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 Western Growers Financial Services
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 |
|---|---|---|---|---|---|
| Christopher Oerman | Western Growers Financial Services state registered | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Apr 2, 2020 | Sep 25, 2020 (176 d) |
| Abhay Nikhil Kothari | Western Growers Financial Services state registered | Morgan Stanley wirehouse | Other | Sep 30, 2015 | Dec 8, 2015 (69 d) |
| Helen Sarah Seestadt | Western Growers Financial Services state registered | Nfp Advisor Services, LLC other | Other | Nov 22, 2011 | Jun 23, 2015 (1309 d) |
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3 moves match.