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 Investment Professionals, 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
John Andrew SchickCapstone Asset Management otherInvestment Professionals, Inc. otherOtherOct 1, 2025Jun 29, 2012
Thurston SpauldingCapital Fiduciary Advisors, LLC independent RIAInvestment Professionals, Inc. otherOtherApr 30, 2019Apr 15, 2014
Justin Patrick QuillenLPL Financial LLC independent RIAInvestment Professionals, Inc. BD affiliatedRIA to affiliated broker-dealer or bankAug 29, 2018Aug 14, 2018
Robert Hernandez ArteagaMML Investors Services, LLC BD affiliatedInvestment Professionals, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherMay 10, 2018Jul 16, 2018 (67 d)
Teresa Ann MagawLPL Financial LLC independent RIAInvestment Professionals, Inc. BD affiliatedRIA to affiliated broker-dealer or bankMar 26, 2018May 4, 2018 (39 d)
Steven C BoothLPL Financial LLC independent RIAInvestment Professionals, Inc. otherOtherDec 14, 2017Dec 7, 2017
Paul E GoodMML Investors Services, LLC otherInvestment Professionals, Inc. otherOtherApr 26, 2017Apr 21, 2017
Mark Stephen MeyerFifth Third Securities, Inc. otherInvestment Professionals, Inc. otherOtherApr 17, 2017Apr 7, 2017
Frederick James GillisWells Fargo Advisors wirehouseInvestment Professionals, Inc. otherOtherMar 6, 2017Mar 6, 2017
Markos J PappasEdward Jones national BDInvestment Professionals, Inc. otherOtherFeb 7, 2017Feb 6, 2017
Robert P ColettaLPL Financial LLC otherInvestment Professionals, Inc. otherOtherFeb 6, 2017Jan 19, 2017
Gregory Wade GobbleFirst Brokerage America, L.L.C. unclassifiedInvestment Professionals, Inc. otherOtherJan 31, 2017Feb 3, 2017
Eric Scott PomerantzOppenheimer & Co. Inc. otherInvestment Professionals, Inc. otherOtherDec 16, 2016Dec 9, 2016
Rodney Marcus ScottMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseInvestment Professionals, Inc. otherOtherDec 5, 2016Dec 2, 2016
Erin Campbell JonesWells Fargo Advisors wirehouseInvestment Professionals, Inc. otherOtherOct 14, 2016Dec 2, 2016 (49 d)
Robert Jay DavisWesbanco Securities, Inc. BD affiliatedInvestment Professionals, Inc. otherOtherSep 15, 2016Sep 12, 2016
Aaron Keith UlrichWaddell & Reed otherInvestment Professionals, Inc. otherOtherAug 22, 2016Aug 25, 2016
John Joseph NooneMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseInvestment Professionals, Inc. otherOtherJul 12, 2016Jul 11, 2016
Paul Anthony ModafferiSorrento Pacific Financial, LLC otherInvestment Professionals, Inc. otherOtherJun 2, 2016Jun 7, 2016
Jennifer Alice HarrisCuso Financial Services, L.P. otherInvestment Professionals, Inc. otherOtherMay 25, 2016May 31, 2016
Michael AwwadHuntington Financial Advisors otherInvestment Professionals, Inc. otherOtherApr 11, 2016Apr 19, 2016
Thomas Christian HallCetera Investment Advisers LLC otherInvestment Professionals, Inc. otherOtherApr 1, 2016Apr 5, 2016
Jessica Ann EdmondsSpc otherInvestment Professionals, Inc. otherOtherMar 21, 2016May 11, 2016 (51 d)
Joel JeffsonUsaa Financial Planning Services no RAUMInvestment Professionals, Inc. otherOtherFeb 16, 2016Feb 16, 2016
Richard KnuthSantander Securities otherInvestment Professionals, Inc. otherOtherJan 22, 2016Jan 21, 2016
Eric S SparlingJ.P. Morgan Securities LLC wirehouseInvestment Professionals, Inc. otherOtherDec 8, 2015Mar 4, 2016 (87 d)
Ernie G LewisJ.P. Morgan Securities LLC wirehouseInvestment Professionals, Inc. otherOtherDec 8, 2015Nov 23, 2015
Timothy Kenneth MeyersRaymond James Financial Services Advisors, Inc otherInvestment Professionals, Inc. otherOtherNov 23, 2015Nov 23, 2015
Sarah Kathryn LindellRaymond James Financial Services Advisors, Inc otherInvestment Professionals, Inc. otherOtherNov 23, 2015Nov 23, 2015
