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 Sii Investments, Inc.

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
Thomas Bowen FrostAll Seasons Investment Advisors, Inc state registeredSii Investments, Inc. otherOtherDec 31, 2020Apr 14, 2008
Jimmy Ray TurnerFortune Financial Advisors, LLC independent RIASii Investments, Inc. otherOtherJun 14, 2018Feb 12, 2014
Donn L RutledgeInvestment Centers Of America, Inc. otherSii Investments, Inc. otherOtherMar 19, 2018Oct 21, 2013
Jonathan Byrne WestKestra Advisory Services, LLC otherSii Investments, Inc. otherOtherOct 30, 2017Oct 31, 2017
Angela Marie HallMorgan Stanley wirehouseSii Investments, Inc. otherOtherSep 25, 2017Sep 22, 2017
Robert G FillmorePark Avenue Securities LLC otherSii Investments, Inc. otherOtherSep 8, 2017Aug 1, 2017
Christopher Lowell NowackCreativeone Securities, LLC otherSii Investments, Inc. otherOtherAug 11, 2017Aug 15, 2017
Jodie B. LaneLPL Financial LLC otherSii Investments, Inc. otherOtherAug 8, 2017Jul 31, 2017
Steven Martin Van DomelenInvestment Centers Of America, Inc. otherSii Investments, Inc. otherOtherJul 10, 2017Apr 20, 2016
Thomas R BenderMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseSii Investments, Inc. otherOtherApr 18, 2017Jun 21, 2017 (64 d)
Gerald Paul GillespieMML Investors Services, LLC otherSii Investments, Inc. otherOtherMar 13, 2017Mar 10, 2017
Michael George MartinWoodbury Financial Services, Inc. otherSii Investments, Inc. otherOtherJan 13, 2017Jan 9, 2017
Rena Lynn NoeStrategiq Financial Group, LLC otherSii Investments, Inc. otherOtherJan 9, 2017Feb 13, 2017 (35 d)
Nadine TarabishiEagle Strategies LLC otherSii Investments, Inc. otherOtherNov 29, 2016Nov 29, 2016
William Jonathan AndrewMorgan Stanley wirehouseSii Investments, Inc. otherOtherOct 19, 2016Oct 3, 2016
Danny Lee HansonAdmiral Asset Management, LLC unclassifiedSii Investments, Inc. otherOtherSep 26, 2016Jun 1, 2016
Amy Ellen ZellnerAdmiral Asset Management, LLC unclassifiedSii Investments, Inc. otherOtherSep 26, 2016Jun 3, 2016
Emiliano AlonsoSagepoint Financial, Inc. otherSii Investments, Inc. otherOtherAug 22, 2016Aug 11, 2016
Michael Pruett RudolfPackerland Brokerage Services, Inc. otherSii Investments, Inc. otherOtherAug 16, 2016Aug 1, 2016
Erik Eldor BrennPackerland Brokerage Services, Inc. otherSii Investments, Inc. otherOtherAug 16, 2016Aug 3, 2016
Fred Christian SchellerSagepoint Financial, Inc. otherSii Investments, Inc. otherOtherAug 15, 2016Aug 5, 2016
Eric Dale HallSagepoint Financial, Inc. otherSii Investments, Inc. otherOtherAug 8, 2016Aug 1, 2016
Emerson Joseph FerschIndependent Financial Group, LLC otherSii Investments, Inc. otherOtherAug 1, 2016Aug 1, 2016
Michael Emil ChiodiniMsi Financial Services, Inc. otherSii Investments, Inc. otherOtherJul 8, 2016Jul 7, 2016
Brian HartlLPL Financial LLC otherSii Investments, Inc. otherOtherJun 15, 2016Jun 1, 2016
Alison Ann WalkerLPL Financial LLC otherSii Investments, Inc. otherOtherJun 15, 2016Jun 1, 2016
Darrick Edward MunschLPL Financial LLC otherSii Investments, Inc. otherOtherJun 15, 2016Jun 1, 2016
Dennis R DercksFsc Securities Corporation otherSii Investments, Inc. otherOtherJun 9, 2016Jun 6, 2016
Ryan Christopher EngelsFsc Securities Corporation otherSii Investments, Inc. otherOtherJun 9, 2016Jun 6, 2016
Steven James LautenschlagerFsc Securities Corporation otherSii Investments, Inc. otherOtherJun 9, 2016Jun 6, 2016
