DFX Intelligence
Signals
Dated events with a sourceHow events are datedEvery event names how it is dated: a filing date, a registration date or a roster snapshot.Facts are what a form says; derived events compare two filings; inferences (a control person absent from the next Schedule A) are labelled as such. None of these is a prediction.
325,240 events
- Minh Leung registered again as an investment adviser representative at Citigroup Global Markets Inc. after a 7-day gap (last registration ended 2026-09-14)
- Quinn Ashburne Crothers registered again as an investment adviser representative at Morgan Stanley after a 10-day gap (last registration ended 2026-09-11)
- Robert D. Mckernan registered as an investment adviser representative at J.P. Morgan Securities LLC
- Randolph Adams registered again as an investment adviser representative at Advice And Planning Services after a 32-day gap (last registration ended 2026-08-20)
- Zachary Schuler registered as an investment adviser representative at UBS Financial Services Inc.
- Jared Forbes Huston registered as an investment adviser representative at Primerica Advisors
- Jackson Matthew Denue registered again as an investment adviser representative at Advice And Planning Services after a 40-day gap (last registration ended 2026-08-12)
- Rigby Scott Peckham registered as an investment adviser representative at UBS Financial Services Inc.
- Joel R Carlson registered as an investment adviser representative at Ameriprise Financial Services, LLC
- Alisa Marie Napier registered again as an investment adviser representative at Ameriprise Financial Services, LLC after a 59-day gap (last registration ended 2026-07-24)
- Caleb Holloway registered as an investment adviser representative at State Farm Investment Management Corp.
- Vincent Anthony Abbatiello registered again as an investment adviser representative at Fisher Investments after a 2-day gap (last registration ended 2026-09-19)
- Jesse G. Bradley registered again as an investment adviser representative at Trajan Wealth, L.L.C. after a 138-day gap (last registration ended 2026-05-06)
- Danielle Louise Littlefield registered again as an investment adviser representative at Raymond James Financial Services Advisors, Inc after a 122-day gap (last registration ended 2026-05-22)
- Joshua T Mocilan registered again as an investment adviser representative at Fisher Investments after a 6-day gap (last registration ended 2026-09-15)
- Muhammad David Sobki registered again as an investment adviser representative at T. Rowe Price Advisory Services, Inc. after a 20-day gap (last registration ended 2026-09-01)
- Thomas Seay Kluttz registered again as an investment adviser representative at Analog Capital Partners LLC after a 129-day gap (last registration ended 2026-05-15)
- Jon Tyler Rucker registered again as an investment adviser representative at Eagle Strategies LLC after a 215-day gap (last registration ended 2026-02-18)
- Ufuk Ince registered again as an investment adviser representative at Robertson Stephens after a 109-day gap (last registration ended 2026-06-04)
- Jeffery Robert Leaf registered again as an investment adviser representative at Merrill Lynch, Pierce, Fenner & Smith Incorporated after a 5-day gap (last registration ended 2026-09-16)
- Brendan Goho Berents registered as an investment adviser representative at Cambridge Investment Research Advisors, Inc.
- Jerry Raymond Gunn added a TX registration at Wells Fargo Advisors
- Diana Suzanne Kliche registered again as an investment adviser representative at Investlinc Wealth Services after a 4310-day gap (last registration ended 2014-12-03)
- Thomas Decourcy registered again as an investment adviser representative at Morgan Stanley after a 21-day gap (last registration ended 2026-08-31)
- Richard J Lepard registered as an investment adviser representative at Primerica Advisors
- Carron Flinter registered as an investment adviser representative at Wells Fargo Advisors
- Thomas Joseph Lakatos registered again as an investment adviser representative at Daybright Advisory Services, Inc. after a 238-day gap (last registration ended 2026-01-26)
- Jay Travis Krause registered again as an investment adviser representative at Creative Planning after a 39-day gap (last registration ended 2026-08-13)
- Benjamin Anolik registered again as an investment adviser representative at Oneseven after a 49-day gap (last registration ended 2026-08-03)
- Charles Edward Ely Helme registered again as an investment adviser representative at BH Asset Management, LLC after a 264-day gap (last registration ended 2025-12-31)
- Patrick Jones registered as an investment adviser representative at Empower Advisory Group, LLC
- Jaclyn Kathleen Mcguire registered as an investment adviser representative at Independent Financial Group, LLC
- Gavyn R Mayer registered as an investment adviser representative at T. Rowe Price Advisory Services, Inc.
