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 Moloney Securities Asset Management 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.

Advisor	From	To	Type	Left	Registered
William David Fok	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Moloney Securities Asset Management LLC BD affiliated	Wirehouse to affiliated broker-dealer or bank	Mar 19, 2024	Jul 1, 2024 (104 d)
Ion Valentin Cangea	Woodbury Financial Services, Inc. BD affiliated	Moloney Securities Asset Management LLC BD affiliated	Affiliated broker-dealer or bank to another	Jul 20, 2023	Jul 14, 2023
Todd Allen Nye	Aquilant Advisors independent RIA	Moloney Securities Asset Management LLC BD affiliated	RIA to affiliated broker-dealer or bank	Feb 24, 2023	Jan 30, 2023
Olivia M Lupfer	First Heartland Consultants, Inc. BD affiliated	Moloney Securities Asset Management LLC BD affiliated	Affiliated broker-dealer or bank to another	Jul 30, 2020	Aug 3, 2020
Teddy Joseph Newman	LPL Financial LLC BD affiliated	Moloney Securities Asset Management LLC BD affiliated	Affiliated broker-dealer or bank to another	Nov 20, 2019	Nov 4, 2019
Kirk James Waara	Morgan Stanley wirehouse	Moloney Securities Asset Management LLC BD affiliated	Wirehouse to affiliated broker-dealer or bank	Nov 15, 2019	Nov 20, 2019
George Donald Steel	Planned Investment Co., Inc. unclassified	Moloney Securities Asset Management LLC BD affiliated	Other	Feb 6, 2019	Dec 13, 2018
Thomas Adam Rohn	Planned Investment Co., Inc. unclassified	Moloney Securities Asset Management LLC BD affiliated	Other	Dec 17, 2018	Dec 13, 2018
Brent Cornelius Verwers	Planned Investment Co., Inc. unclassified	Moloney Securities Asset Management LLC BD affiliated	Other	Dec 17, 2018	Dec 13, 2018
Thomas Adam Rohn	Planned Investment Co., Inc. unclassified	Moloney Securities Asset Management LLC BD affiliated	Other	Dec 17, 2018	Dec 13, 2018
Darin Lee Hughes	Planned Investment Co., Inc. unclassified	Moloney Securities Asset Management LLC BD affiliated	Other	Dec 17, 2018	Dec 13, 2018
Christopher Steven Rohn	Planned Investment Co., Inc. unclassified	Moloney Securities Asset Management LLC BD affiliated	Other	Dec 17, 2018	Dec 13, 2018
Eric Richard Steel	Planned Investment Co., Inc. unclassified	Moloney Securities Asset Management LLC BD affiliated	Other	Dec 17, 2018	Dec 13, 2018
Scott Edward Everhart	RBC Capital Markets, LLC national BD	Moloney Securities Asset Management LLC BD affiliated	Affiliated broker-dealer or bank to another	Mar 16, 2018	Feb 28, 2018
Terry Lee Betzelberger	Levitt Betzelberger Weinrich, Inc. unclassified	Moloney Securities Asset Management LLC other	Other	Dec 31, 2017	Sep 26, 2017
Elizabeth Wright	Vance Capital Management, LLC other	Moloney Securities Asset Management LLC other	Other	Dec 31, 2017	Oct 10, 2017
Matthew Taylor Seidel	Stifel, Nicolaus & Company, Incorporated national BD	Moloney Securities Asset Management LLC BD affiliated	Affiliated broker-dealer or bank to another	Nov 17, 2017	Nov 13, 2017
Mark David House	Smith Moore & Co. other	Moloney Securities Asset Management LLC other	Other	Aug 30, 2017	Jul 31, 2017
Derrick Allen Brauner	Smith Moore & Co. other	Moloney Securities Asset Management LLC other	Other	Aug 30, 2017	Jul 31, 2017
Adam James Maher	Smith Moore & Co. other	Moloney Securities Asset Management LLC other	Other	Aug 30, 2017	Jul 31, 2017
Curtis Verdell Lund	Wilbanks Securities Advisory other	Moloney Securities Asset Management LLC other	Other	May 16, 2017	May 16, 2017
Gene V Panasenko	LPL Financial LLC other	Moloney Securities Asset Management LLC other	Other	Mar 28, 2017	Mar 17, 2017
John David Patock	Eagle Strategies LLC other	Moloney Securities Asset Management LLC other	Other	Feb 17, 2017	Feb 17, 2017
Steven Anthony Mueckl	Stifel, Nicolaus & Company, Incorporated national BD	Moloney Securities Asset Management LLC other	Other	Jan 25, 2017	Jan 24, 2017
Porter R Draper	Cetera Advisors LLC other	Moloney Securities Asset Management LLC other	Other	Oct 31, 2016	Jan 12, 2017 (73 d)
Edward H Prince	Eckman Wealth Management, LLC state registered	Moloney Securities Asset Management LLC other	Other	Sep 15, 2016	Dec 20, 2016 (96 d)
Chase J Baute	Ameriprise Financial Services, LLC national BD	Moloney Securities Asset Management LLC other	Other	Sep 1, 2016	Apr 13, 2017 (224 d)
Royce Lee Cannon	Oneamerica Securities, Inc. other	Moloney Securities Asset Management LLC no RAUM	Other	Jul 27, 2016	Jul 1, 2016
Dorris Glenn Jones	Oneamerica Securities, Inc. other	Moloney Securities Asset Management LLC no RAUM	Other	Jul 27, 2016	Jul 1, 2016
George Gregory Casey	R. F. Lafferty & Co., Inc. other	Moloney Securities Asset Management LLC no RAUM	Other	Jun 23, 2016	Jun 16, 2016
Jeffrey Patrick Roseman	Edward Jones national BD	Moloney Securities Asset Management LLC no RAUM	Affiliated broker-dealer or bank to a newly registered adviser	May 18, 2016	May 23, 2016
Douglas Fosdick Carter	Nations Financial Group, Inc. other	Moloney Securities Asset Management LLC no RAUM	Other	May 2, 2016	May 10, 2016
Robert John Gustafson	J P Turner & Company Capital Management, LLC other	Moloney Securities Asset Management LLC other	Other	Sep 21, 2015	Mar 13, 2017 (539 d)

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33 moves match.