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
James Ray TindallSwbc Investment Company otherZt Wealth Advisory unclassifiedOtherApr 16, 2012Mar 23, 2012
William Allen BartonSwbc Investment Company otherMsi Financial Services, Inc. otherOtherNov 22, 2011Apr 11, 2012 (141 d)
Nahid Karim KarimjeeSwbc Investment Company otherCuso Financial Services, L.P. otherOtherNov 22, 2011Nov 21, 2011
Thomas Lyonel DavilaSwbc Investment Company otherLPL Financial LLC otherOtherOct 21, 2011Oct 19, 2011
James Brian HusseySwbc Investment Company otherCuso Financial Services, L.P. otherOtherAug 30, 2011Aug 31, 2011
Jonathan Patrick SheetsSwbc Investment Company otherCuso Financial Services, L.P. otherOtherAug 25, 2011Oct 18, 2011 (54 d)
Gregory Ryan ThompsonSwbc Investment Company otherTitleist Capital, LLC otherOtherJun 27, 2011May 27, 2011
David EspinozaSwbc Investment Company otherLPL Financial LLC otherOtherMay 2, 2011Apr 28, 2011
Neil Howard KalbSwbc Investment Company otherTitleist Asset Management, LLC independent RIAOtherMay 2, 2011Apr 17, 2023 (4368 d)
Lisa Marie AlvaradoSwbc Investment Company otherJ.P. Morgan Securities LLC wirehouseOtherMar 16, 2011Feb 26, 2013 (713 d)
Frank AcostaSwbc Investment Company otherSagepoint Financial, Inc. otherOtherJan 26, 2011May 2, 2011 (96 d)
Phyllis Ann AchorSwbc Investment Company otherBok Financial Advisors otherOtherMar 17, 2010Jun 8, 2010 (83 d)
Marcus Tyrone StellSwbc Investment Company otherCuso Financial Services, L.P. otherOtherDec 22, 2009Jan 4, 2010
Jacarri Claiborne WilliamsSwbc Investment Company otherNationwide Investment Advisors, LLC otherOtherNov 18, 2008Dec 24, 2008 (36 d)
Craig Roger PerkinsSwbc Investment Company otherKovack Advisors, Inc. otherOtherOct 27, 2008Oct 10, 2008
Keith Richard UebeleinSwbc Investment Company otherU.S. Bancorp Investments, Inc. otherOtherJul 14, 2008Sep 4, 2008 (52 d)
Leslie Ann McentireSwbc Investment Company otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherMay 9, 2008May 15, 2008
James Arthur SimpsonSwbc Investment Company otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherSep 5, 2007Aug 24, 2007
John Joseph DallahanSwbc Investment Company otherCetera Investment Services LLC otherOtherMay 22, 2007Sep 19, 2007 (120 d)
Ross Michael Van KlaverenSwbc Investment Company otherUsaa Investment Services Company otherOtherMar 7, 2007Mar 5, 2007
Stephen Lawrence ChambersSwbc Investment Company otherAllegiant Financial Advisors, LLC state registeredOtherFeb 20, 2007Jan 28, 2009 (708 d)
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81 moves match.