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 Southwest Investment Advisors, 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 |
|---|---|---|---|---|---|
| Mary Grace Schulz | Southwest Investment Advisors, Inc. independent RIA | LPL Financial LLC independent RIA | RIA to RIA | Oct 26, 2018 | Jun 18, 2018 |
| Charles Richard Dunn | Southwest Investment Advisors, Inc. independent RIA | First Allied Advisory Services, Inc. other | Other | Mar 17, 2014 | Jan 2, 2014 |
| Bradley James Lineberger | Southwest Investment Advisors, Inc. independent RIA | First Allied Advisory Services, Inc. other | Other | Jul 10, 2012 | Jul 10, 2012 |
| Sheryl Ann Hall | Southwest Investment Advisors, Inc. independent RIA | First Allied Securities, Inc. other | Other | Nov 19, 2010 | Mar 31, 2010 |
| Roger Kent Stubbs | Southwest Investment Advisors, Inc. independent RIA | Wells Fargo Advisors wirehouse | RIA to wirehouse | Nov 23, 2009 | Sep 11, 2009 |
| Roger Kent Stubbs | Southwest Investment Advisors, Inc. independent RIA | First Allied Securities, Inc. other | Other | Dec 31, 2005 | Oct 20, 2005 |
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6 moves match.