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 The Wharton Advisory Group, 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
David Louis FitzgeraldThe Wharton Advisory Group, LLC independent RIAClearview Financial Partners no RAUMOtherDec 6, 2018Sep 25, 2017
Mark G ComynsThe Wharton Advisory Group, LLC independent RIAFsc Securities Corporation otherOtherJul 19, 2018Dec 14, 2007
Jeffrey Mitchell FactorThe Wharton Advisory Group, LLC independent RIAFsc Securities Corporation otherOtherJul 5, 2018Jul 21, 2008
Winfield Ross YoungThe Wharton Advisory Group, LLC independent RIALPL Financial LLC otherOtherJul 5, 2018Aug 24, 2017
Steven Richard MontgomeryThe Wharton Advisory Group, LLC independent RIAClearview Financial Partners no RAUMOtherJul 5, 2018May 3, 2018
Frank Kenneth GrabuskiThe Wharton Advisory Group, LLC independent RIACambridge Investment Research Advisors, Inc. BD affiliatedRIA to affiliated broker-dealer or bankJul 5, 2018Jun 22, 2018
Andrew William FactorThe Wharton Advisory Group, LLC independent RIAClearview Financial Partners no RAUMOtherJul 5, 2018Apr 26, 2018
Markku Taneli HapponenThe Wharton Advisory Group, LLC otherLPL Financial LLC otherOtherNov 24, 2015Jul 23, 2012
Daniel Patrick QuinnThe Wharton Advisory Group, LLC otherOsaic Fa, Inc. otherOtherAug 19, 2010Jan 21, 2011 (155 d)
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9 moves match.