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 Independent Financial Group, 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.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Bruno Peraza | Cetera Investment Advisers LLC BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 3, 2026 | Sep 1, 2026 |
| John Brian Franklin | Principal Securities, Inc. BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 1, 2026 | Sep 4, 2026 |
| Jack George | Cetera Investment Advisers LLC BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 5, 2026 | Aug 20, 2026 |
| James John Dinapoli | Osaic Wealth, Inc. BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 22, 2026 | Jun 10, 2026 |
| John S Foster | Park Avenue Securities LLC BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 22, 2026 | Jun 18, 2026 |
| Maryjo Morello | Stratos Wealth Partners, Ltd BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 8, 2026 | Mar 27, 2026 |
| Craig William Venard | Osaic Wealth, Inc. BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 6, 2026 | Apr 1, 2026 |
| Gregory Robert Bersch | Osaic Wealth, Inc. BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 6, 2026 | Apr 3, 2026 |
| John Eric Hoemeyer | Osaic Wealth, Inc. BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 6, 2026 | Mar 30, 2026 |
| Ronald Lane Martin | Osaic Wealth, Inc. BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 6, 2026 | Mar 19, 2026 |
| John M Hoemeyer | Osaic Wealth, Inc. BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 6, 2026 | Mar 30, 2026 |
| Joshua William Levitus | Osaic Wealth, Inc. BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 1, 2026 | Apr 2, 2026 |
| Parker F Spencer | LPL Financial LLC BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 31, 2026 | Mar 18, 2026 |
| Paula A Strumbly | Stratos Wealth Partners, Ltd BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 30, 2026 | Mar 27, 2026 |
| Tameika M Thomas | Osaic Wealth, Inc. BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 20, 2026 | Mar 18, 2026 |
| Aaron Matthew Buck | Patriot Investment Management Group Inc independent RIA | Independent Financial Group, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Mar 5, 2026 | Jun 2, 2026 (89 d) |
| Jake Christopher O'Banion | Ameritas Advisory Services, LLC BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 20, 2026 | Feb 20, 2026 |
| Sara Elizabeth Rasmussen | Ameritas Advisory Services, LLC BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 20, 2026 | Feb 20, 2026 |
| Chrissy Nguyen | Edward Jones national BD | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 9, 2026 | Feb 9, 2026 |
| Andrew Francis Cashiola | Morgan Stanley wirehouse | Independent Financial Group, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 27, 2026 | Jan 22, 2026 |
| Nathan Keith Sloan | Cetera Investment Advisers LLC BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 14, 2026 | Jan 2, 2026 |
| William F Wagner | Summit Financial, LLC BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 8, 2026 | Jan 8, 2026 |
| Richard Eugene Dwinell | Cetera Investment Advisers LLC BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2025 | Jan 2, 2026 |
| Ben Putman | Spectrum Wealth Management, LLC independent RIA | Independent Financial Group, LLC other | Other | Dec 31, 2025 | Feb 13, 2007 |
| Andres Peterson | 724 Capital, LLC independent RIA | Independent Financial Group, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Dec 31, 2025 | Sep 28, 2022 |
| Hal Lippman | LPL Financial LLC BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 4, 2025 | Dec 2, 2025 |
| Assen Alexandrov Kuklin | Dempsey Lord Smith, LLC independent RIA | Independent Financial Group, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Nov 4, 2025 | Nov 7, 2025 |
| Gloria Faye Makino | Commonwealth Financial Network national BD | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 9, 2025 | Oct 3, 2025 |
| Frances Lev Makino | Commonwealth Financial Network national BD | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 8, 2025 | Oct 3, 2025 |
| Bernard C Makino | Commonwealth Financial Network national BD | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 7, 2025 | Oct 3, 2025 |
