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 Turning Point Financial

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
Craig S MarcelloAmeriprise Financial Services, LLC national BDTurning Point Financial independent RIAAffiliated broker-dealer or bank to independent RIAJul 10, 2024Feb 13, 2025 (218 d)
James Daniel GoodWdc Advisors, LLC unclassifiedTurning Point Financial independent RIAOtherMar 27, 2024Aug 4, 2023
Michael James GoodWdc Advisors, LLC unclassifiedTurning Point Financial independent RIAOtherMar 27, 2024Jul 19, 2023
Jonathan Paul GoodWdc Advisors, LLC unclassifiedTurning Point Financial independent RIAOtherMar 27, 2024Jul 19, 2023
Brian Stuart JollesRegal Investment Advisors LLC BD affiliatedTurning Point Financial independent RIAAffiliated broker-dealer or bank to independent RIAJan 22, 2024Jan 19, 2024
Michelle Marie AquinoCharles Schwab & Co., Inc. national BDTurning Point Financial independent RIAAffiliated broker-dealer or bank to independent RIAJul 18, 2022Jul 18, 2022
Grace Elizabeth MeadEdward Jones national BDTurning Point Financial independent RIAAffiliated broker-dealer or bank to independent RIAJan 10, 2022Oct 25, 2022 (288 d)
William John HeilCorecap Advisors BD affiliatedTurning Point Financial independent RIAAffiliated broker-dealer or bank to independent RIAJun 7, 2021Feb 7, 2025 (1341 d)
Rickey Jay PostPruco Securities, LLC BD affiliatedTurning Point Financial independent RIAAffiliated broker-dealer or bank to independent RIAMay 8, 2020May 26, 2025 (1844 d)
Jeremy VeresAmeriprise Financial Services, LLC national BDTurning Point Financial no RAUMAffiliated broker-dealer or bank to a newly registered adviserAug 1, 2019Aug 6, 2019
Mary Kathleen TroxellCambridge Investment Research Advisors, Inc. BD affiliatedTurning Point Financial no RAUMAffiliated broker-dealer or bank to a newly registered adviserJul 23, 2019Jul 15, 2019
Kurt August LalomiaCambridge Investment Research Advisors, Inc. BD affiliatedTurning Point Financial independent RIAAffiliated broker-dealer or bank to independent RIAJul 23, 2019Nov 3, 2023 (1564 d)
Jason Michael TopperCambridge Investment Research Advisors, Inc. BD affiliatedTurning Point Financial no RAUMAffiliated broker-dealer or bank to a newly registered adviserJul 23, 2019Jul 23, 2019
Brennan Ambrose GmeinerCambridge Investment Research Advisors, Inc. BD affiliatedTurning Point Financial no RAUMAffiliated broker-dealer or bank to a newly registered adviserJul 23, 2019Jul 16, 2019
Alexandra Rose Addington StickelmanCambridge Investment Research Advisors, Inc. BD affiliatedTurning Point Financial no RAUMAffiliated broker-dealer or bank to a newly registered adviserJul 23, 2019Jul 5, 2019
Thomas Joseph PignoneCambridge Investment Research Advisors, Inc. BD affiliatedTurning Point Financial independent RIAAffiliated broker-dealer or bank to independent RIAJul 23, 2019Jan 3, 2025 (1991 d)
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16 moves match.