DFX Intelligence
Advisor moves
Departures from Cwm, 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 |
|---|---|---|---|---|---|
| Eric Arndt | Cwm, LLC BD affiliated | Empirical Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 20, 2022 | Nov 4, 2022 (45 d) |
| Edward Scott Budd | Cwm, LLC BD affiliated | Oxbow Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 19, 2022 | Sep 22, 2022 |
| Fred Francis Liebau | Cwm, LLC BD affiliated | Mariner Independent independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 16, 2022 | Sep 14, 2022 |
| Stephen Mark Swensen | Cwm, LLC BD affiliated | Carson Group Investing asset manager | Other | Sep 15, 2022 | Aug 2, 2022 |
| Teresa Elizabeth Milner | Cwm, LLC BD affiliated | LPL Financial LLC other | Other | Sep 1, 2022 | Jan 9, 2014 |
| Diarra Koro Williams | Cwm, LLC BD affiliated | Avantax Advisory Services BD affiliated | Affiliated broker-dealer or bank to another | Aug 19, 2022 | Oct 17, 2022 (59 d) |
| Ryan Harrington Grove | Cwm, LLC BD affiliated | Modus Vivendi LLC unclassified | Other | Aug 16, 2022 | Jan 3, 2023 (140 d) |
| Benjamin Jerome Heeren | Cwm, LLC BD affiliated | Hightower Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 2, 2022 | Sep 26, 2022 (55 d) |
| William Eric Marney | Cwm, LLC BD affiliated | Cetera Advisor Networks LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 27, 2022 | Mar 31, 2022 |
| Perry Bishop Bean | Cwm, LLC BD affiliated | Bishop Capital Advisors LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jul 25, 2022 | Jan 3, 2023 (162 d) |
| Meghan Elizabeth Hogan | Cwm, LLC BD affiliated | Gratus Capital, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 7, 2022 | Mar 23, 2023 (259 d) |
| Milo A Park | Cwm, LLC BD affiliated | Navy Federal Investment Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 3, 2022 | Jun 3, 2022 |
| Janet Rhodes Friedman | Cwm, LLC BD affiliated | Financial Planning Solutions, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 26, 2022 | May 20, 2022 |
| Jessica P Cripps | Cwm, LLC BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Apr 18, 2022 | Jan 30, 2023 (287 d) |
| Tom Varghese | Cwm, LLC BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Mar 30, 2022 | Oct 21, 2022 (205 d) |
| Vishnu Tait Lekraj | Cwm, LLC BD affiliated | Carson Group Investing asset manager | Other | Mar 8, 2022 | Jul 8, 2021 |
| Tammy Jo Christensen | Cwm, LLC BD affiliated | Orion Portfolio Solutions, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 7, 2022 | Apr 6, 2022 (58 d) |
| Casey John Franken | Cwm, LLC BD affiliated | Willkate Wealth Management, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Feb 4, 2022 | Mar 24, 2022 (48 d) |
| Alyssa Zuck | Cwm, LLC BD affiliated | Sovereign Financial Group, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 28, 2022 | Feb 15, 2022 |
| Paul Alfred Schmidt | Cwm, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 24, 2022 | Oct 10, 2023 (624 d) |
| Carmen Youngblood | Cwm, LLC BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 5, 2022 | May 16, 2022 (131 d) |
| Michelle Karn Herickhoff | Cwm, LLC BD affiliated | Cetera Advisor Networks LLC other | Other | Jan 4, 2022 | Jan 29, 2018 |
| Ian Mark Clemens | Cwm, LLC BD affiliated | Ep Wealth Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 4, 2022 | Nov 15, 2024 (1046 d) |
| Shawn M Powell | Cwm, LLC BD affiliated | 3rd Level Wealth state registered | Affiliated broker-dealer or bank to a state-registered adviser | Dec 23, 2021 | Dec 20, 2021 |
| Iker Alexander Pimienta | Cwm, LLC BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 15, 2021 | Mar 28, 2022 (103 d) |
| Elizabeth Leann Stieneke | Cwm, LLC BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Dec 14, 2021 | Aug 1, 2022 (230 d) |
| Brady Paul Schenk | Cwm, LLC BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 8, 2021 | Dec 16, 2021 |
| Emily N Lee | Cwm, LLC BD affiliated | Concord Wealth Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 8, 2021 | Dec 6, 2021 |
| John Carl Smith | Cwm, LLC BD affiliated | First National Advisers, LLC mixed wealth | Affiliated broker-dealer or bank to independent RIA | Nov 5, 2021 | Aug 3, 2026 (1732 d) |
| Bryan Eugene Donaugh | Cwm, LLC BD affiliated | Transamerica Retirement Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 27, 2021 | Nov 4, 2021 |
