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.
Registered advisor
Carol Ann Bowe
Feed of 09/14/2026
Also filed as Carol Ann Ginocchio
At current firm
3 y
since Jul 7, 2023
In the industry
37 y
since Oct 11, 1988 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- Wealth Enhancement Advisory Services, LLC BD affiliated currentsince Jul 7, 2023 · Plymouth, Mn
- Transamerica Retirement Advisors, LLC BD affiliatedApr 16, 2023 to Jun 30, 2023 · Winter Springs, Fl
- E*Trade Capital Management, LLC formerApr 22, 2020 to Apr 6, 2023 · Arlington, Va
- Janney Montgomery Scott LLC BD affiliatedJan 10, 2017 to Feb 6, 2020 · Ponte Vedra Beach, Fl
- Morgan Stanley wirehouseMay 29, 2013 to Oct 29, 2016 · Ponte Vedra Beach, Fl
- Camarda Wealth Advisory Group independent RIAMay 24, 2012 to Oct 9, 2012 · Fleming Island, Fl
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseFeb 15, 2012 to May 9, 2012 · Jacksonville, Fl
- Waddell & Reed formerNov 7, 2011 to Dec 13, 2011 · Jacksonville, Fl
Moves
a registration end followed by a registration begin elsewhere
- Transamerica Retirement Advisors, LLC to Wealth Enhancement Advisory Services, LLCleft Jun 30, 2023, registered Jul 7, 2023 (7 days) · Affiliated broker-dealer or bank to independent RIA
- E*Trade Capital Management, LLC to Transamerica Retirement Advisors, LLCleft Apr 6, 2023, registered Apr 16, 2023 (10 days) · RIA to affiliated broker-dealer or bank
- Janney Montgomery Scott LLC to E*Trade Capital Management, LLCleft Feb 6, 2020, registered Apr 22, 2020 (76 days) · Affiliated broker-dealer or bank to independent RIA
- Morgan Stanley to Janney Montgomery Scott LLCleft Oct 29, 2016, registered Jan 10, 2017 (73 days) · Other
- Camarda Wealth Advisory Group to Morgan Stanleyleft Oct 9, 2012, registered May 29, 2013 (232 days) · Other
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Camarda Wealth Advisory Groupleft May 9, 2012, registered May 24, 2012 (15 days) · Other
- Waddell & Reed to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft Dec 13, 2011, registered Feb 15, 2012 (64 days) · Other
Signals
- Carol Ann Bowe left Transamerica Retirement Advisors, Llc for Wealth Enhancement Advisory Services, Llc (registered 2023-07-07)Jun 30, 2023 · Advisor changed firm · fact
- Carol Ann Bowe left E*Trade Capital Management, Llc for Transamerica Retirement Advisors, Llc (registered 2023-04-16)Apr 6, 2023 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address