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 Worth Financial Group 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 |
|---|---|---|---|---|---|
| James Willard Clark | Worth Financial Group Inc. independent RIA | Worth Asset Management independent RIA | RIA to RIA | Dec 31, 2020 | Jun 6, 2013 |
| Frederick Eugene Mowery | Worth Financial Group Inc. independent RIA | Compass Financial Management LLC independent RIA | RIA to RIA | Dec 15, 2020 | Sep 28, 2021 (287 d) |
| John David Hale | Worth Financial Group Inc. independent RIA | Worth Asset Management independent RIA | RIA to RIA | Dec 31, 2013 | Jan 2, 2014 |
| Thomas Henri Braun | Worth Financial Group Inc. independent RIA | Thrivent Investment Management Inc. other | Other | Feb 13, 2008 | Feb 20, 2008 |
Page 1 of 1
4 moves match.