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 Fa, 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 |
|---|---|---|---|---|---|
| Claire Gracie | J.P. Morgan Securities LLC wirehouse | Osaic Fa, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 26, 2024 | Nov 8, 2024 |
| Brian Morton | Seia BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 4, 2024 | Sep 20, 2024 |
| Francesca Milde | Ameriprise Financial Services, LLC national BD | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 27, 2024 | Sep 10, 2024 |
| Madison Rae Smith | MML Investors Services, LLC BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 19, 2024 | Jul 30, 2024 |
| Anthony Vito Berardi | Ameriprise Financial Services, LLC national BD | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 1, 2024 | Jun 28, 2024 |
| Brandon Walter Stukus | Kestra Advisory Services, LLC BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 30, 2024 | Jul 19, 2024 (50 d) |
| Andrew C Gallik | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Osaic Fa, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 28, 2024 | Aug 13, 2024 (77 d) |
| Steven William Moore | LPL Financial LLC BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 17, 2024 | Apr 1, 2024 |
| Evelyn Zuk | Northwestern Mutual Investment Services,LLC no RAUM | Osaic Fa, Inc. BD affiliated | Other | Mar 26, 2024 | Jun 14, 2024 (80 d) |
| Steven David Filo | Valic Financial Advisors, Inc. BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 29, 2024 | Feb 12, 2024 |
| Ryan Blane Pollard | Valic Financial Advisors, Inc. BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 7, 2024 | Jan 25, 2024 |
| Seamus Joseph Whalen | J.P. Morgan Securities LLC wirehouse | Osaic Fa, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 13, 2023 | Dec 7, 2023 |
| Peter M. Mcmahon | J.P. Morgan Securities LLC wirehouse | Osaic Fa, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 7, 2023 | Dec 14, 2023 |
| Yekaterina Teryokhina | Goldman Sachs Wealth Services, L.P. BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 1, 2023 | Jul 19, 2024 (231 d) |
| Ancle Ray Evans | First Command Advisory Services BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 30, 2023 | Oct 31, 2023 |
| John Christian Fink | Horace Mann Investors, Inc. no RAUM | Osaic Fa, Inc. BD affiliated | Other | Nov 30, 2023 | Nov 28, 2023 |
| Sarah Jane Forhan | Valic Financial Advisors, Inc. BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 21, 2023 | Oct 27, 2023 |
| Edward William Mcbride | Valic Financial Advisors, Inc. BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 15, 2023 | Oct 30, 2023 |
| Adam Michael Greenspan | Valic Financial Advisors, Inc. BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 15, 2023 | Oct 27, 2023 |
| Colin Dennis Hatchard | Valic Financial Advisors, Inc. BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 15, 2023 | Oct 27, 2023 |
| Ryan J Thomas | Morgan Stanley wirehouse | Osaic Fa, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Nov 8, 2023 | Oct 31, 2023 |
| Benjamin Pruitt Melton | Pnc Wealth Management BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 26, 2023 | Oct 23, 2023 |
| John Gordon Christian | Truist Advisory Services, Inc. BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 12, 2023 | Dec 6, 2023 (55 d) |
| Matthew David Emerson | American Community Wealth Management, LLC other | Osaic Fa, Inc. BD affiliated | Other | Oct 12, 2023 | Oct 13, 2023 |
| Adam Johnson Hewat | Valic Financial Advisors, Inc. BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 5, 2023 | Sep 15, 2023 |
| Timothy Alexander Dean | J.P. Morgan Securities LLC wirehouse | Osaic Fa, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 9, 2023 | Sep 8, 2023 |
| Julie Ann Belles | Principal Securities, Inc. BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 5, 2023 | Sep 11, 2023 |
| Adam Heath Wilson | LPL Financial LLC BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 24, 2023 | Aug 17, 2023 |
| Brandi J Ames | Pruco Securities, LLC BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 21, 2023 | Oct 5, 2023 (45 d) |
| Nelson Eddie Newton | Geiger Wealth Management state registered | Osaic Fa, Inc. BD affiliated | Other | Aug 9, 2023 | Nov 29, 2019 |
