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 Kms Financial Services, 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
Adriel John GainesCetera Advisors LLC BD affiliatedKms Financial Services, Inc BD affiliatedAffiliated broker-dealer or bank to anotherMay 13, 2022Jul 31, 2019
Desiree J DavenhillWells Fargo Advisors wirehouseKms Financial Services, Inc BD affiliatedWirehouse to affiliated broker-dealer or bankSep 16, 2020Sep 14, 2020
Amanda PetersonCable Hill Partners, LLC independent RIAKms Financial Services, Inc BD affiliatedRIA to affiliated broker-dealer or bankMay 22, 2020Jun 18, 2020
Glenn Dean BueltRussell Investments otherKms Financial Services, Inc BD affiliatedOtherApr 16, 2020Mar 9, 2020
Valerie SaucedoUBS Financial Services Inc. wirehouseKms Financial Services, Inc BD affiliatedWirehouse to affiliated broker-dealer or bankFeb 25, 2020Aug 24, 2020 (181 d)
Benjamin Micah WenzelLPL Financial LLC BD affiliatedKms Financial Services, Inc BD affiliatedAffiliated broker-dealer or bank to anotherJan 30, 2020Jan 6, 2020
Ryan Thomas LewLPL Financial LLC BD affiliatedKms Financial Services, Inc BD affiliatedAffiliated broker-dealer or bank to anotherJan 30, 2020Jan 6, 2020
Nicholas M PagliaiNorthwestern Mutual Investment Services,LLC no RAUMKms Financial Services, Inc BD affiliatedOtherNov 21, 2019Feb 5, 2020 (76 d)
Paul K DoakCambridge Investment Research Advisors, Inc. BD affiliatedKms Financial Services, Inc BD affiliatedAffiliated broker-dealer or bank to anotherOct 21, 2019Oct 16, 2019
John Narciso BanuelosAvantax Advisory Services BD affiliatedKms Financial Services, Inc BD affiliatedAffiliated broker-dealer or bank to anotherOct 11, 2019Oct 1, 2019
Christopher Edward Paul PawlowskiAmeriprise Financial Services, LLC national BDKms Financial Services, Inc BD affiliatedAffiliated broker-dealer or bank to anotherSep 10, 2019Feb 10, 2020 (153 d)
Patrick Allen FunkeGeneos Wealth Management, Inc. BD affiliatedKms Financial Services, Inc BD affiliatedAffiliated broker-dealer or bank to anotherAug 26, 2019Aug 21, 2019
Dwight Glenn O'HaraCetera Advisors LLC BD affiliatedKms Financial Services, Inc BD affiliatedAffiliated broker-dealer or bank to anotherAug 13, 2019Aug 1, 2019
James Edward BellCetera Advisors LLC BD affiliatedKms Financial Services, Inc BD affiliatedAffiliated broker-dealer or bank to anotherAug 7, 2019Aug 5, 2019
Timothy Mark IngallsCetera Advisors LLC BD affiliatedKms Financial Services, Inc BD affiliatedAffiliated broker-dealer or bank to anotherJul 16, 2019Jul 25, 2019
William John RolserCetera Advisors LLC BD affiliatedKms Financial Services, Inc BD affiliatedAffiliated broker-dealer or bank to anotherJul 16, 2019Jul 12, 2019
Tristan Shawn BliesnerCetera Advisors LLC BD affiliatedKms Financial Services, Inc BD affiliatedAffiliated broker-dealer or bank to anotherJul 16, 2019Jul 12, 2019
Brent Bernard GottierCetera Advisors LLC BD affiliatedKms Financial Services, Inc BD affiliatedAffiliated broker-dealer or bank to anotherJul 11, 2019Jul 10, 2019
Richard A YemmKovack Advisors, Inc. BD affiliatedKms Financial Services, Inc BD affiliatedAffiliated broker-dealer or bank to anotherJul 2, 2019Jul 3, 2019
Athena Johnson FelhandlerEdelman Financial Engines independent RIAKms Financial Services, Inc BD affiliatedRIA to affiliated broker-dealer or bankJun 25, 2019Sep 6, 2019 (73 d)
John William HomerFirst Western Advisors independent RIAKms Financial Services, Inc BD affiliatedRIA to affiliated broker-dealer or bankJun 19, 2019Jun 12, 2019
Trent Arthur YostCetera Advisors LLC BD affiliatedKms Financial Services, Inc BD affiliatedAffiliated broker-dealer or bank to anotherMay 31, 2019May 28, 2019
John Hyrum KoyleCetera Advisors LLC BD affiliatedKms Financial Services, Inc BD affiliatedAffiliated broker-dealer or bank to anotherMay 31, 2019May 28, 2019
Benjamin George FuhrimanCetera Advisors LLC BD affiliatedKms Financial Services, Inc BD affiliatedAffiliated broker-dealer or bank to anotherMay 31, 2019Jun 4, 2019
Jesse Floyd WardWells Fargo Advisors wirehouseKms Financial Services, Inc BD affiliatedWirehouse to affiliated broker-dealer or bankMay 28, 2019May 23, 2019
Scott Michael MahanCetera Advisors LLC BD affiliatedKms Financial Services, Inc BD affiliatedAffiliated broker-dealer or bank to anotherMay 10, 2019May 7, 2019
Robert James SchupOn Investment Management Co BD affiliatedKms Financial Services, Inc BD affiliatedAffiliated broker-dealer or bank to anotherApr 25, 2019Apr 24, 2019