- Dong Choe registered as an investment adviser representative at Rkl Private Wealth
- Gabriel Garcia Baptista registered as an investment adviser representative at Merrill Lynch, Pierce, Fenner & Smith Incorporated
- Benjamin Thomas Manzo registered again as an investment adviser representative at Citigroup Global Markets Inc. after a 88-day gap (last registration ended 2026-06-25)
- Ariadna P Baute Paz registered as an investment adviser representative at Valic Financial Advisors, Inc.
- Neal Bowker Corson left the IAPD roster (last listed at 282459 on the 2026-09-21 feed; most such exits are a gap before a new registration)
- Shane Morgan Frye left the IAPD roster (last listed at Edward Jones on the 2026-09-21 feed; most such exits are a gap before a new registration)
- Jordan Hawley left the IAPD roster (last listed at J.P. Morgan Securities LLC on the 2026-09-21 feed; most such exits are a gap before a new registration)
- Ryan Kemp left the IAPD roster (last listed at Ameriprise Financial Services, LLC on the 2026-09-21 feed; most such exits are a gap before a new registration)
- Charles Christian Mccants left the IAPD roster (last listed at Aggregate Financial Services, Inc. on the 2026-09-21 feed; most such exits are a gap before a new registration)
- Albert Elorm Akpaloo left the IAPD roster (last listed at LPL Enterprise, LLC on the 2026-09-21 feed; most such exits are a gap before a new registration)
- Christopher B Lamm left the IAPD roster (last listed at Morgan Stanley on the 2026-09-21 feed; most such exits are a gap before a new registration)
- Scott Collins left the IAPD roster (last listed at Paul Winkler, Inc. on the 2026-09-21 feed; most such exits are a gap before a new registration)
- Tj Anthony Binkowski left the IAPD roster (last listed at Narrow Road Asset Management on the 2026-09-21 feed; most such exits are a gap before a new registration)
- Curry C Hartman left the IAPD roster (last listed at Morgan Stanley on the 2026-09-21 feed; most such exits are a gap before a new registration)
- Valeria Luna Vazquez left the IAPD roster (last listed at Merrill Lynch, Pierce, Fenner & Smith Incorporated on the 2026-09-21 feed; most such exits are a gap before a new registration)
- Avanti Deon left the IAPD roster (last listed at Northwestern Mutual Investment Services,Llc on the 2026-09-21 feed; most such exits are a gap before a new registration)
- William Francis Schaeneman left the IAPD roster (last listed at Key Investment Services LLC on the 2026-09-21 feed; most such exits are a gap before a new registration)
- Vinya Muso left the IAPD roster (last listed at Raymond James Financial Services Advisors, Inc on the 2026-09-21 feed; most such exits are a gap before a new registration)
- Angela Faridnia left the IAPD roster (last listed at World Investment Advisors, LLC on the 2026-09-21 feed; most such exits are a gap before a new registration)
- Ryan Alan Miller left the IAPD roster (last listed at Operose Advisors LLC on the 2026-09-21 feed; most such exits are a gap before a new registration)
- Jaymie L Chmil left the IAPD roster (last listed at Edward Jones on the 2026-09-21 feed; most such exits are a gap before a new registration)
- Richard Arthur Shively left the IAPD roster (last listed at Allstate Financial Advisors, LLC on the 2026-09-21 feed; most such exits are a gap before a new registration)
- Michael James Strong left the IAPD roster (last listed at Wealth Watch Advisors, Inc on the 2026-09-21 feed; most such exits are a gap before a new registration)
- Lacey C Gibson left the IAPD roster (last listed at Principal Securities, Inc. on the 2026-09-21 feed; most such exits are a gap before a new registration)
- Richard John Larsen left the IAPD roster (last listed at Strategic Advisers LLC on the 2026-09-21 feed; most such exits are a gap before a new registration)
- Phillip Lance Kohler left the IAPD roster (last listed at Wealth Foundations Partners, LLC on the 2026-09-21 feed; most such exits are a gap before a new registration)
- Dmitriy G Stepanov left the IAPD roster (last listed at Raymond James & Associates, Inc. on the 2026-09-21 feed; most such exits are a gap before a new registration)