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 Lwi Financial Inc.
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.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Timothy Paul Hacker | Lwi Financial Inc. BD affiliated | Focus Advisor Solutions, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 8, 2019 | Mar 4, 2026 (2612 d) |
| Maurice Michael Seitter | Lwi Financial Inc. BD affiliated | Transamerica Retirement Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 4, 2019 | Jul 2, 2019 (179 d) |
| Dewayne Ray Nelson | Lwi Financial Inc. BD affiliated | Focus Advisor Solutions, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 3, 2019 | Jan 3, 2019 |
| Angela Marie Stover | Lwi Financial Inc. BD affiliated | Focus Advisor Solutions, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 17, 2018 | Dec 17, 2018 |
| Michael Donald Ozburn | Lwi Financial Inc. BD affiliated | Focus Advisor Solutions, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 17, 2018 | Dec 17, 2018 |
| Frank Alan Romero | Lwi Financial Inc. BD affiliated | Focus Advisor Solutions, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 17, 2018 | Dec 18, 2018 |
| Jorge Andres Galeano | Lwi Financial Inc. BD affiliated | Focus Advisor Solutions, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 17, 2018 | Dec 19, 2023 (1828 d) |
| Benjamin Haag Slater | Lwi Financial Inc. BD affiliated | Focus Advisor Solutions, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 17, 2018 | Dec 17, 2018 |
| Vincent Joseph Crivello | Lwi Financial Inc. BD affiliated | Focus Advisor Solutions, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 14, 2018 | Dec 14, 2018 |
| William Blanchette | Lwi Financial Inc. BD affiliated | Focus Advisor Solutions, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 14, 2018 | Dec 14, 2018 |
| Sean C Brooks | Lwi Financial Inc. BD affiliated | Focus Advisor Solutions, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 14, 2018 | Dec 14, 2018 |
| Roger Richard Rowe | Lwi Financial Inc. BD affiliated | Focus Advisor Solutions, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 13, 2018 | Dec 13, 2018 |
| Eric Jason Kohlmeister | Lwi Financial Inc. BD affiliated | Focus Advisor Solutions, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 13, 2018 | Dec 13, 2018 |
| Jonathan Joseph Scheid | Lwi Financial Inc. BD affiliated | Focus Advisor Solutions, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 13, 2018 | Dec 13, 2018 |
| Sheldon Patrick Mcfarland | Lwi Financial Inc. BD affiliated | Focus Advisor Solutions, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 13, 2018 | Dec 13, 2018 |
| Nishant K Pandya | Lwi Financial Inc. BD affiliated | Focus Advisor Solutions, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 13, 2018 | Dec 13, 2018 |
| Thuy Tran | Lwi Financial Inc. BD affiliated | Focus Advisor Solutions, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 13, 2018 | Dec 13, 2018 |
| Seng Veun Saechao | Lwi Financial Inc. BD affiliated | Focus Advisor Solutions, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 13, 2018 | Dec 13, 2018 |
| Jeremy Dean Miller | Lwi Financial Inc. BD affiliated | Focus Advisor Solutions, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 13, 2018 | Dec 13, 2018 |
| Alicia Temmerman Mchugh | Lwi Financial Inc. BD affiliated | Focus Advisor Solutions, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 13, 2018 | Dec 13, 2018 |
| Katlyn Anne Nielson | Lwi Financial Inc. BD affiliated | Focus Advisor Solutions, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 13, 2018 | Dec 13, 2018 |
| David N Hanna | Lwi Financial Inc. BD affiliated | Focus Advisor Solutions, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 13, 2018 | Jan 9, 2025 (2219 d) |
| Rachael Leah Decosta | Lwi Financial Inc. BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 1, 2018 | Oct 14, 2020 (805 d) |
| Carl Scott Lamb | Lwi Financial Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 4, 2018 | Jun 28, 2018 |
| Jerrod Foster | Lwi Financial Inc. BD affiliated | Assetmark, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 2, 2018 | Aug 29, 2018 (119 d) |
