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 Mma Securities LLC

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
Juan David Arbelaez-CaladMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseMma Securities LLC no RAUMOtherJun 29, 2026Jul 22, 2026
Kimberly J WadeUsi Securities, Inc. no RAUMMma Securities LLC no RAUMOtherMay 18, 2026Jun 23, 2026 (36 d)
Kevin Conlon WallaceOnedigital institutionalMma Securities LLC no RAUMOtherApr 6, 2026May 8, 2026 (32 d)
Pedro Alberto ReyesLPL Financial LLC BD affiliatedMma Securities LLC no RAUMOtherApr 3, 2026Apr 7, 2026
Paige Tallette LarsonRetirement And Wealth At Alliant, LLC institutionalMma Securities LLC no RAUMOtherMar 26, 2026May 4, 2026 (39 d)
Sara Katherine KleihauerEdward Jones national BDMma Securities LLC no RAUMOtherFeb 16, 2026Mar 13, 2026
Vincent Timothy KoPrecept Advisory Group LLC institutionalMma Securities LLC no RAUMOtherJan 30, 2026Jan 5, 2026
Linda Kyu-Young BrightPrecept Advisory Group LLC institutionalMma Securities LLC no RAUMOtherJan 30, 2026Jan 5, 2026
Rachel Marie ThomasHantz Financial Services, Inc. independent RIAMma Securities LLC no RAUMOtherJan 16, 2026Feb 5, 2026
Kevin Jenpin ChenPrecept Advisory Group LLC institutionalMma Securities LLC no RAUMOtherJan 14, 2026Jan 8, 2026
Matija FistrovicPrecept Advisory Group LLC institutionalMma Securities LLC no RAUMOtherJan 8, 2026Jan 5, 2026
Bernson Gin Won WongPrecept Advisory Group LLC institutionalMma Securities LLC no RAUMOtherJan 8, 2026Jan 5, 2026
Corey Alan ColemanPrecept Advisory Group LLC institutionalMma Securities LLC no RAUMOtherJan 8, 2026Jan 5, 2026
Johnathan MaPrecept Advisory Group LLC institutionalMma Securities LLC no RAUMOtherJan 8, 2026Jan 5, 2026
Timothy Patrick OhayerDempsey Lord Smith, LLC independent RIAMma Securities LLC no RAUMOtherNov 12, 2025Nov 17, 2025
Matthew Michael FleckMj Retirement institutionalMma Securities LLC no RAUMOtherOct 17, 2025Oct 20, 2025
Brian David StoutConfluence Financial Partners independent RIAMma Securities LLC no RAUMOtherSep 12, 2025Jan 8, 2026 (118 d)
Ras Emerson SmithGlobal Retirement Partners LLC institutionalMma Securities LLC no RAUMOtherSep 10, 2025Sep 24, 2025
Theodore MorrisGoldman Sachs Wealth Services, L.P. BD affiliatedMma Securities LLC no RAUMOtherSep 4, 2025Aug 25, 2025
Pamela D. AppellIht Wealth Management LLC BD affiliatedMma Securities LLC no RAUMOtherJul 11, 2025Jul 1, 2025
Amy BeaucheneMissionsquare Retirement BD affiliatedMma Securities LLC no RAUMOtherJun 17, 2025Mar 31, 2026 (287 d)
Trevor Quang Khai NgoGallagher Fiduciary Advisors, LLC institutionalMma Securities LLC no RAUMOtherJun 16, 2025May 12, 2025
Wade S SchmidtVoya Retirement Advisors, LLC otherMma Securities LLC no RAUMOtherApr 25, 2025Jul 3, 2025 (69 d)
William Thomas GramignaEquitable Advisors, LLC national BDMma Securities LLC no RAUMOtherFeb 28, 2025Mar 20, 2025
Patrick Neil TschetterThe Baldwin Group Wealth Advisors, LLC otherMma Securities LLC no RAUMOtherFeb 3, 2025Mar 3, 2025
Zachary Miller RosenthalSequoia Financial Group, L.L.C. independent RIAMma Securities LLC no RAUMOtherJan 10, 2025Apr 16, 2025 (96 d)
Ellen Margaret DarlingJohn Hancock Personal Financial Services, LLC BD affiliatedMma Securities LLC no RAUMOtherJan 6, 2025Feb 3, 2025
Amira A MartinOnedigital institutionalMma Securities LLC no RAUMOtherJan 2, 2025Jan 17, 2025
Anna Elizabeth KraemerHays Financial Group, LLC institutionalMma Securities LLC no RAUMOtherNov 13, 2024Dec 20, 2023
