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
Betsy Lou Whipple
Feed of 09/14/2026
At current firm
2 y
since Jun 14, 2024
In the industry
30 y
since Mar 4, 1996 (earliest exam, job or registration)
Prior registered firms
9
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Osaic Wealth, Inc. BD affiliated currentsince Jun 14, 2024 · Hiko, Nv
- Securities America Advisors, Inc. formerMay 20, 2024 to Jun 14, 2024 · Hiko, Nv
- Nfsg Corporation BD affiliatedMar 28, 2018 to May 16, 2024 · Hiko, Nv
- Msh Capital Advisors LLC independent RIAJan 12, 2018 to Mar 20, 2018 · Hiko, Nv
- Greenleaf Financial Network, LLC independent RIAFeb 2, 2017 to Jan 17, 2018 · Hiko, Nv
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseSep 26, 2011 to Dec 22, 2016 · Las Vegas, Nv
- Morgan Stanley wirehouseJun 1, 2009 to Sep 29, 2011 · Las Vegas, Nv
- Morgan Stanley & Co. LLC unclassifiedApr 2, 2007 to Jun 1, 2009 · Las Vegas, Nv
- Morgan Stanley Dw Inc. unclassifiedMar 15, 2006 to Apr 2, 2007 · Las Vegas, Nv
- J.P. Morgan Securities LLC wirehouseAug 3, 1999 to Feb 23, 2006 · Los Angeles, Ca
Moves
a registration end followed by a registration begin elsewhere
- Securities America Advisors, Inc. to Osaic Wealth, Inc.left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- Nfsg Corporation to Securities America Advisors, Inc.left May 16, 2024, registered May 20, 2024 (4 days) · Affiliated broker-dealer or bank to another
- Msh Capital Advisors LLC to Nfsg Corporationleft Mar 20, 2018, registered Mar 28, 2018 (8 days) · Other
- Greenleaf Financial Network, LLC to Msh Capital Advisors LLCleft Jan 17, 2018, registered Jan 12, 2018 (-5 days) · RIA to RIA
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Greenleaf Financial Network, LLCleft Dec 22, 2016, registered Feb 2, 2017 (42 days) · Wirehouse to independent RIA
- Morgan Stanley to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft Sep 29, 2011, registered Sep 26, 2011 (-3 days) · Wirehouse to wirehouse
- Morgan Stanley & Co. LLC to Morgan Stanleyleft Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- Morgan Stanley Dw Inc. to Morgan Stanley & Co. LLCleft Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- J.P. Morgan Securities LLC to Morgan Stanley Dw Inc.left Feb 23, 2006, registered Mar 15, 2006 (20 days) · Other
Signals
- Betsy Lou Whipple left Nfsg Corporation for Securities America Advisors, Inc. (registered 2024-05-20)May 16, 2024 · 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address