| Matthew J Carvalho | Lwi Financial Inc. BD affiliated | Cardinal Point Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 16, 2018 | May 30, 2018 (44 d) |
| Mark Rudd Fonville | Lwi Financial Inc. BD affiliated | Covenant Wealth Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 9, 2018 | Apr 13, 2018 |
| Kyle David Felske | Lwi Financial Inc. other | Hightower Advisors, LLC BD affiliated | Other | Nov 6, 2017 | Jan 1, 2025 (2613 d) |
| Meredith Christian Broderick | Lwi Financial Inc. other | Dimensional Fund Advisors LP asset manager | Other | Jul 11, 2017 | Aug 12, 2022 (1858 d) |
| Richard Weber Gates | Lwi Financial Inc. other | LPL Financial LLC other | Other | Jan 6, 2017 | Jan 6, 2017 |
| Michael David Demko | Lwi Financial Inc. other | Allworth Financial, L.P. independent RIA | Other | Jan 3, 2017 | Oct 1, 2019 (1001 d) |
| Alan Bruce Werba | Lwi Financial Inc. other | Werba Rubin Papier Wealth Management, LLC other | Other | Dec 8, 2016 | Jan 20, 2012 |
| Bryce Putnam Heringer | Lwi Financial Inc. other | Mariner Advisor Network independent RIA | Other | Nov 3, 2016 | Jun 5, 2018 (579 d) |
| Katrina Larisa Peck | Lwi Financial Inc. other | Bancwest Investment Services, Inc. (Bwis) BD affiliated | Other | May 26, 2016 | May 13, 2019 (1082 d) |
| David Joel Burson | Lwi Financial Inc. other | Voya Financial Advisors, Inc. other | Other | Apr 22, 2016 | Jan 9, 2017 (262 d) |
| Sabrina Rosh | Lwi Financial Inc. other | Brighton Jones LLC other | Other | Apr 4, 2016 | Apr 22, 2016 |
| John Chistopher Emig | Lwi Financial Inc. other | Ascensus Financial Services, LLC. unclassified | Other | Sep 14, 2012 | Feb 8, 2013 (147 d) |
| John Peter Schmick | Lwi Financial Inc. other | Monea Investments, LLC unclassified | Other | Dec 20, 2011 | Oct 16, 2013 (666 d) |
| Barry Reynolds Jenkins | Lwi Financial Inc. other | Ashworth Wealth, LLC other | Other | Jun 1, 2011 | Aug 7, 2012 (433 d) |
| Michael David Demko | Lwi Financial Inc. other | Siena Wealth Management, Inc. other | Other | Dec 31, 2010 | May 21, 2008 |
| Mark William Kalinowsky | Lwi Financial Inc. other | Kalinowsky Asset Management other | Other | Dec 31, 2010 | May 15, 2013 (866 d) |
| Diana Gayle Dorn | Lwi Financial Inc. other | Stifel, Nicolaus & Company, Incorporated national BD | Other | Dec 22, 2010 | Jan 3, 2011 |
| Randolph Charles Hardy | Lwi Financial Inc. other | Factor Wealth Management other | Other | Jul 31, 2009 | Sep 3, 2009 (34 d) |
| Amado Quiroz Rivera | Lwi Financial Inc. other | Waddell & Reed other | Other | May 8, 2009 | Jun 5, 2009 |
| Lana K Bergstein | Lwi Financial Inc. other | Dimensional Fund Advisors LP other | Other | Dec 24, 2008 | Aug 26, 2009 (245 d) |
| Mindy Beth Tankel | Lwi Financial Inc. other | Provizio Global Advisors, Inc. no RAUM | Other | Feb 1, 2008 | Jan 31, 2013 (1826 d) |
| Kristine Marie Wallington | Lwi Financial Inc. other | The Wealth Collaborative, Inc. other | Other | Dec 31, 2007 | Apr 23, 2008 (114 d) |
| Mary Elizabeth Mccraw | Lwi Financial Inc. other | The Wealth Collaborative, Inc. other | Other | Dec 31, 2007 | Feb 8, 2007 |
| Seok Jo | Lwi Financial Inc. other | The Wealth Collaborative, Inc. other | Other | Oct 2, 2007 | Feb 14, 2007 |
| Jeffrey Byron Wheeler | Lwi Financial Inc. other | The Wealth Collaborative, Inc. other | Other | Oct 2, 2007 | Feb 8, 2007 |
| Douglas Anthony Jankowski | Lwi Financial Inc. other | Greenberg Graham Advisors LLC other | Other | Feb 5, 2007 | Mar 9, 2016 (3320 d) |
| Mark Allen Stancato | Lwi Financial Inc. other | Brooklyn Fi, LLC independent RIA | Other | Sep 29, 2006 | Dec 7, 2021 (5548 d) |
| Meredith Christian Broderick | Lwi Financial Inc. other | Bellatore Financial, Inc. other | Other | Jul 25, 2006 | Nov 1, 2007 (464 d) |
| Chi Fang Wu | Lwi Financial Inc. other | Citigroup Global Markets Inc. other | Other | Nov 15, 2004 | Jul 5, 2006 (597 d) |
| Daniel Clyde Goldie | Lwi Financial Inc. other | Partnervest Advisory Services LLC other | Other | Oct 13, 2003 | Oct 3, 2003 |
| John Schooler Jones | Lwi Financial Inc. other | Jones, John Schooler unclassified | Other | Jun 13, 2003 | Nov 4, 2002 |
Page 1 of 1
56 moves match.