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 Wellington Shields & Co., LLC
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 |
|---|---|---|---|---|---|
| Joseph Matthew Edwards | Wellington Shields & Co., LLC independent RIA | LPL Financial LLC BD affiliated | RIA to affiliated broker-dealer or bank | Mar 24, 2026 | Apr 14, 2026 |
| Terence William Brogan | Wellington Shields & Co., LLC independent RIA | Brogan Asset Management, LLC state registered | RIA to a state-registered adviser | Jul 1, 2025 | Dec 3, 2025 (155 d) |
| Steven Marc Heinowitz | Wellington Shields & Co., LLC independent RIA | Quint Capital Management independent RIA | RIA to RIA | Jan 19, 2022 | Jan 18, 2022 |
| Bradley Scott Tremitiere | Wellington Shields & Co., LLC independent RIA | Ranch Capital Advisors Inc. independent RIA | RIA to RIA | Aug 7, 2019 | Jul 6, 2021 (699 d) |
| Michael Gregory Dickerson | Wellington Shields & Co., LLC other | Middlebury Asset Advisors Inc. no RAUM | Other | Feb 21, 2012 | Feb 15, 2012 |
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5 moves match.