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 Mutual 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.

Advisor	From	To	Type	Left	Registered
Mary Agnes Barone	Mutual Securities, Inc. other	Mutual Advisors, LLC other	Other	Jul 19, 2013	Jul 10, 2013
Jacob Ray Kagele	Mutual Securities, Inc. other	Mutual Advisors, LLC other	Other	Jul 19, 2013	Jul 1, 2013
Warren Wayne Locke	Mutual Securities, Inc. other	Mutual Advisors, LLC other	Other	Jul 9, 2013	Jul 1, 2013
James Craig Coleman	Mutual Securities, Inc. other	Cornerstone Asset Management, Inc. other	Other	Jul 9, 2013	Oct 12, 2009
Steven Samuel Wittenberg	Mutual Securities, Inc. other	Mutual Advisors, LLC other	Other	Jul 9, 2013	Jul 1, 2013
Jeffry Jess Johnson	Mutual Securities, Inc. other	Mutual Advisors, LLC other	Other	Jul 9, 2013	Jul 1, 2013
Patricia Elizabeth Phipps	Mutual Securities, Inc. other	Mutual Advisors, LLC other	Other	Jul 9, 2013	Jul 1, 2013
Richard Wayne Plamondon	Mutual Securities, Inc. other	Mutual Advisors, LLC other	Other	Jul 9, 2013	Jul 1, 2013
Richard Benjamin Levin	Mutual Securities, Inc. other	Mutual Advisors, LLC other	Other	Jul 9, 2013	Jul 2, 2013
Gary Lyle Pevey	Mutual Securities, Inc. other	Mutual Advisors, LLC other	Other	Jul 9, 2013	Jul 1, 2013
Robert Reed Linderman	Mutual Securities, Inc. other	Mutual Advisors, LLC BD affiliated	Other	Jul 9, 2013	Feb 10, 2023 (3503 d)
Bruce Steven Terry	Mutual Securities, Inc. other	Mutual Advisors, LLC other	Other	Jul 9, 2013	Jul 1, 2013
Jeffrey David Hettinger	Mutual Securities, Inc. other	Mutual Advisors, LLC other	Other	Jul 9, 2013	Jul 1, 2013
Zahid Sadiq	Mutual Securities, Inc. other	Mutual Advisors, LLC other	Other	Jul 9, 2013	Jun 25, 2013
Dylan Daniel Brooks	Mutual Securities, Inc. other	Mutual Advisors, LLC other	Other	Jul 9, 2013	Jun 10, 2013
Glenn Allan Andrade	Mutual Securities, Inc. other	Afs Investments state registered	Other	Jul 8, 2013	Jul 17, 2012
Sammy Kuo Chiang Sung	Mutual Securities, Inc. other	Mutual Advisors, LLC other	Other	Jul 2, 2013	Jul 1, 2013
Richard Spencer Peterson	Mutual Securities, Inc. other	Mutual Advisors, LLC BD affiliated	Other	Jul 2, 2013	Mar 16, 2023 (3544 d)
Aileen Kay Braga	Mutual Securities, Inc. other	Saratoga Research & Investment Management other	Other	Jun 17, 2010	Apr 1, 2010
Martin Lee Mazorra	Mutual Securities, Inc. other	Private Wealth Advisors other	Other	Jan 12, 2010	Sep 4, 2012 (966 d)
T. Matt Nichols	Mutual Securities, Inc. other	LPL Financial LLC other	Other	Jan 12, 2010	May 5, 2011 (478 d)

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21 moves match.