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

Departures from Confluence Wealth Management 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.

AdvisorFromToTypeLeftRegistered
Joshua Quinn CepedaConfluence Wealth Management LLC independent RIABuckingham Strategic Wealth, LLC independent RIARIA to RIADec 23, 2020Dec 23, 2020
Waiyee Carmen WongConfluence Wealth Management LLC independent RIABuckingham Strategic Wealth, LLC independent RIARIA to RIADec 23, 2020Dec 23, 2020
Katherine Jane PhillipsConfluence Wealth Management LLC independent RIAOsaic Fa, Inc. BD affiliatedRIA to affiliated broker-dealer or bankDec 23, 2020Dec 7, 2020
Travis Allen HarperConfluence Wealth Management LLC independent RIABuckingham Strategic Wealth, LLC independent RIARIA to RIADec 23, 2020Dec 23, 2020
Ryan Thomas BerningConfluence Wealth Management LLC independent RIABuckingham Strategic Wealth, LLC independent RIARIA to RIADec 23, 2020Dec 23, 2020
Heidi Marie GoertzenConfluence Wealth Management LLC independent RIABecker Capital Management, Inc. independent RIARIA to RIAFeb 18, 2019Mar 21, 2019 (31 d)
Glen Jonathan GolandConfluence Wealth Management LLC otherArnerich Massena, Inc. otherOtherFeb 7, 2017Mar 21, 2017 (42 d)
Kenneth Joseph MelotteConfluence Wealth Management LLC otherMelotte Financial Advisors state registeredOtherNov 30, 2016Dec 15, 2016
Christopher Kyle WinnConfluence Wealth Management LLC otherInteractive Wealth Advisors state registeredOtherJun 19, 2013Jun 7, 2013
Philip Neil SchmittConfluence Wealth Management LLC otherThe Investment Counsel Company otherOtherMay 15, 2013May 14, 2013
Erik Fletcher MillerConfluence Wealth Management LLC otherInteractive Wealth Advisors state registeredOtherJan 23, 2013Jul 29, 2021 (3109 d)
Ember Ellis MartinConfluence Wealth Management LLC otherVested Wealth Advisors otherOtherNov 15, 2010Oct 4, 2012 (689 d)
John Christian RaafConfluence Wealth Management LLC otherRaaf Investment Advisors, LLC state registeredOtherOct 6, 2010Jan 21, 2011 (107 d)
David John ReichleConfluence Wealth Management LLC otherArnerich Massena, Inc. otherOtherJun 2, 2009Jul 20, 2010 (413 d)
Chingyee Ellen KimConfluence Wealth Management LLC otherRain Capital Management otherOtherJan 28, 2008Jul 18, 2013 (1998 d)
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15 moves match.