| Wai Kee Chan | Morgan Stanley wirehouse | Independent Financial Group, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 30, 2025 | Oct 30, 2025 |
| Ben Thomas Mccollum | X Advisors, LLC independent RIA | Independent Financial Group, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Aug 27, 2025 | Sep 22, 2023 |
| Dena Kate Schwartz | LPL Financial LLC BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 22, 2025 | Aug 6, 2025 |
| Jeremy Wilkins Laub | Cambridge Investment Research Advisors, Inc. BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 16, 2025 | Jul 3, 2025 |
| Anthony Joseph Scola | Osaic Wealth, Inc. BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 24, 2025 | Jul 3, 2025 |
| Evan Peter Kimbro | Stonekimbro independent RIA | Independent Financial Group, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jun 19, 2025 | Jan 8, 2026 (203 d) |
| John Andrew Nabergall | Osaic Wealth, Inc. BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 18, 2025 | Jul 10, 2025 |
| Cristina Stephanie Michel | LPL Financial LLC BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 29, 2025 | May 19, 2025 |
| Conrad Anthony Tarte | Grove Point Advisors, LLC BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 30, 2025 | May 2, 2025 |
| Morrie Wolbrum Reiff | Planned Asset Management independent RIA | Independent Financial Group, LLC other | Other | Apr 29, 2025 | May 4, 2010 |
| Paul Sueyuki Okawa | Planned Asset Management independent RIA | Independent Financial Group, LLC other | Other | Apr 29, 2025 | Apr 28, 2010 |
| Andrew Joseph Fairchild | Nfsg Corporation BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 15, 2025 | Apr 16, 2025 |
| David Michael Mc Corison | Ic Advisory Services, Inc. BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 27, 2025 | Feb 27, 2025 |
| Abbey Dawn Eastham | Realta Investment Advisors, Inc BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 25, 2025 | Feb 20, 2025 |
| Alex Phillip Staggenborg | Riverland Wealth Management state registered | Independent Financial Group, LLC BD affiliated | Other | Feb 25, 2025 | Jun 8, 2026 (468 d) |
| Kevin Michael Keefe | Realta Investment Advisors, Inc BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 14, 2025 | Apr 24, 2025 (69 d) |
| David Heitner | Osaic Wealth, Inc. BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 13, 2025 | Feb 12, 2025 |
| Michael Dominick Boswak | Ic Advisory Services, Inc. BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 3, 2025 | Feb 3, 2025 |
| Gary Gustave Benson | Pash & Benson International Ltd. unclassified | Independent Financial Group, LLC BD affiliated | Other | Jan 21, 2025 | Jul 27, 2022 |
| Gregory Jay Meyer | Pash & Benson International Ltd. unclassified | Independent Financial Group, LLC BD affiliated | Other | Jan 21, 2025 | Jul 27, 2022 |
| Xiaomeng Dai | Wealth Enhancement Advisory Services, LLC BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2024 | Jan 30, 2025 |
| John Kolody | Ic Advisory Services, Inc. BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 18, 2024 | Dec 17, 2024 |
| Sandra Ann Pappalardo | Financial Sense Advisors, Inc. independent RIA | Independent Financial Group, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Nov 21, 2024 | Dec 3, 2024 |
| Marian F Geohegan | Ic Advisory Services, Inc. BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 12, 2024 | Nov 12, 2024 |
| Alyssa Marie Lueck | Cetera Investment Advisers LLC BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 11, 2024 | Nov 7, 2024 |
| Matthew Thomas Marcom | Cetera Investment Advisers LLC BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 7, 2024 | Nov 7, 2024 |
| James Robert Brandt | Osaic Wealth, Inc. BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 5, 2024 | Oct 3, 2024 |
| Gurvinder Kaur Aujla | Avantax Advisory Services BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 20, 2024 | Sep 17, 2024 |
| Nancy Yen Chang | X Advisors, LLC independent RIA | Independent Financial Group, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Sep 19, 2024 | Sep 27, 2021 |
| James Arthur Fratello | Grove Point Advisors, LLC BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 19, 2024 | Oct 17, 2024 |
Page 1 of 12Next
718 moves match.