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 Investors Capital Advisory

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
Celeste M Monaghan	Zelek & Associates unclassified	Investors Capital Advisory other	Other	Oct 8, 2021	Jun 6, 2012
Steven Michael Zimmerman	Magis Financial Partners mixed wealth	Investors Capital Advisory other	Other	Mar 9, 2021	Dec 11, 2008
Jason Leroy Madsen	Northwestern Mutual Investment Services,LLC other	Investors Capital Advisory other	Other	Mar 1, 2016	Aug 10, 2016 (162 d)
Antonio Pedro Gomes	Sagepoint Financial, Inc. other	Investors Capital Advisory other	Other	Jan 12, 2016	Jan 8, 2016
Laurie Ann Ellis-Mcleod	Spc other	Investors Capital Advisory other	Other	Sep 1, 2015	Sep 1, 2015
Joseph John Mandujano	Invest Financial Corporation other	Investors Capital Advisory other	Other	Aug 11, 2015	Aug 19, 2015
Sarah Blake Klement	Wells Fargo Advisors wirehouse	Investors Capital Advisory other	Other	Jul 8, 2015	Jul 2, 2015
Steven Louis Tillona	LPL Financial LLC other	Investors Capital Advisory other	Other	Jul 7, 2015	Jun 29, 2015
Jay Alan Gilston	MML Investors Services, LLC other	Investors Capital Advisory other	Other	Apr 14, 2015	Apr 8, 2015
Eric Douglas Sandowsky	MML Investors Services, LLC other	Investors Capital Advisory other	Other	Apr 14, 2015	Apr 7, 2015
Brian Howard Saranovitz	Woodbury Financial Services, Inc. other	Investors Capital Advisory other	Other	Apr 8, 2015	Apr 29, 2015
Joseph Howard Spano	Voya Financial Advisors, Inc. other	Investors Capital Advisory other	Other	Mar 19, 2015	Mar 16, 2015
Richard Frank Parnigoni	Signator Investors, Inc. other	Investors Capital Advisory other	Other	Feb 3, 2015	Jan 26, 2015
Brian Francis	Fisher Investments other	Investors Capital Advisory other	Other	Jan 21, 2015	Jul 16, 2015 (176 d)
Frederick Allan Gray	Edward Jones national BD	Investors Capital Advisory other	Other	Dec 26, 2014	Apr 30, 2015 (125 d)
Nelvine Alfonso Ocampo	Crown Capital Securities, L.P. other	Investors Capital Advisory other	Other	Dec 22, 2014	Dec 19, 2014
David Patrick Leathers	LPL Financial LLC other	Investors Capital Advisory other	Other	Dec 17, 2014	Dec 5, 2014
Elliott Arthur Peigen	Next Financial Group, Inc. other	Investors Capital Advisory other	Other	Dec 3, 2014	Mar 9, 2015 (96 d)
George Joseph Hanscom	Osaic Fa, Inc. other	Investors Capital Advisory other	Other	Oct 31, 2014	Oct 20, 2014
Karen Sue Terrell	Voya Financial Advisors, Inc. other	Investors Capital Advisory other	Other	Oct 22, 2014	Oct 21, 2014
Wendi Chrystina Cowdrey-Ragon	People'S Securities, Inc. other	Investors Capital Advisory other	Other	Jul 7, 2014	Nov 3, 2014 (119 d)
Marianne Rice Reeves	Cornerstone Financial Advisors Ltd. state registered	Investors Capital Advisory other	Other	Jun 25, 2014	May 21, 2014
Henri Louis Rocheleau	LPL Financial LLC other	Investors Capital Advisory other	Other	Jun 9, 2014	Aug 12, 2014 (64 d)
Robert John Worrell	LPL Financial LLC other	Investors Capital Advisory other	Other	May 1, 2014	Apr 23, 2014
Ronald George Berry	Msi Financial Services, Inc. other	Investors Capital Advisory other	Other	Apr 14, 2014	Apr 2, 2014
Ronald Lee Nalven	Osaic Wealth, Inc. other	Investors Capital Advisory other	Other	Apr 3, 2014	Mar 28, 2014
Jimmy Maldonado	Invest Financial Corporation other	Investors Capital Advisory other	Other	Feb 27, 2014	Feb 26, 2014
Andrew Wayne Harris	Principal Securities, Inc. other	Investors Capital Advisory other	Other	Feb 17, 2014	Jan 23, 2014
Brent Dion Williams	Bolton Global Asset Management other	Investors Capital Advisory other	Other	Jan 27, 2014	Jan 13, 2014
Amber Donn Eduvigen	Voya Financial Advisors, Inc. other	Investors Capital Advisory other	Other	Dec 31, 2013	Jan 21, 2014
