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
- 3 advisors left Commonwealth Financial Network (Tell City, IN) for Kestra Advisory Services, LLC on the same day
- James Mason Waninger left Commonwealth Financial Network for Kestra Advisory Services, LLC (registered 2026-09-15)
- Madeline Dauby left Commonwealth Financial Network for Kestra Advisory Services, LLC (registered 2026-09-15)
- Elizabeth Walston Stokes left Ameriprise Financial Services, LLC for Fathom Advisors LLC (registered 2026-09-17)
- James Kevin Waninger left Commonwealth Financial Network for Kestra Advisory Services, LLC (registered 2026-09-15)
- Elena Grace Dunn registered as an investment adviser representative at Foundry Financial Llc
- Kurtis Anderson added a OR registration at Pfg Advisors
- Mayank Bhanot registered as an investment adviser representative at J.P. Morgan Securities Llc
- Michael Thomas Shanley added a OR registration at Citizens Securities, Inc.
- Laura Verene Lear added a IL registration at Edward Jones
- Amanda Cothran Carroll added a NV registration at State Farm Investment Management Corp.
- Mitchell Jon Fiereck added a NV registration at Mercer Global Advisors Inc.
- Megan Anne Reilly added a NV registration at Columbia Management Investment Advisers, Llc
- Michael Vellucci added a NV registration at M Holdings Securities, Inc.
- John Thomas Mccollum added a OR registration at Park Avenue Securities Llc
- Anthony Lagiglia added a TX registration at J.J. Burns & Company
- John Patrick Wheeker added a OH registration at State Farm Investment Management Corp.
- Kevin William Malloy added a CA registration at Fpf Wealth Llc
- Craig M. Boughey registered as an investment adviser representative at J.P. Morgan Securities Llc
- Richard Roswell Weart registered as an investment adviser representative at King George Capital Mgmt, Inc.
- Tanner Scott Limon registered as an investment adviser representative at Fifth Third Securities, Inc.
- Amelie Brown added a NY registration at Rbc Capital Markets, Llc
- Amelie Brown added a TX registration at Rbc Capital Markets, Llc
- Seth Heimermann's stake in The Advocate Group, LLC moved from 5-10% to 10-25% (2024-02-14 to 2026-09-19)
- Courtney Neben Davis left Schwab Wealth Advisory, Inc. for Edelman Financial Engines (registered 2026-09-21)
- Vincent Anthony Abbatiello left Charles Schwab & CO., Inc. for Fisher Investments (registered 2026-09-21)
- Xiao Dong added a NY registration at Neuberger Berman Bd Llc
- Noah Christian Lee left Schwab Wealth Advisory, Inc. for Voya Financial Advisors, Inc. (registered 2026-07-20)
- Steven Robert Herbst left Charles Schwab & CO., Inc. for Johnson Wealth Inc. (registered 2026-08-18)
- Angus David Ramsay Mclean no longer holds an investment adviser registration (last listed at Charles Schwab & Co., Inc. on the 2026-09-19 feed)
- Carla Cristine Ulrichherring no longer holds an investment adviser registration (last listed at Charles Schwab & Co., Inc. on the 2026-09-19 feed)
- William Scott Parkhurst no longer holds an investment adviser registration (last listed at Commonwealth Financial Network on the 2026-09-19 feed)
- John William Challas no longer holds an investment adviser registration (last listed at Commonwealth Financial Network on the 2026-09-19 feed)
- Barry Howard Cantor no longer holds an investment adviser registration (last listed at Lpl Financial Llc on the 2026-09-19 feed)
- Vincent Anthony Abbatiello no longer holds an investment adviser registration (last listed at Charles Schwab & Co., Inc. on the 2026-09-19 feed)
- Ajmal Hakeemi no longer holds an investment adviser registration (last listed at Schwab Wealth Advisory, Inc. on the 2026-09-19 feed)
- Robert H Gates no longer holds an investment adviser registration (last listed at Gates Wealth Group on the 2026-09-19 feed)
- Jeremy Buhr no longer holds an investment adviser registration (last listed at Charles Schwab & Co., Inc. on the 2026-09-19 feed)
- Diego Domingues De Bulhoes Silva no longer holds an investment adviser registration (last listed at J.P. Morgan Securities Llc on the 2026-09-19 feed)
- Tiffany R. Kuehner no longer holds an investment adviser registration (last listed at J.P. Morgan Securities Llc on the 2026-09-19 feed)
- Samantha Isabel Gomez no longer holds an investment adviser registration (last listed at J.P. Morgan Securities Llc on the 2026-09-19 feed)
- Staci Lynn Price no longer holds an investment adviser registration (last listed at Charles Schwab & Co., Inc. on the 2026-09-19 feed)
- Jorge Rocha no longer holds an investment adviser registration (last listed at J.P. Morgan Securities Llc on the 2026-09-19 feed)
- Joshua Hernandez registered as an investment adviser representative at Expand Financial, Llc
- Giacomo Raymond Manfredini registered as an investment adviser representative at Fmi Financial, Ltd.
- Dana Morgera registered as an investment adviser representative at Bull Oak Capital, Llc
- Kamila Fomin registered as an investment adviser representative at J.P. Morgan Securities Llc
- Sydney Russell registered as an investment adviser representative at J.P. Morgan Securities Llc
- Abigail Malone registered as an investment adviser representative at Wealthspire Advisors
- Andrew Salvador Aldrett registered as an investment adviser representative at Saxon Financial Group
- Kara Daly Sherman registered as an investment adviser representative at Ameriprise Financial Services, Llc
- Amelie Brown registered as an investment adviser representative at Rbc Capital Markets, Llc
- John Charles Zimmerman registered as an investment adviser representative at J.W.Burns & Company, Inc.
- Heather Williamson registered as an investment adviser representative at Strategic Advisers Llc
- Marshall Christopher Caddy registered as an investment adviser representative at Charles Schwab & Co., Inc.
- Soudeh Pazouki registered as an investment adviser representative at Morgan Stanley
- Cristian Ureno registered as an investment adviser representative at Strategic Advisers Llc
- Jenny Hoang registered as an investment adviser representative at J.P. Morgan Securities Llc
- Ryan Diffenbaugh registered as an investment adviser representative at State Farm Investment Management Corp.
- Xiao Dong registered as an investment adviser representative at Neuberger Berman Bd Llc