| Jason Robert Pokorny | Wells Fargo Advisors wirehouse | Osaic Fa, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 4, 2023 | Sep 1, 2023 |
| Brandon Cawley | Campbell Wealth Management, Inc. independent RIA | Osaic Fa, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Aug 4, 2023 | Mar 8, 2024 (217 d) |
| Lydia Paige Smith | Fidelity Personal And Workplace Advisors BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 28, 2023 | Aug 21, 2023 |
| Patrick Hoffman | Equitable Advisors, LLC national BD | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 24, 2023 | Oct 3, 2023 (71 d) |
| Elisabeth Marie Collins | Janney Montgomery Scott LLC BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 18, 2023 | Apr 29, 2024 (286 d) |
| Emrich Martin Stellar | MML Investors Services, LLC BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 7, 2023 | Jul 5, 2023 |
| Charles Wren Wolfe | First Command Advisory Services BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 27, 2023 | May 25, 2023 |
| James Langford Spies | MML Investors Services, LLC BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 23, 2023 | Jun 27, 2023 |
| Aaron Plaskas | Park Avenue Securities LLC BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 15, 2023 | Jun 1, 2023 |
| Patrick Conor Mcmullen | Morgan Stanley wirehouse | Osaic Fa, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jun 13, 2023 | Jun 8, 2023 |
| Ryan Witt | LPL Financial LLC BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 26, 2023 | Jun 23, 2023 |
| Kimberly Kay Dale | Woodbury Financial Services, Inc. BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 24, 2023 | Nov 1, 2023 (161 d) |
| Jacklyn Marie Raymonda | UBS Financial Services Inc. wirehouse | Osaic Fa, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 22, 2023 | May 11, 2023 |
| Michael Patrick Cerutti | Neuberger Berman Bd LLC no RAUM | Osaic Fa, Inc. BD affiliated | Other | May 9, 2023 | Mar 8, 2024 (304 d) |
| Cassandra R Beauvais | Avantax Advisory Services BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 14, 2023 | Apr 10, 2023 |
| Robert Nicholas Malone | MML Investors Services, LLC BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 12, 2023 | Apr 21, 2023 |
| Christopher E Janda | Park Avenue Securities LLC BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 31, 2023 | Apr 19, 2023 |
| Thomas Charles Martin | Independent Financial Group, LLC BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 24, 2023 | Mar 27, 2023 |
| Curtiss Tharp | Global Value Investment Corporation independent RIA | Osaic Fa, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Mar 6, 2023 | May 23, 2023 (78 d) |
| William Jay Norberg | Wells Fargo Advisors wirehouse | Osaic Fa, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Mar 2, 2023 | Feb 17, 2023 |
| Corbett Atwell Mckinney | Wildes Financial Strategies, Inc independent RIA | Osaic Fa, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Mar 1, 2023 | Oct 8, 2024 (587 d) |
| Emily Faulkner | Heritage Wealth Management, LLC independent RIA | Osaic Fa, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Feb 10, 2023 | Jan 10, 2024 (334 d) |
| Steven Jay Rosenstock | Valic Financial Advisors, Inc. BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 6, 2023 | Jan 26, 2023 |
| Hector Leonardo Nava-Castanon | Missionsquare Retirement institutional | Osaic Fa, Inc. BD affiliated | Other | Jan 31, 2023 | Feb 22, 2023 |
| Richard Kelly Sutor | Wells Fargo Advisors wirehouse | Osaic Fa, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 25, 2023 | Jan 6, 2023 |
| Sergio Daniel Rodriguez | Cornerstone Advisors Asset Management, LLC other | Osaic Fa, Inc. BD affiliated | Other | Jan 23, 2023 | Jan 23, 2023 |
| Stanley Michael Robbins | Wells Fargo Advisors wirehouse | Osaic Fa, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 22, 2022 | Dec 20, 2022 |
| Stefan Edwin Andrews | First Command Advisory Services BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 21, 2022 | Dec 19, 2022 |
| Joseph John Dankowski | Park Avenue Securities LLC BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 8, 2022 | Nov 18, 2022 |
| Alexis Quaglieri | Eagle Strategies LLC BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 7, 2022 | Nov 28, 2022 |
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972 moves match.