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 Gwn Securities 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.

AdvisorFromToTypeLeftRegistered
Chet Dylan SchwartzGwn Securities Inc. BD affiliatedPeople'S United Advisors, Inc. mixed wealthAffiliated broker-dealer or bank to independent RIASep 23, 2020Oct 23, 2020
Mark Christopher TrawickGwn Securities Inc. BD affiliatedKovack Advisors, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherAug 25, 2020Sep 4, 2020
Christopher Benton TrawickGwn Securities Inc. BD affiliatedKovack Advisors, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherAug 25, 2020Sep 4, 2020
John L HutchingsGwn Securities Inc. BD affiliatedOnedigital institutionalOtherJul 31, 2020Aug 3, 2020
Fritjof SteiGwn Securities Inc. BD affiliatedFidelity Personal And Workplace Advisors BD affiliatedAffiliated broker-dealer or bank to anotherJun 29, 2020Oct 29, 2021 (487 d)
Kurt W LykinsGwn Securities Inc. BD affiliatedAmeriprise Financial Services, LLC national BDAffiliated broker-dealer or bank to anotherJun 2, 2020Oct 8, 2020 (128 d)
Darwin Junior DeesGwn Securities Inc. BD affiliatedCape Investment Advisory, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAMay 12, 2020Jun 3, 2020
Ralston Phillip BilliotGwn Securities Inc. BD affiliatedFidelity Personal And Workplace Advisors BD affiliatedAffiliated broker-dealer or bank to anotherMar 6, 2020Apr 7, 2020 (32 d)
Brian J StokerGwn Securities Inc. BD affiliatedWest Ridge Advisors independent RIAAffiliated broker-dealer or bank to independent RIAFeb 21, 2020Feb 24, 2020
Jarrett WilliamsGwn Securities Inc. BD affiliatedEdward Jones national BDAffiliated broker-dealer or bank to anotherFeb 3, 2020Oct 4, 2021 (609 d)
Patrick Daniel PortmanGwn Securities Inc. BD affiliatedUnited Planners' Financial Services Of America A Limited Partner independent RIAAffiliated broker-dealer or bank to independent RIAFeb 1, 2020Feb 1, 2020
Richard Joseph FucilloGwn Securities Inc. BD affiliatedCommenda Capital Advisors state registeredAffiliated broker-dealer or bank to a state-registered adviserDec 31, 2019Apr 27, 2022 (848 d)
Ricky Lawson CarrollGwn Securities Inc. BD affiliatedColorado Financial Service Corporation otherOtherDec 31, 2019May 17, 2021 (503 d)
Matthew David ClarkGwn Securities Inc. BD affiliatedPlanmember Securities Corporation independent RIAAffiliated broker-dealer or bank to independent RIADec 23, 2019Jan 23, 2020 (31 d)
James Andrew RandazzoGwn Securities Inc. BD affiliatedLsp Advisory LLC state registeredAffiliated broker-dealer or bank to a state-registered adviserDec 11, 2019Dec 16, 2025 (2197 d)
Chance CodaGwn Securities Inc. BD affiliatedAmeriprise Financial Services, LLC national BDAffiliated broker-dealer or bank to anotherDec 11, 2019Dec 10, 2019
Taylor Edward LivingstonGwn Securities Inc. BD affiliatedMML Investors Services, LLC BD affiliatedAffiliated broker-dealer or bank to anotherOct 17, 2019Oct 23, 2019
Glen Mackenzie DowdenGwn Securities Inc. BD affiliatedCitizens Securities, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherOct 3, 2019Jan 2, 2020 (91 d)
Anthony Jay HausemanGwn Securities Inc. BD affiliatedMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseAffiliated broker-dealer or bank to wirehouseAug 30, 2019Dec 23, 2019 (115 d)
Michael Sean PrimoGwn Securities Inc. BD affiliatedBlackridge Asset Management, LLC independent RIAAffiliated broker-dealer or bank to independent RIAAug 2, 2019Nov 26, 2019 (116 d)
Richard Marc MyerGwn Securities Inc. BD affiliatedBlackridge Asset Management, LLC independent RIAAffiliated broker-dealer or bank to independent RIAAug 2, 2019Nov 26, 2019 (116 d)
Houston Tyler ThomGwn Securities Inc. BD affiliatedCommonwealth Financial Network national BDAffiliated broker-dealer or bank to anotherApr 30, 2019Mar 19, 2024 (1785 d)
Louis Scott MitchellGwn Securities Inc. BD affiliatedLPL Financial LLC independent RIAAffiliated broker-dealer or bank to independent RIAApr 1, 2019Apr 2, 2019
Timothy Gerard CrawfordGwn Securities Inc. BD affiliatedTim Crawford Cpa state registeredAffiliated broker-dealer or bank to a state-registered adviserJan 2, 2019Feb 19, 2020 (413 d)
Santiago FelicianoGwn Securities Inc. BD affiliatedAllstate Financial Advisors, LLC BD affiliatedAffiliated broker-dealer or bank to anotherNov 21, 2018Oct 25, 2023 (1799 d)