Keith Vancil GilbertCuna Brokerage Services, Inc. otherInvestment Professionals, Inc. otherOtherNov 17, 2015Nov 16, 2015
Fernando PosadaSuntrust Investment Services, Inc. otherInvestment Professionals, Inc. otherOtherOct 26, 2015Oct 26, 2015
Candace J BurkettWells Fargo Advisors wirehouseInvestment Professionals, Inc. otherOtherOct 19, 2015Oct 9, 2015
Denise Marie McgeeNext Financial Group, Inc. otherInvestment Professionals, Inc. otherOtherOct 5, 2015Oct 12, 2015
Jefferson Lester MullinsU.S. Bancorp Investments, Inc. otherInvestment Professionals, Inc. otherOtherSep 4, 2015Sep 8, 2015
Scott Michael NanneyInvest Financial Corporation otherInvestment Professionals, Inc. otherOtherSep 4, 2015Sep 18, 2015
Timothy Steven FlaniganWells Fargo Advisors wirehouseInvestment Professionals, Inc. otherOtherSep 3, 2015Aug 31, 2015
Paul Arthur GoekeEdward Jones national BDInvestment Professionals, Inc. otherOtherAug 25, 2015Sep 19, 2016 (391 d)
Thomas Turner NeelySynovus Securities, Inc. otherInvestment Professionals, Inc. otherOtherAug 12, 2015Aug 14, 2015
Martyn Joseph BallesteroJ. W. Cole Advisors, Inc. otherInvestment Professionals, Inc. otherOtherAug 12, 2015Aug 21, 2015
Michael Patrick EstesLPL Financial LLC otherInvestment Professionals, Inc. otherOtherAug 5, 2015Aug 5, 2015
Luis Justo GonzalezFintegra, LLC otherInvestment Professionals, Inc. otherOtherJul 21, 2015Jul 15, 2015
Joseph Yong YiRaymond James & Associates, Inc. national BDInvestment Professionals, Inc. otherOtherJul 13, 2015Jul 13, 2015
Mark Andrew GuajardoDeeproot Wealth Advisors, LLC unclassifiedInvestment Professionals, Inc. otherOtherJun 3, 2015Jun 15, 2015
Peter Timothy SimpsonSantander Securities otherInvestment Professionals, Inc. otherOtherMay 27, 2015Jun 16, 2015
Jeffrey HoltmeierEdward Jones national BDInvestment Professionals, Inc. otherOtherMay 22, 2015Jun 1, 2015
Christopher John MccarthyWells Fargo Advisors wirehouseInvestment Professionals, Inc. otherOtherApr 28, 2015May 12, 2015
Aaron Scott HarveyCambridge Investment Research Advisors, Inc. otherInvestment Professionals, Inc. otherOtherApr 23, 2015Apr 14, 2015
Don Howard HartEdward Jones national BDInvestment Professionals, Inc. otherOtherApr 1, 2015Apr 2, 2015
Robert Aubrey HartRaymond James & Associates, Inc. national BDInvestment Professionals, Inc. otherOtherMar 19, 2015Mar 20, 2015
Roger SuchyBenjamin F. Edwards & Company, Incorporated otherInvestment Professionals, Inc. otherOtherMar 10, 2015Feb 23, 2015
Billie Lavelle OdomBrookstone Wealth Advisors, LLC otherInvestment Professionals, Inc. otherOtherMar 9, 2015Dec 12, 2014
James Preston SmithCetera Investment Advisers LLC otherInvestment Professionals, Inc. otherOtherMar 6, 2015Jan 12, 2015
Rusty Lee ReamThrivent Investment Management Inc. otherInvestment Professionals, Inc. otherOtherFeb 18, 2015Feb 18, 2015
Theodore Flood LeasureWells Fargo Advisors wirehouseInvestment Professionals, Inc. otherOtherJan 26, 2015Jan 27, 2015
Tony KangFifth Third Securities, Inc. otherInvestment Professionals, Inc. otherOtherJan 12, 2015Jan 16, 2015
Christopher M MillerCitigroup Global Markets Inc. otherInvestment Professionals, Inc. otherOtherJan 8, 2015Feb 4, 2015
Michael John VoorheisCitizens Securities, Inc. otherInvestment Professionals, Inc. otherOtherDec 1, 2014Dec 9, 2014
Michael Terry CandeeSynovus Securities, Inc. otherInvestment Professionals, Inc. otherOtherNov 7, 2014Nov 10, 2014
Patrick Brian MurrayLPL Financial LLC otherInvestment Professionals, Inc. otherOtherOct 22, 2014Jul 21, 2017 (1003 d)
Paul HarneyPlanmember Securities Corporation otherInvestment Professionals, Inc. otherOtherOct 20, 2014Oct 27, 2014
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270 moves match.