounders Financial Alliance, LLC independent RIAWirehouse to independent RIAAug 26, 2020Aug 25, 2020
Ronald James PerryUBS Financial Services Inc. wirehouseFounders Financial Alliance, LLC independent RIAWirehouse to independent RIAJul 6, 2020Jul 6, 2020
John P. BilliterUBS Financial Services Inc. wirehouseFounders Financial Alliance, LLC independent RIAWirehouse to independent RIAJun 19, 2020Jun 19, 2020
Brian T NelanMorgan Stanley wirehouseFounders Financial Alliance, LLC independent RIAWirehouse to independent RIANov 8, 2018Nov 8, 2018
Brad Kevin PinterTruist Advisory Services, Inc. BD affiliatedFounders Financial Alliance, LLC independent RIAAffiliated broker-dealer or bank to independent RIAJul 24, 2018Jul 15, 2020 (722 d)
John Robert LawsonWells Fargo Advisors wirehouseFounders Financial Alliance, LLC independent RIAWirehouse to independent RIAMay 30, 2018Jun 24, 2018
Ralph Joseph AielloWealthplan Partners otherFounders Financial Alliance, LLC otherOtherMar 28, 2017Mar 31, 2017
Terrence Lyman DonoghueInvest Financial Corporation otherFounders Financial Alliance, LLC otherOtherOct 6, 2016Oct 5, 2016
Jeffrey Michael TalleyUwharrie Investment Advisors, Inc. otherFounders Financial Alliance, LLC otherOtherJul 29, 2016Jul 29, 2016
Mark MccormickMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseFounders Financial Alliance, LLC otherOtherJun 23, 2016Jan 25, 2018 (581 d)
Steven Richard ColfordAdvice And Planning Services otherFounders Financial Alliance, LLC otherOtherMay 11, 2016Jul 1, 2016 (51 d)
Dustin Joseph DefrancoJ.P. Morgan Securities LLC wirehouseFounders Financial Alliance, LLC otherOtherApr 20, 2016Apr 8, 2016
Don Michael RudolphInvest Financial Corporation otherFounders Financial Alliance, LLC otherOtherMar 2, 2016Mar 3, 2016
Kerry Carlton GoodmanInvest Financial Corporation otherFounders Financial Alliance, LLC otherOtherMar 1, 2016Mar 1, 2016
Trina Love ColtrainInvest Financial Corporation otherFounders Financial Alliance, LLC otherOtherMar 1, 2016Jul 14, 2016 (135 d)
Callen Wayne BryanCetera Advisor Networks LLC otherFounders Financial Alliance, LLC otherOtherDec 15, 2015Dec 21, 2015
Ernest CeccatoWells Fargo Advisors wirehouseFounders Financial Alliance, LLC otherOtherSep 29, 2015Sep 25, 2015
Tommy Wayne PorterSuntrust Investment Services, Inc. otherFounders Financial Alliance, LLC otherOtherAug 22, 2014Oct 3, 2014 (42 d)
James Allen SloopSuntrust Investment Services, Inc. otherFounders Financial Alliance, LLC otherOtherAug 21, 2014May 21, 2015 (273 d)
Marci Piddington HansenWells Fargo Investments, LLC unclassifiedFounders Financial Alliance, LLC otherOtherJun 12, 2007Mar 1, 2018 (3915 d)
Susan C PokwatkaCetera Advisor Networks LLC otherFounders Financial Alliance, LLC otherOtherNov 30, 2006Apr 10, 2017 (3784 d)
Wendy Susan CainMorgan Stanley Dw Inc. unclassifiedFounders Financial Alliance, LLC independent RIAOtherAug 29, 2005Jan 30, 2020 (5267 d)
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33 moves match.