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 Swbc Investment Company

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
Michael Anthony WaltersSwbc Investment Company independent RIAProsperitas Financial, LLC independent RIARIA to RIAJul 10, 2026Jul 29, 2026
Matthew KalinowskiSwbc Investment Company independent RIAJ.P. Morgan Securities LLC wirehouseRIA to wirehouseJan 6, 2026Jan 15, 2026
Benjamin Koury LangfordSwbc Investment Company mixed wealthEdward Jones national BDRIA to affiliated broker-dealer or bankAug 29, 2024Sep 6, 2024
Jorge Eduardo CantuSwbc Investment Company mixed wealthLPL Financial LLC BD affiliatedRIA to affiliated broker-dealer or bankMay 7, 2024May 1, 2024
Sean Patrick TuohySwbc Investment Company mixed wealthCaldwell Sutter Capital, Inc. independent RIARIA to RIAMay 7, 2024May 14, 2024
Corey Michael MowenSwbc Investment Company mixed wealthWells Fargo Advisors wirehouseRIA to wirehouseApr 17, 2024Oct 10, 2025 (541 d)
Roberto W RoffoSwbc Investment Company mixed wealthMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseRIA to wirehouseMar 4, 2024Oct 8, 2024 (218 d)
Paul Gregory GroverSwbc Investment Company mixed wealthOsaic Institutions, Inc. BD affiliatedRIA to affiliated broker-dealer or bankFeb 26, 2024Feb 20, 2024
Mark Edward TravisSwbc Investment Company mixed wealthHilltop Securities Inc. BD affiliatedRIA to affiliated broker-dealer or bankSep 28, 2023Aug 11, 2023
Alex Matthew GarciaSwbc Investment Company mixed wealthCetera Investment Advisers LLC BD affiliatedRIA to affiliated broker-dealer or bankAug 1, 2023Jul 31, 2023
Mario MorenoSwbc Investment Company independent RIACitigroup Global Markets Inc. BD affiliatedRIA to affiliated broker-dealer or bankAug 16, 2022Sep 6, 2022
Salvador ChavezSwbc Investment Company independent RIALPL Financial LLC independent RIARIA to RIAJun 20, 2022Jul 15, 2022
Dorian J TownsendSwbc Investment Company independent RIAJ.P. Morgan Securities LLC wirehouseRIA to wirehouseJun 17, 2022Jun 17, 2022
Jessica AbregoSwbc Investment Company independent RIALPL Financial LLC BD affiliatedRIA to affiliated broker-dealer or bankSep 15, 2021Sep 14, 2021
James Eric InmanSwbc Investment Company independent RIACharles Schwab & Co., Inc. national BDRIA to affiliated broker-dealer or bankJul 6, 2021Jul 22, 2021
Kenneth E ToopsSwbc Investment Company mixed wealthCuso Financial Services, L.P. BD affiliatedRIA to affiliated broker-dealer or bankFeb 11, 2021Feb 10, 2021
Raymond Chad FrueboesSwbc Investment Company mixed wealthCitigroup Global Markets Inc. BD affiliatedRIA to affiliated broker-dealer or bankNov 25, 2020Oct 22, 2021 (331 d)
Michael James KlorerSwbc Investment Company mixed wealthSanctuary Advisors, LLC BD affiliatedRIA to affiliated broker-dealer or bankOct 13, 2020Oct 12, 2020
Shannon TaylorSwbc Investment Company mixed wealthPruco Securities, LLC BD affiliatedRIA to affiliated broker-dealer or bankJun 12, 2020Jul 7, 2020
William R DavisSwbc Investment Company independent RIAOsaic Institutions, Inc. BD affiliatedRIA to affiliated broker-dealer or bankMar 3, 2020Mar 2, 2020
David M RiceSwbc Investment Company independent RIALPL Financial LLC BD affiliatedRIA to affiliated broker-dealer or bankDec 4, 2019Dec 5, 2019
Gilbert CastilloSwbc Investment Company independent RIACapital Client Group, Inc. no RAUMOtherMar 25, 2019May 9, 2019 (45 d)
Lauren Marie DaltonSwbc Investment Company independent RIAJ.P. Morgan Securities LLC wirehouseRIA to wirehouseMar 15, 2019Apr 25, 2019 (41 d)
Cesar Emilio OlivaresSwbc Investment Company independent RIALPL Financial LLC independent RIARIA to RIAFeb 4, 2019Jan 31, 2019
Kurt Von BuettnerSwbc Investment Company independent RIAEdward Jones national BDRIA to affiliated broker-dealer or bankJan 17, 2019Jan 18, 2019
David Wayne MatthewsSwbc Investment Company independent RIACetera Advisors LLC BD affiliatedRIA to affiliated broker-dealer or bankDec 26, 2018Mar 28, 2019 (92 d)