Justin Richard PooreAvantax Advisory Services BD affiliatedKms Financial Services, Inc BD affiliatedAffiliated broker-dealer or bank to anotherDec 27, 2018Dec 26, 2018
Anna Gabriella MartinezCuso Financial Services, L.P. BD affiliatedKms Financial Services, Inc BD affiliatedAffiliated broker-dealer or bank to anotherDec 21, 2018Jan 3, 2019
Howard Joseph EnglehartCetera Advisors LLC BD affiliatedKms Financial Services, Inc BD affiliatedAffiliated broker-dealer or bank to anotherDec 12, 2018Jan 4, 2019
Darren Clark BlanchardMML Investors Services, LLC BD affiliatedKms Financial Services, Inc BD affiliatedAffiliated broker-dealer or bank to anotherOct 17, 2018Oct 12, 2018
Jason P BlanchardMML Investors Services, LLC BD affiliatedKms Financial Services, Inc BD affiliatedAffiliated broker-dealer or bank to anotherOct 17, 2018Oct 12, 2018
Luca Omar ProcelCetera Advisors LLC BD affiliatedKms Financial Services, Inc BD affiliatedAffiliated broker-dealer or bank to anotherAug 3, 2018Aug 10, 2018
Matthew James PulsipherCetera Advisors LLC BD affiliatedKms Financial Services, Inc BD affiliatedAffiliated broker-dealer or bank to anotherJul 26, 2018Jul 20, 2018
Jeffrey BrooksCetera Advisors LLC BD affiliatedKms Financial Services, Inc BD affiliatedAffiliated broker-dealer or bank to anotherJul 26, 2018Jul 26, 2018
G Scott LoweCetera Advisors LLC BD affiliatedKms Financial Services, Inc BD affiliatedAffiliated broker-dealer or bank to anotherJul 26, 2018Jul 20, 2018
Andrea Joy EasterlingRaymond James Financial Services Advisors, Inc BD affiliatedKms Financial Services, Inc BD affiliatedAffiliated broker-dealer or bank to anotherJul 26, 2018Aug 23, 2018
Israel EpsteinWells Fargo Advisors wirehouseKms Financial Services, Inc BD affiliatedWirehouse to affiliated broker-dealer or bankJun 28, 2018Jun 27, 2018
Brent C WellsIndependent Financial Group, LLC BD affiliatedKms Financial Services, Inc BD affiliatedAffiliated broker-dealer or bank to anotherApr 20, 2018Jun 1, 2018 (42 d)
Jeffery Owen BriggsCetera Advisors LLC otherKms Financial Services, Inc BD affiliatedOtherMar 14, 2018Mar 22, 2018
Erinn June FordCetera Advisors LLC otherKms Financial Services, Inc BD affiliatedOtherFeb 28, 2018Mar 16, 2018
Calvin Thomas RobinsonGoldbloom Wealth Management LLC state registeredKms Financial Services, Inc otherOtherJan 25, 2018Jan 26, 2018
Charles Howard ScheinbaumValic Financial Advisors, Inc. otherKms Financial Services, Inc otherOtherJan 18, 2018Jan 11, 2018
Kurt A. RoddyFsic otherKms Financial Services, Inc otherOtherJan 2, 2018Jan 2, 2018
Angela Marie JolleyFsic otherKms Financial Services, Inc otherOtherJan 2, 2018Jan 2, 2018
James David DossSignator Investors, Inc. otherKms Financial Services, Inc otherOtherDec 31, 2017Jan 8, 2018
George Wallace HookFsic otherKms Financial Services, Inc otherOtherDec 22, 2017Dec 22, 2017
Eleonora Jovel TomaselloSowell Management otherKms Financial Services, Inc otherOtherDec 15, 2017Apr 4, 2017
Timothy Lee BoveyFsic otherKms Financial Services, Inc otherOtherDec 5, 2017Dec 5, 2017
Shaun Jeffery DeanFsic otherKms Financial Services, Inc otherOtherDec 5, 2017Dec 5, 2017
Shane Patrick LarsonSplarson Financial Planning, LLC unclassifiedKms Financial Services, Inc otherOtherDec 1, 2017Jan 25, 2018 (55 d)
David Gordon MonkelienSii Investments, Inc. otherKms Financial Services, Inc otherOtherNov 13, 2017Nov 13, 2017
Joseph David MonkelienSii Investments, Inc. otherKms Financial Services, Inc BD affiliatedOtherNov 13, 2017Jan 8, 2019 (421 d)
Julie Ann GawareckiSii Investments, Inc. otherKms Financial Services, Inc otherOtherNov 10, 2017Nov 13, 2017
Sandra J. WagnerSii Investments, Inc. otherKms Financial Services, Inc otherOtherNov 1, 2017Nov 1, 2017
Andy Patrick MurphyCetera Advisors LLC otherKms Financial Services, Inc BD affiliatedOtherOct 30, 2017Mar 16, 2018 (137 d)
Eric Blair HansenNational Planning Corporation ("Npc Of America" In Fl & Ny) otherKms Financial Services, Inc otherOtherOct 25, 2017Oct 18, 2017
Mark Douglas HansenNational Planning Corporation ("Npc Of America" In Fl & Ny) otherKms Financial Services, Inc otherOtherOct 25, 2017Oct 18, 2017
Sean Kenneth MeldrumOn Investment Management Co otherKms Financial Services, Inc BD affiliatedOtherSep 21, 2017Sep 18, 2019 (727 d)
Roger Alan NichollsLegacy Wealth Management, LLC independent RIAKms Financial Services, Inc BD affiliatedRIA to affiliated broker-dealer or bankAug 15, 2017Feb 28, 2020 (927 d)
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230 moves match.