David Kevin Dugan	Winslow, Evans & Crocker, Inc. other	Investors Capital Advisory other	Other	Nov 26, 2013	Jan 24, 2014 (59 d)
Daniela Aljawad	Waddell & Reed other	Investors Capital Advisory other	Other	Nov 20, 2013	Mar 4, 2014 (104 d)
Jon Torrey Bicknell	Osaic Fa, Inc. other	Investors Capital Advisory other	Other	Nov 14, 2013	Oct 29, 2013
Jason Ryan Stahl	Raymond James Financial Services Advisors, Inc other	Investors Capital Advisory other	Other	Oct 23, 2013	Oct 22, 2013
Mary Jean Robbins	Osaic Institutions, Inc. other	Investors Capital Advisory other	Other	Oct 11, 2013	Feb 10, 2014 (122 d)
Christopher Arthur Markos	Cetera Investment Services LLC other	Investors Capital Advisory other	Other	Sep 10, 2013	Sep 6, 2013
Christopher Raymond Blaszyk	Independent Financial Group, LLC other	Investors Capital Advisory other	Other	Aug 14, 2013	Aug 29, 2013
Anthony Frederick Hobson	Next Financial Group, Inc. other	Investors Capital Advisory other	Other	Aug 5, 2013	Aug 5, 2013
Dirk Alden Brown	Fifth Third Securities, Inc. other	Investors Capital Advisory other	Other	Jul 12, 2013	Jul 18, 2013
Paul Michael Kowalski	LPL Financial LLC other	Investors Capital Advisory other	Other	Jun 21, 2013	Jun 21, 2013
David Matthew Bilka	Ingram Advisory Services, LLC other	Investors Capital Advisory other	Other	May 24, 2013	Jun 2, 2011
Gregory Allen Dennis	Valic Financial Advisors, Inc. other	Investors Capital Advisory other	Other	Feb 21, 2013	Feb 22, 2013
Gregg S Lentz	Questar Asset Management, Inc. other	Investors Capital Advisory other	Other	Feb 15, 2013	Jan 23, 2013
Dennis L Gump	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Investors Capital Advisory other	Other	Feb 11, 2013	Jun 13, 2013 (122 d)
Matt Porter	Questar Asset Management, Inc. other	Investors Capital Advisory other	Other	Feb 7, 2013	Jan 24, 2013
Brian James Megley	Wells Fargo Advisors wirehouse	Investors Capital Advisory other	Other	Feb 5, 2013	Mar 4, 2013
Richard Olszewski	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Investors Capital Advisory other	Other	Aug 31, 2012	Aug 30, 2012
Charles Robert Kelly	Sagepoint Financial, Inc. other	Investors Capital Advisory other	Other	Aug 24, 2012	Aug 21, 2012
Terry Charles Seely	Sagepoint Financial, Inc. other	Investors Capital Advisory other	Other	Aug 24, 2012	Aug 23, 2012
Daniel Scott Chabott	Sagepoint Financial, Inc. other	Investors Capital Advisory other	Other	Aug 24, 2012	Aug 22, 2012
Richard P Darrow	Sagepoint Financial, Inc. other	Investors Capital Advisory other	Other	Aug 24, 2012	Aug 21, 2012
Scott Vincent Valenti	Chase Investment Services Corp. other	Investors Capital Advisory other	Other	Aug 6, 2012	Aug 16, 2012
Anthony Maximillian Thurlow	Ameriprise Financial Services, LLC national BD	Investors Capital Advisory other	Other	Jul 19, 2012	Jul 11, 2012
Andrew David Baillie	First Command Financial Planning, Inc. other	Investors Capital Advisory other	Other	Jul 17, 2012	Jun 4, 2012
Francis Thomas Boyle	Osaic Wealth, Inc. other	Investors Capital Advisory other	Other	Jul 6, 2012	Jul 2, 2012
Michael G Dooley	Cambridge Investment Research Advisors, Inc. other	Investors Capital Advisory other	Other	Jun 29, 2012	Jun 1, 2012
Ronald David Greenberg	LPL Financial LLC other	Investors Capital Advisory other	Other	Jun 14, 2012	Jun 21, 2012
Nanette Orteig Blish	UBS Financial Services Inc. wirehouse	Investors Capital Advisory other	Other	Apr 9, 2012	Mar 30, 2012
William Adolph Steih	LPL Financial LLC other	Investors Capital Advisory other	Other	Feb 6, 2012	Jan 24, 2012
Nicolas Shane Toadvine	Ingram Advisory Services, LLC other	Investors Capital Advisory other	Other	Feb 2, 2012	Jun 28, 2006

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207 moves match.