Jennifer RobbinsSwbc Investment Company independent RIAMorgan Stanley wirehouseRIA to wirehouseNov 5, 2018Sep 9, 2019 (308 d)
Jason Eric StepanikSwbc Investment Company independent RIAHfg Wealth Management, LLC independent RIARIA to RIASep 28, 2018Oct 29, 2019 (396 d)
Brian Anthony MarchioriSwbc Investment Company independent RIALPL Financial LLC independent RIARIA to RIAAug 7, 2018Aug 6, 2018
Daniel EspinozaSwbc Investment Company independent RIALPL Financial LLC independent RIARIA to RIAAug 7, 2018Aug 6, 2018
Katherine Nicole KarrSwbc Investment Company otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherDec 20, 2017Jan 18, 2018
Sylvester Tyrone JohnsonSwbc Investment Company otherBb&T Investment Services, Inc. otherOtherNov 27, 2017Dec 1, 2017
Richard Leon ViningSwbc Investment Company otherV Financial Advisors, LLC unclassifiedOtherNov 7, 2017Feb 1, 2018 (86 d)
Karen Anne NumiSwbc Investment Company otherUmb Financial Services, Inc. otherOtherSep 11, 2017Sep 12, 2017
Eric Gerald HebertSwbc Investment Company otherHancock Whitney Investment Services Inc. otherOtherAug 3, 2017Aug 9, 2017
Candace J BurkettSwbc Investment Company otherJ.P. Morgan Securities LLC wirehouseOtherJul 11, 2017Jul 19, 2017
Douglas Reed MitchellSwbc Investment Company otherCuna Brokerage Services, Inc. otherOtherJul 11, 2017Jul 20, 2017
Andrew Robert SeaboughSwbc Investment Company otherHancock Whitney Investment Services Inc. otherOtherMay 23, 2017May 24, 2017
Ernesto AguilarSwbc Investment Company otherCuso Financial Services, L.P. otherOtherApr 13, 2017Apr 24, 2017
Michael J AllenSwbc Investment Company otherEdward Jones national BDOtherSep 19, 2016Oct 3, 2016
Elizabeth Ann FollandSwbc Investment Company otherJ.P. Morgan Securities LLC wirehouseOtherJul 25, 2016Dec 13, 2016 (141 d)
Kevin Thomas CorriganSwbc Investment Company otherJ.P. Morgan Securities LLC wirehouseOtherMay 9, 2016Jun 2, 2016
Rene RamirezSwbc Investment Company otherLPL Financial LLC otherOtherJan 8, 2016Jan 25, 2016
George TorruellaSwbc Investment Company otherValic Financial Advisors, Inc. BD affiliatedOtherOct 6, 2015Oct 21, 2025 (3668 d)
James Wesley BrandtSwbc Investment Company otherInvestment Centers Of America, Inc. otherOtherSep 1, 2015Sep 9, 2015
Audrey Lynn PoolSwbc Investment Company otherInvestment Centers Of America, Inc. otherOtherSep 1, 2015Sep 9, 2015
Robert Fred BouvierSwbc Investment Company otherEdward Jones national BDOtherAug 31, 2015Oct 9, 2015 (39 d)
James Edward MillerSwbc Investment Company otherCetera Investment Advisers LLC otherOtherAug 17, 2015Aug 18, 2015
Gina Marie KatrinakSwbc Investment Company otherCetera Investment Advisers LLC otherOtherAug 17, 2015Aug 14, 2015
Jorge Phillips CazarezSwbc Investment Company otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherJun 23, 2015Aug 5, 2015 (43 d)
Kathryne Elaine MickenSwbc Investment Company otherRaymond James & Associates, Inc. national BDOtherMar 2, 2015Oct 5, 2015 (217 d)
Jorge Antonio VazquezSwbc Investment Company otherUBS Financial Services Inc. wirehouseOtherDec 3, 2014Nov 19, 2014
Jessica Lauren MccordSwbc Investment Company otherOsaic Institutions, Inc. otherOtherMay 1, 2014May 1, 2014
Christopher Lee CortezSwbc Investment Company otherJ.P. Morgan Securities LLC wirehouseOtherApr 29, 2014May 5, 2014
Ryan Thomas CleavelandSwbc Investment Company otherJ.P. Morgan Securities LLC wirehouseOtherMar 25, 2014Apr 3, 2014
Sarita Christine NullSwbc Investment Company otherLPL Financial LLC otherOtherFeb 18, 2014Feb 14, 2014
Marcel Stephen TheriotSwbc Investment Company otherCuso Financial Services, L.P. otherOtherDec 31, 2013Dec 17, 2015 (716 d)
Hector Daniel NinoSwbc Investment Company otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherAug 23, 2013Aug 28, 2013
Don Robert GuessSwbc Investment Company otherWaddell & Reed otherOtherJul 20, 2012Jul 30, 2012
Joseph Evans DewhartSwbc Investment Company otherChase Investment Services Corp. otherOtherJun 26, 2012Jun 21, 2012
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81 moves match.