Michael E McclimonGwn Securities Inc. BD affiliatedFmsa independent RIAAffiliated broker-dealer or bank to independent RIANov 1, 2018Apr 18, 2019 (168 d)
Stephen A DaigleGwn Securities Inc. BD affiliatedBidmoni no RAUMAffiliated broker-dealer or bank to a newly registered adviserOct 24, 2018Oct 24, 2018
Jason Paul GollhoferGwn Securities Inc. BD affiliatedVerity Asset Management independent RIAAffiliated broker-dealer or bank to independent RIASep 28, 2018Jun 5, 2026 (2807 d)
Ryan Douglas LeflerGwn Securities Inc. BD affiliatedRaymond James Financial Services Advisors, Inc BD affiliatedAffiliated broker-dealer or bank to anotherAug 27, 2018Sep 14, 2018
Gilberto Matthew CarmonaGwn Securities Inc. BD affiliatedLatitude Advisors, LLC independent RIAAffiliated broker-dealer or bank to independent RIAJul 9, 2018Jul 9, 2018
Lisa Gail BrumfieldGwn Securities Inc. BD affiliatedCoppell Advisory Solutions LLC independent RIAAffiliated broker-dealer or bank to independent RIAMay 14, 2018May 13, 2019 (364 d)
Frank Warner AndersonGwn Securities Inc. BD affiliatedWoodbury Financial Services, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherMay 10, 2018May 11, 2018
Frederick Abrams BellowsGwn Securities Inc. BD affiliatedMML Investors Services, LLC BD affiliatedAffiliated broker-dealer or bank to anotherApr 6, 2018Jul 26, 2018 (111 d)
John Howard MurrayGwn Securities Inc. BD affiliatedVoya Financial Advisors, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherApr 3, 2018May 29, 2018 (56 d)
Eric H LorenzGwn Securities Inc. otherVoya Financial Advisors, Inc. otherOtherJan 17, 2018Jan 31, 2018
Nicole SavageGwn Securities Inc. otherFisher Investments otherOtherDec 31, 2017Jan 9, 2018
Vernon James HenryGwn Securities Inc. otherCambridge Investment Research Advisors, Inc. otherOtherDec 20, 2017Dec 20, 2017
John Vincent BlanchardGwn Securities Inc. otherCapital Analysts otherOtherDec 4, 2017Dec 15, 2017
Thomas A. GoldbergGwn Securities Inc. otherJ.P. Morgan Securities LLC wirehouseOtherNov 6, 2017Nov 3, 2017
Mark Rajendra SinghGwn Securities Inc. otherEquitable Advisors, LLC national BDOtherAug 31, 2017Sep 4, 2019 (734 d)
Robert Edward HorneGwn Securities Inc. otherImg Wealth Management, Inc. independent RIAOtherAug 31, 2017Sep 28, 2017
Stephen Charles FrazerGwn Securities Inc. otherTriad Advisors, LLC otherOtherAug 17, 2017Aug 17, 2017
Timothy Brian KenyonGwn Securities Inc. otherTriad Advisors, LLC otherOtherAug 16, 2017Aug 16, 2017
Kevin Earl SkaltsisGwn Securities Inc. otherFoundations Investment Advisors LLC otherOtherMay 30, 2017Jun 21, 2017
Sandra Ohehir KeirGwn Securities Inc. otherPruco Securities, LLC otherOtherMay 11, 2017Jun 12, 2017 (32 d)
Ryan Patrick EsseGwn Securities Inc. otherEdward Jones national BDOtherFeb 9, 2017Jan 22, 2019 (712 d)
Marc Mitsuru TakenagaGwn Securities Inc. otherCreativeone Securities, LLC otherOtherDec 31, 2016Jul 11, 2017 (192 d)
Megan Marie PalazzoGwn Securities Inc. otherGeneos Wealth Management, Inc. otherOtherDec 31, 2016Jan 3, 2017
Jason Dara BahramianGwn Securities Inc. otherJ.P. Morgan Securities LLC wirehouseOtherDec 31, 2016Jan 6, 2017
Michael Richard PanicoGwn Securities Inc. otherArcadia Wealth Management, LLC independent RIAOtherOct 31, 2016Oct 7, 2016
Kathleen Ann StapletonGwn Securities Inc. otherPlanmember Securities Corporation otherOtherSep 12, 2016Sep 12, 2016
Stephen Andrew YoungGwn Securities Inc. otherCrown Capital Securities, L.P. otherOtherAug 17, 2016Jun 15, 2017 (302 d)
Anders Olsen StorvikGwn Securities Inc. otherWela Financial Advisory otherOtherJun 30, 2016Jan 3, 2018 (552 d)
Sean Thomas KeatingGwn Securities Inc. otherRegal Advisory Services, Inc. otherOtherJun 21, 2016Oct 28, 2016 (129 d)
Roberta Lynn FreitagGwn Securities Inc. otherErnst & Young Investment Advisers Llp no RAUMOtherFeb 24, 2016Aug 29, 2017 (552 d)
Shawn William HannaGwn Securities Inc. otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherOct 9, 2015Apr 27, 2016 (201 d)
Sandre NaumoskiGwn Securities Inc. otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherAug 28, 2015Sep 10, 2015
Kyle Scott WagnerGwn Securities Inc. otherWells Fargo Advisors wirehouseOtherAug 4, 2015Aug 4, 2015
Timothy Michael GraceGwn Securities Inc. otherOneamerica Securities, Inc. otherOtherJul 16, 2015Oct 15, 2015 (91 d)
Trenton Glen AdamsGwn Securities Inc. otherMsi Financial Services, Inc. otherOtherMay 12, 2015Apr 24, 2015
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224 moves match.