| Brandon Kyle Woodard | Cwm, LLC BD affiliated | Intrua Financial independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 5, 2021 | Sep 21, 2021 |
| Anthony Jose Calderon | Cwm, LLC BD affiliated | Versant Capital Management, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 5, 2021 | Nov 1, 2021 |
| Krista Nicole Thompson | Cwm, LLC BD affiliated | Creative Planning independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 8, 2021 | Mar 8, 2023 (546 d) |
| Wesley Jay Cumbie | Cwm, LLC BD affiliated | Cetera Advisor Networks LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 12, 2021 | May 8, 2018 |
| Agustin Arroyo | Cwm, LLC BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Aug 10, 2021 | Nov 16, 2021 (98 d) |
| Travis Paul Jack | Cwm, LLC BD affiliated | Iliad Wealth Solutions institutional | Other | Jun 10, 2021 | Nov 21, 2022 (529 d) |
| Derric Hoover | Cwm, LLC BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | May 26, 2021 | Jun 15, 2021 |
| Shawn Mckeown | Cwm, LLC BD affiliated | Southern Pacific Asset Management L.L.C. state registered | Affiliated broker-dealer or bank to a state-registered adviser | May 24, 2021 | Mar 23, 2021 |
| Bradley S Doyle | Cwm, LLC BD affiliated | Cetera Advisor Networks LLC other | Other | Apr 27, 2021 | Jan 17, 2017 |
| Joey Van Oxford | Cwm, LLC BD affiliated | Cetera Advisor Networks LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 1, 2021 | Feb 22, 2021 |
| Chris Smith | Cwm, LLC BD affiliated | Intrua Financial independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 26, 2021 | Jan 6, 2021 |
| Hussein Elgohary | Cwm, LLC BD affiliated | Schwab Wealth Advisory, Inc. no RAUM | Other | Feb 11, 2021 | Apr 2, 2021 (50 d) |
| Joshua Paul Nelson | Cwm, LLC BD affiliated | Cetera Advisor Networks LLC other | Other | Jan 26, 2021 | Jan 17, 2017 |
| Jeremy K Busch | Cwm, LLC BD affiliated | Keystone Financial Services independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 26, 2021 | Sep 10, 2021 (227 d) |
| Zachary Thomas Reeg | Cwm, LLC BD affiliated | Iams Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 13, 2021 | Jan 19, 2021 |
| Jayne Marie Byrne | Cwm, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 8, 2020 | Oct 29, 2020 |
| Michael Jay Lerner | Cwm, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 8, 2020 | Oct 29, 2020 |
| Steven Keith Lerner | Cwm, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 8, 2020 | Oct 29, 2020 |
| Jessica Lynn Bost | Cwm, LLC BD affiliated | Park Avenue Securities LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 18, 2020 | Oct 9, 2020 (52 d) |
| Anthony Van Ore | Cwm, LLC BD affiliated | Ruggie Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 4, 2020 | Apr 29, 2019 |
| Thomas James Proos | Cwm, LLC BD affiliated | Straight Path Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 21, 2020 | Jul 27, 2020 |
| Brent Wayne Whiddon | Cwm, LLC BD affiliated | Oneascent Wealth Management no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jul 10, 2020 | Jun 12, 2020 |
| Carol Ann Mulcahy | Cwm, LLC BD affiliated | Ruggie Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 1, 2020 | May 2, 2019 |
| Thomas Huey Ruggie | Cwm, LLC BD affiliated | Destiny Family Office no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jul 1, 2020 | Sep 22, 2025 (1909 d) |
| Robert Clark | Cwm, LLC BD affiliated | Destiny Family Office no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jul 1, 2020 | Oct 28, 2025 (1945 d) |
| Audrey Marie Mancuso | Cwm, LLC BD affiliated | Destiny Family Office no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jul 1, 2020 | Oct 27, 2025 (1944 d) |
| Jorge A Romero | Cwm, LLC BD affiliated | Destiny Family Office no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jul 1, 2020 | Oct 28, 2025 (1945 d) |
| Antoinette Susan Lobaito | Cwm, LLC BD affiliated | Independent Financial Group, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 1, 2020 | Sep 8, 2020 (69 d) |
| Serina Shyu | Cwm, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 1, 2020 | May 19, 2020 |
| Colleen Arredondo | Cwm, LLC BD affiliated | Destiny Wealth Partners, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 1, 2020 | May 15, 2020 |
288 moves match.