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 Osaic Institutions, 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.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| James Jose Jazo | Eagle Strategies LLC BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 27, 2026 | Sep 9, 2026 |
| Codi Lee Pepera | LPL Financial LLC BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 5, 2026 | Jul 27, 2026 |
| Chad Michael Backes | LPL Financial LLC BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 13, 2026 | Jul 13, 2026 |
| Chimaobi Abarikwu | Edward Jones national BD | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 9, 2026 | Aug 31, 2026 (53 d) |
| Jonathan Aaron Hileman | Key Investment Services LLC BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 30, 2026 | Jul 9, 2026 |
| David Robert Weigand | Pnc Wealth Management BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 26, 2026 | Sep 1, 2026 (67 d) |
| Mark Steven Yandura | LPL Financial LLC BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 19, 2026 | May 19, 2026 |
| Kimberly Hinton Loftin | Thrivent Investment Management Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 1, 2026 | Apr 30, 2026 |
| Nicholas Edward Shala | State Farm Investment Management Corp. asset manager | Osaic Institutions, Inc. BD affiliated | Other | Apr 30, 2026 | May 26, 2026 |
| Brenda Rose Aslyn | Wells Fargo Advisors wirehouse | Osaic Institutions, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 29, 2026 | Apr 28, 2026 |
| Darren B Washington | Principal Securities, Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 23, 2026 | Apr 16, 2026 |
| Amy Watts | Commonwealth Financial Network national BD | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 6, 2026 | May 1, 2026 |
| Rosemary Carolina Abreu | LPL Financial LLC BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 24, 2026 | Mar 16, 2026 |
| Justin Russell | Key Investment Services LLC BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 11, 2026 | Mar 23, 2026 |
| Brent Andrew Hann | &Partners independent RIA | Osaic Institutions, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Feb 20, 2026 | Mar 2, 2026 |
| Nicole Huguet Izquierdo | RBC Capital Markets, LLC national BD | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 12, 2026 | Mar 18, 2026 (34 d) |
| Nathan Wade Rydalch | Osaic Advisory Services, LLC BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 6, 2026 | Nov 14, 2025 |
| Jason Andrew Netrosio | LPL Financial LLC BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 19, 2025 | Dec 16, 2025 |
| Michelle Marie Huffman | Cambridge Investment Research Advisors, Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 17, 2025 | Jan 5, 2026 |
| James A. Matthews | Cetera Investment Advisers LLC BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 21, 2025 | Dec 1, 2025 |
| Ryan Patrick Voet | Key Investment Services LLC BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 27, 2025 | Oct 16, 2025 |
| John R Callaway | Truist Advisory Services, Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 22, 2025 | Oct 27, 2025 |
| Blaklee Renn Wolfe | Credit Union Investment Services state registered | Osaic Institutions, Inc. BD affiliated | Other | Oct 21, 2025 | Nov 4, 2025 |
| Jonathan Steven Ormaza | Truist Advisory Services, Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 6, 2025 | Nov 24, 2025 (49 d) |
| Gary H Ford | Principal Securities, Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 1, 2025 | Oct 14, 2025 |
| Michael Benjamin Liebson | Global Investment Advisory independent RIA | Osaic Institutions, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Sep 15, 2025 | Aug 21, 2025 |
| Ralph Wilson Smith | Osaic Wealth, Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 29, 2025 | May 20, 2025 |
| Timotej Czernek | Fisher Investments independent RIA | Osaic Institutions, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Aug 27, 2025 | Oct 14, 2025 (48 d) |
| Joseph Pillot | J.P. Morgan Securities LLC wirehouse | Osaic Institutions, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 24, 2025 | Sep 8, 2025 |
| Isaac Cho | Equitable Advisors, LLC national BD | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 22, 2025 | May 28, 2026 (279 d) |
| Arthur Grossbard | Ameriprise Financial Services, LLC national BD | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 12, 2025 | Jul 28, 2025 |
| Gary David Ginsberg | Ameriprise Financial Services, LLC national BD | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 11, 2025 | Jul 25, 2025 |
| Daniel John Hopkins | Ameriprise Financial Services, LLC national BD | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 11, 2025 | Jul 25, 2025 |
| Vincent John Dotti | Ameriprise Financial Services, LLC national BD | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 11, 2025 | Jul 25, 2025 |
| Bryan Howard Kossove | Ameriprise Financial Services, LLC national BD | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 11, 2025 | Jul 25, 2025 |
| Matthew Peter Mckenna | Ameriprise Financial Services, LLC national BD | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 11, 2025 | Jul 25, 2025 |
| Anthony Michael D'Auria | Ameriprise Financial Services, LLC national BD | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 11, 2025 | Jul 25, 2025 |
| Jeanette Fung Chung | Ameriprise Financial Services, LLC national BD | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 11, 2025 | Jul 25, 2025 |
| Clifford John Williams | Ameriprise Financial Services, LLC national BD | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 11, 2025 | Jul 28, 2025 |
| Carlos Amilcar Farelo | Ameriprise Financial Services, LLC national BD | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 11, 2025 | Jul 25, 2025 |
| Joseph Costello | Ameriprise Financial Services, LLC national BD | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 11, 2025 | Jul 28, 2025 |
| Christopher Fetzer | Ameriprise Financial Services, LLC national BD | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 11, 2025 | Jul 28, 2025 |
| Boodram Dave Someria | Ameriprise Financial Services, LLC national BD | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 11, 2025 | Jul 25, 2025 |
| Dylan Max Pfeffer | Ameriprise Financial Services, LLC national BD | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 11, 2025 | Jul 25, 2025 |
| David Justin Melnyk | Ameriprise Financial Services, LLC national BD | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 11, 2025 | Jul 28, 2025 |
| Kevin Pfeffer | Ameriprise Financial Services, LLC national BD | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 11, 2025 | Jul 25, 2025 |
| Eric Cutler Inge | Ameriprise Financial Services, LLC national BD | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 11, 2025 | Jul 28, 2025 |
| Abraham Cecena | Ameriprise Financial Services, LLC national BD | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 11, 2025 | Jul 25, 2025 |
| Jeffrey Jon Zimmer | Ameriprise Financial Services, LLC national BD | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 28, 2025 | Jul 28, 2025 |
| Gerard Valenti | LPL Financial LLC BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 23, 2025 | Jul 16, 2025 |
| Chet Alan Bingham | LPL Financial LLC BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 24, 2025 | Jul 1, 2025 |
| James Patrick Clancy | LPL Financial LLC BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 17, 2025 | Aug 12, 2025 (56 d) |
| Kathryn Bierschwale | LPL Enterprise, LLC BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 23, 2025 | May 19, 2025 |
| Amy Christine Pasquarelli | LPL Financial LLC BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 23, 2025 | May 7, 2025 |
| Jack Putnam | Edward Jones national BD | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 22, 2025 | Aug 3, 2026 (438 d) |
| Eric Ralph Van Buskirk | Raymond James Financial Services Advisors, Inc BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 14, 2025 | May 28, 2025 |
| Mitchell R Laflam | Eagle Strategies LLC BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 9, 2025 | Jul 23, 2025 (75 d) |
| Mark T Eberhart | Edward Jones national BD | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 8, 2025 | Jul 13, 2026 (431 d) |
| Drewry Lyon Mcmullen | Eagle Strategies LLC BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 29, 2025 | Jan 13, 2026 (259 d) |
| Mark Robert Calaci | Principal Securities, Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 29, 2025 | Apr 28, 2025 |
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805 moves match.