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 Colliers 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
Seth Norman KahnNorthland Asset Management independent RIAColliers Securities LLC BD affiliatedRIA to affiliated broker-dealer or bankSep 15, 2026Sep 9, 2026
Lucas Albert WhelanCliftonlarsonallen Wealth Advisors, LLC BD affiliatedColliers Securities LLC independent RIAAffiliated broker-dealer or bank to independent RIADec 2, 2022Dec 12, 2022
Kevin William ReillyHilltop Securities Inc. BD affiliatedColliers Securities LLC independent RIAAffiliated broker-dealer or bank to independent RIAFeb 16, 2022Feb 14, 2022
Benjamin SchleicherVerity Asset Management independent RIAColliers Securities LLC independent RIARIA to RIAJul 1, 2021Jul 15, 2021
Nicholas Walker HarrelPruco Securities, LLC BD affiliatedColliers Securities LLC independent RIAAffiliated broker-dealer or bank to independent RIAJun 11, 2021May 17, 2021
Barry Paul OxfordD.A. Davidson & Co. independent RIAColliers Securities LLC independent RIARIA to RIAJun 25, 2020Jun 16, 2022 (721 d)
Susan Michelle BenedictWoodbury Financial Services, Inc. BD affiliatedColliers Securities LLC otherOtherDec 22, 2017Dec 22, 2017
Neil A. D. Bonneson BruceWells Fargo Advisors wirehouseColliers Securities LLC otherOtherJul 21, 2016Jul 15, 2016
Dennis Michael MartinWells Fargo Advisors wirehouseColliers Securities LLC otherOtherSep 29, 2014Oct 14, 2014
Alan Joseph MillerWells Fargo Advisors wirehouseColliers Securities LLC otherOtherSep 29, 2014Sep 26, 2014
Kyle Francis JavesPiper Jaffray Investment Management, LLC otherColliers Securities LLC otherOtherDec 31, 2013Oct 31, 2014 (304 d)
Thomas Paul HacklMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseColliers Securities LLC otherOtherApr 8, 2013Jun 14, 2013 (67 d)
Chad Quentin QuammeUBS Financial Services Inc. wirehouseColliers Securities LLC otherOtherJan 13, 2012Jan 9, 2012
Tobin Jay MorrisNorthland Asset Management otherColliers Securities LLC otherOtherDec 12, 2011Dec 19, 2011
Seth A JacksonWells Fargo Advisors wirehouseColliers Securities LLC otherOtherOct 5, 2011Oct 3, 2011
Kimberly Dashe JergerWells Fargo Investments, LLC unclassifiedColliers Securities LLC otherOtherDec 22, 2010Jan 11, 2011
Mark Kenneth JohnsonCetera Investment Services LLC otherColliers Securities LLC otherOtherDec 9, 2010Dec 13, 2010
Thomas Clinton BeadnellWells Fargo Advisors wirehouseColliers Securities LLC otherOtherAug 3, 2010Sep 2, 2010
Nancy Ann LinnemanWells Fargo Advisors wirehouseColliers Securities LLC otherOtherAug 3, 2010Sep 2, 2010
Brian John HeijermanRBC Capital Markets, LLC national BDColliers Securities LLC otherOtherMay 20, 2010Jan 31, 2014 (1352 d)
Gary Brian JohnsonWells Fargo Advisors wirehouseColliers Securities LLC otherOtherNov 30, 2009Nov 30, 2009
William Curtis OgdahlUBS Financial Services Inc. wirehouseColliers Securities LLC otherOtherNov 19, 2009Oct 29, 2009
Anthony Francis RickerRBC Capital Markets, LLC national BDColliers Securities LLC otherOtherSep 23, 2005Sep 24, 2007 (731 d)
Kimberly Ann BeckmanRaymond James Financial Services, Inc. unclassifiedColliers Securities LLC otherOtherOct 6, 2004Oct 23, 2004
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24 moves match.