Phillip Lee BellTed Buchan & Company otherSii Investments, Inc. otherOtherMay 17, 2016May 16, 2016
Daniel James WiersmaCommonwealth Financial Network national BDSii Investments, Inc. otherOtherMay 11, 2016May 9, 2016
Guy Alexander CrooksLPL Financial LLC otherSii Investments, Inc. otherOtherApr 29, 2016Apr 18, 2016
Amy Lundy CrooksLPL Financial LLC otherSii Investments, Inc. otherOtherApr 29, 2016Apr 18, 2016
Gerald Jay LamalfaInsight Private Advisors, LLC otherSii Investments, Inc. otherOtherMar 15, 2016Mar 1, 2016
Matthew Robert ZarterMML Investors Services, LLC otherSii Investments, Inc. otherOtherFeb 24, 2016Feb 19, 2016
John AriolaExodus Wealth, LLC otherSii Investments, Inc. otherOtherFeb 5, 2016Jan 15, 2016
Joshua Timothy OswaldNorthwestern Mutual Investment Services,LLC otherSii Investments, Inc. otherOtherJan 26, 2016Jan 22, 2016
John Lewis CookMoney Concepts Advisory Service otherSii Investments, Inc. otherOtherDec 31, 2015Jan 8, 2016
Martin Daniel FahlerLPL Financial LLC otherSii Investments, Inc. otherOtherOct 1, 2015Oct 21, 2015
Brooke A Crane-AcreSagepoint Financial, Inc. otherSii Investments, Inc. otherOtherSep 30, 2015Sep 14, 2015
Matthew Richard BensonCuna Brokerage Services, Inc. otherSii Investments, Inc. otherOtherSep 23, 2015Dec 1, 2015 (69 d)
Christopher John PicciurroSagepoint Financial, Inc. otherSii Investments, Inc. otherOtherSep 16, 2015Feb 10, 2016 (147 d)
James Dale PetersAmeriprise Financial Services, LLC national BDSii Investments, Inc. otherOtherAug 12, 2015Jul 27, 2015
Kathleen Sue DennisAmeritas Advisory Services otherSii Investments, Inc. otherOtherJul 16, 2015Jun 18, 2015
Jonathan Michael KroeningThrivent Investment Management Inc. otherSii Investments, Inc. otherOtherJul 16, 2015Jul 13, 2015
George Paul CumbestLPL Financial LLC otherSii Investments, Inc. otherOtherJul 10, 2015Jul 1, 2015
Cam Joel MaderLPL Financial LLC otherSii Investments, Inc. otherOtherJul 7, 2015Jun 29, 2015
Douglas Wellington ShultzPruco Securities, LLC otherSii Investments, Inc. otherOtherJul 6, 2015Jun 29, 2015
Michael Joseph LondreEdward Jones national BDSii Investments, Inc. otherOtherJun 18, 2015Jun 1, 2017 (714 d)
Denise M. LiddiardWilliam Blair & Company L.L.C. otherSii Investments, Inc. otherOtherMay 15, 2015May 22, 2015
Allison NorcuttLPL Financial LLC otherSii Investments, Inc. otherOtherMay 7, 2015May 13, 2015
Nicholas Herb ScheumannHefty Wealth Partners otherSii Investments, Inc. otherOtherMar 3, 2015Feb 27, 2015
Tina Faye MooreInvestment Centers Of America, Inc. otherSii Investments, Inc. otherOtherMar 2, 2015Jun 20, 2013
Amanda Marie RossU.S. Bancorp Investments, Inc. otherSii Investments, Inc. otherOtherFeb 20, 2015Feb 18, 2015
Thomas Frank KarnerNew England Securities Corporation otherSii Investments, Inc. otherOtherJan 27, 2015Jan 5, 2015
Larry Alan MengerinkMsi Financial Services, Inc. otherSii Investments, Inc. otherOtherJan 14, 2015Jan 5, 2015
Mark Owen VandeveldeLPL Financial LLC otherSii Investments, Inc. otherOtherDec 12, 2014Feb 27, 2015 (77 d)
Anthony J PochowskiEdward Jones national BDSii Investments, Inc. otherOtherDec 8, 2014Jan 2, 2015
Kyle Lee KopitzkeInvestment Centers Of America, Inc. otherSii Investments, Inc. otherOtherOct 29, 2014Apr 7, 2014
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300 moves match.