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 |
|---|---|---|---|---|---|
| Evan Eberly | Cwm, LLC BD affiliated | RBC Capital Markets, LLC national BD | Affiliated broker-dealer or bank to another | Jul 1, 2020 | Nov 4, 2020 (126 d) |
| Christopher Wayne Abla | Cwm, LLC BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 24, 2020 | Oct 1, 2024 (1621 d) |
| Melanie Jo Housden | Cwm, LLC BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Mar 24, 2020 | Feb 26, 2020 |
| Dudley Lee Simms | Cwm, LLC BD affiliated | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 2, 2020 | Mar 10, 2020 (68 d) |
| Keith M. Fiala | Cwm, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 2, 2019 | Mar 9, 2020 (98 d) |
| Colby Keston Clark | Cwm, LLC BD affiliated | Aspire Private Capital independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 2, 2019 | Dec 11, 2019 |
| Philip Glenn Sherman | Cwm, LLC BD affiliated | Deschutes Investment Consulting, LLC other | Other | Nov 21, 2019 | Mar 4, 2020 (104 d) |
| Pamela Pena | Cwm, LLC BD affiliated | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 7, 2019 | Nov 4, 2019 |
| Ryan Christopher Oleson | Cwm, LLC BD affiliated | Cetera Advisor Networks LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 31, 2019 | Nov 7, 2019 |
| Zachary Blackwell Ritchey | Cwm, LLC BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 2, 2019 | Oct 8, 2019 |
| Kelly Christine Effland | Cwm, LLC BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 23, 2019 | May 5, 2020 (225 d) |
| Ann Cheryl Frigon | Cwm, LLC BD affiliated | Fbl Wealth Management, LLC no RAUM | Other | Sep 13, 2019 | Aug 19, 2019 |
| Andrew George Palomo | Cwm, LLC BD affiliated | Cetera Advisor Networks LLC other | Other | Aug 2, 2019 | Jan 12, 2018 |
| Jacqueline Lee Bulava | Cwm, LLC BD affiliated | Arbor Point Advisors BD affiliated | Affiliated broker-dealer or bank to another | Aug 2, 2019 | Aug 2, 2019 |
| Kirk Norman Matteson | Cwm, LLC BD affiliated | Clear Resource Group, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jul 15, 2019 | May 29, 2019 |
| Eddie Ray Snow | Cwm, LLC BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 15, 2019 | May 14, 2019 |
| Jacob F Lippert | Cwm, LLC independent RIA | Northwestern Mutual Investment Services,LLC no RAUM | Other | May 3, 2019 | Jul 8, 2019 (66 d) |
| Deanna Cilnyk Roeger | Cwm, LLC independent RIA | Mcdonald Partners LLC independent RIA | RIA to RIA | Apr 16, 2019 | Jun 14, 2021 (790 d) |
| David Kenneth Janus | Cwm, LLC independent RIA | Wells Fargo Advisors wirehouse | RIA to wirehouse | Apr 16, 2019 | Apr 16, 2019 |
| Shannon Renee Benish | Cwm, LLC independent RIA | United Capital Management Of Kansas, Inc. independent RIA | RIA to RIA | Mar 21, 2019 | Mar 25, 2019 |
| Cameron Matthew St. Martin | Cwm, LLC independent RIA | LPL Financial LLC BD affiliated | RIA to affiliated broker-dealer or bank | Feb 12, 2019 | Sep 15, 2020 (581 d) |
| Tunde Nagy | Cwm, LLC independent RIA | Oppenheimer & Co. Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Dec 6, 2018 | Dec 12, 2018 |
| Angela Marie Caballero | Cwm, LLC independent RIA | Ashton Thomas Private Wealth independent RIA | RIA to RIA | Aug 31, 2018 | Dec 3, 2018 (94 d) |
