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 Advisory Services 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 |
|---|---|---|---|---|---|
| Adrian Edward Ramirez | Swbc Investment Advisory Services LLC no RAUM | Monarch Plan Advisors no RAUM | Other | Mar 19, 2026 | May 22, 2024 |
| Mark Kenneth Dickens | Swbc Investment Advisory Services LLC no RAUM | Kestra Advisory Services, LLC BD affiliated | Other | Jun 14, 2022 | Jun 16, 2022 |
| Nicholas David Irwin | Swbc Investment Advisory Services LLC no RAUM | Edward Jones national BD | Other | Mar 3, 2021 | Jun 18, 2020 |
| Dawn Van Dyck | Swbc Investment Advisory Services LLC no RAUM | Edward Jones national BD | Other | Feb 2, 2021 | Jan 20, 2021 |
| Nathan Joel Sharp | Swbc Investment Advisory Services LLC no RAUM | Raymond James Financial Services Advisors, Inc other | Other | Sep 26, 2012 | Sep 14, 2012 |
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5 moves match.