Anthony Salvatore UrsoEquitable Advisors, LLC national BDMma Securities LLC no RAUMOtherNov 13, 2024Nov 22, 2024
Bradford Clayton JeterRange Advisory, LLC independent RIAMma Securities LLC no RAUMOtherNov 7, 2024Jan 31, 2025 (85 d)
Colby Lee CarpenterCreative Planning independent RIAMma Securities LLC no RAUMOtherNov 7, 2024Nov 26, 2024
Yolanda Michelle GardnerOsaic Wealth, Inc. BD affiliatedMma Securities LLC no RAUMOtherSep 20, 2024Nov 12, 2024 (53 d)
Theresa MilanaStifel, Nicolaus & Company, Incorporated national BDMma Securities LLC no RAUMOtherSep 19, 2024Jul 10, 2026 (659 d)
Khirstine Lumban LesserNewfront Retirement Services, Inc. institutionalMma Securities LLC no RAUMOtherSep 16, 2024May 8, 2025 (234 d)
Marshal Scott ChamplinEdward Jones national BDMma Securities LLC no RAUMOtherAug 28, 2024Dec 10, 2024 (104 d)
Matthew B StewartWealthspire Retirement Advisory institutionalMma Securities LLC no RAUMOtherAug 5, 2024Aug 1, 2024
Adrian R GonzalezTd Private Client Wealth LLC BD affiliatedMma Securities LLC no RAUMOtherMay 24, 2024May 23, 2024
Trevor Gregory BychNationwide Investment Advisors, LLC BD affiliatedMma Securities LLC no RAUMOtherMay 15, 2024Jun 3, 2024
John Richard VanderleeuwLPL Financial LLC BD affiliatedMma Securities LLC no RAUMOtherMay 10, 2024Apr 23, 2024
Jacqueline LearyTd Private Client Wealth LLC BD affiliatedMma Securities LLC no RAUMOtherFeb 23, 2024Mar 27, 2024 (33 d)
Scott Richard WerneckeCommonwealth Financial Network national BDMma Securities LLC no RAUMOtherFeb 22, 2024Mar 8, 2024
Ashley Beth CluleyEmpower Advisory Group, LLC BD affiliatedMma Securities LLC no RAUMOtherJan 29, 2024Feb 20, 2024
Ann Margaret DonnellyMariner BD affiliatedMma Securities LLC no RAUMOtherJan 26, 2024May 6, 2024 (101 d)
James Shannon MorrisUnited Brokerage Services Inc BD affiliatedMma Securities LLC no RAUMOtherDec 15, 2023Dec 20, 2023
Robin Leigh SlaterFirst Citizens Investor Services, Inc. BD affiliatedMma Securities LLC no RAUMOtherSep 11, 2023Oct 24, 2023 (43 d)
Mark MandersonOnedigital institutionalMma Securities LLC no RAUMOtherAug 31, 2023Oct 5, 2023 (35 d)
Diogenis Jorge LeivaTd Private Client Wealth LLC BD affiliatedMma Securities LLC no RAUMOtherAug 4, 2023Aug 14, 2023
Christina Gillies LorangerPrincipal Securities, Inc. BD affiliatedMma Securities LLC no RAUMOtherMay 15, 2023Jun 20, 2023 (36 d)
Nelson David RinehartLPL Financial LLC BD affiliatedMma Securities LLC no RAUMOtherApr 3, 2023Apr 3, 2023
Kathleen Alaina KellyLPL Financial LLC BD affiliatedMma Securities LLC no RAUMOtherApr 3, 2023Apr 3, 2023
Kathryn Elise AlbersLPL Financial LLC BD affiliatedMma Securities LLC no RAUMOtherApr 3, 2023Apr 3, 2023
Timothy Lee SwansonLPL Financial LLC BD affiliatedMma Securities LLC no RAUMOtherApr 3, 2023Apr 3, 2023
Jeremy Raymond BordersLPL Financial LLC BD affiliatedMma Securities LLC no RAUMOtherApr 3, 2023Apr 3, 2023
Jonathan Jacob ConnorsLPL Financial LLC BD affiliatedMma Securities LLC no RAUMOtherApr 3, 2023Apr 3, 2023
Lori Ann StevensonLPL Financial LLC BD affiliatedMma Securities LLC no RAUMOtherApr 3, 2023Apr 3, 2023
Winfred Gideon BoyceLPL Financial LLC BD affiliatedMma Securities LLC no RAUMOtherApr 3, 2023Apr 10, 2023
Andrew Patrick BrayLPL Financial LLC BD affiliatedMma Securities LLC no RAUMOtherApr 3, 2023Apr 3, 2023
Zachary Harrison HullLPL Financial LLC BD affiliatedMma Securities LLC no RAUMOtherApr 3, 2023Apr 3, 2023
Maria Victoria ArabskyjLPL Financial LLC BD affiliatedMma Securities LLC no RAUMOtherApr 3, 2023Apr 3, 2023
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118 moves match.