| Nicholas Joseph Nalbach | Cwm, LLC independent RIA | Morgan Stanley wirehouse | RIA to wirehouse | Aug 6, 2018 | Aug 23, 2018 |
| Mark Douglas Olson | Cwm, LLC independent RIA | Td Ameritrade, Inc. no RAUM | Other | May 30, 2018 | May 31, 2018 |
| Brook Emme Thompson | Cwm, LLC independent RIA | Fbl Wealth Management, LLC no RAUM | RIA to a newly registered adviser | May 17, 2018 | Nov 5, 2018 (172 d) |
| Nathaniel Jermaine Poole | Cwm, LLC independent RIA | Morningstar Investment Services LLC independent RIA | RIA to RIA | Apr 27, 2018 | Aug 14, 2018 (109 d) |
| Steven Vincent Gelber | Cwm, LLC independent RIA | Hightower Advisors, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Apr 20, 2018 | May 31, 2018 (41 d) |
| Kristopher Alan Heig | Cwm, LLC independent RIA | Orion Portfolio Solutions, LLC mixed wealth | RIA to RIA | Apr 2, 2018 | Apr 10, 2018 |
| Joy Lynne Garland | Cwm, LLC independent RIA | Roan Capital Partners independent RIA | RIA to RIA | Feb 16, 2018 | Feb 8, 2024 (2183 d) |
| Lucas Anthony Casarez | Cwm, LLC other | Cetera Advisor Networks LLC other | Other | Oct 26, 2017 | Jan 17, 2017 |
| Nancy Elizabeth Lewis-Heliotes | Cwm, LLC other | Raymond James Financial Services Advisors, Inc other | Other | Sep 25, 2017 | Oct 2, 2017 |
| William Bailey Cave | Cwm, LLC other | Edward Jones national BD | Other | Mar 8, 2017 | Feb 18, 2019 (712 d) |
| Michael Kevin Davis | Cwm, LLC other | Advipartner, LLC state registered | Other | Mar 7, 2017 | May 4, 2017 (58 d) |
| Brian Thomas Cody | Cwm, LLC other | M Holdings Securities, Inc. other | Other | Feb 16, 2017 | Jan 19, 2017 |
| Bradley Jay Isroff | Cwm, LLC other | LPL Financial LLC other | Other | Jan 19, 2017 | Jan 19, 2017 |
| William Vernon Peterman | Cwm, LLC other | Money Concepts Advisory Service other | Other | Dec 19, 2016 | Dec 19, 2016 |
| Nathaniel J Boyle | Cwm, LLC other | Money Concepts Advisory Service other | Other | Dec 19, 2016 | Dec 16, 2016 |
| Kevin White | Cwm, LLC other | Cetera Investment Advisers LLC other | Other | Dec 2, 2016 | Dec 9, 2016 |
| Jeffrey Paul Kastner | Cwm, LLC other | LPL Financial LLC other | Other | Nov 8, 2016 | May 6, 2015 |
| Darwin Joseph Lindsey | Cwm, LLC other | Lindsey Wealth Management state registered | Other | Dec 15, 2014 | Dec 18, 2014 |
| Benjamin Louis Lodico | Cwm, LLC other | Private Advisor Group, LLC other | Other | Nov 3, 2014 | Nov 3, 2014 |
| Tad Allen Singer | Cwm, LLC other | Smith Hayes Advisers Inc other | Other | Sep 17, 2014 | Sep 19, 2014 |
| Steven Eugene Wilbur | Cwm, LLC other | Smith Hayes Advisers Inc other | Other | Sep 17, 2014 | Sep 19, 2014 |
| Philip Joe Mcbride | Cwm, LLC other | Allen Capital Group, LLC other | Other | Sep 17, 2014 | Sep 18, 2014 |
| Jessica Joan Nagengast | Cwm, LLC other | Weitz Investment Management, Inc. other | Other | Dec 24, 2013 | Mar 30, 2017 (1192 d) |
| Joanna Rogers | Cwm, LLC other | Edward Jones national BD | Other | Oct 11, 2013 | Aug 23, 2013 |
| Edward Joseph Meekins | Cwm, LLC other | Avantax Planning Partners, Inc. other | Other | Aug 12, 2013 | Aug 19, 2013 |
Page 5 of 5Previous
288 moves match.