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 Walnut Street Securities, Inc.

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
Ross James Reinhart	Walnut Street Securities, Inc. other	Cambridge Investment Research Advisors, Inc. other	Other	Jan 19, 2005	Mar 28, 2005 (68 d)
Donald Robert Harivel	Walnut Street Securities, Inc. other	Sii Investments, Inc. other	Other	Jan 11, 2005	Dec 17, 2004
John Edward Boeckel	Walnut Street Securities, Inc. other	Sii Investments, Inc. other	Other	Jan 11, 2005	Dec 17, 2004
David Blane Daughtrey	Walnut Street Securities, Inc. other	Commonwealth Financial Network national BD	Other	Jan 7, 2005	Jan 13, 2005
Daniel A D'Ordine	Walnut Street Securities, Inc. other	Ddo Advisory Services, LLC independent RIA	Other	Dec 31, 2004	Apr 1, 2022 (6300 d)
William Joel Brewster	Walnut Street Securities, Inc. other	Vicus Capital, Inc. other	Other	Dec 17, 2004	Oct 9, 2003
James John Varaklis	Walnut Street Securities, Inc. other	James J. Varaklis & Company, Inc. unclassified	Other	Nov 2, 2004	Jun 2, 2004
Kevin Wayne Stone	Walnut Street Securities, Inc. other	American Century Advisory Services, Inc. no RAUM	Other	Oct 29, 2004	Nov 10, 2004
Stuart Michael Simchowitz	Walnut Street Securities, Inc. other	Bcg Securities, Inc. other	Other	Aug 5, 2004	Aug 6, 2004
Holly Smith	Walnut Street Securities, Inc. other	The Concord Equity Group, LLC unclassified	Other	Jun 25, 2004	Oct 5, 2004 (102 d)
Jeffrey Harry Klauenberg	Walnut Street Securities, Inc. other	Raymond James Financial Services, Inc. unclassified	Other	Mar 3, 2004	Mar 9, 2004
Gregg Scott Fisher	Walnut Street Securities, Inc. other	People'S Securities, Inc. other	Other	Mar 3, 2004	Nov 2, 2016 (4627 d)
Michael Jozef Israels	Walnut Street Securities, Inc. other	Israels Ferguson Asset Advisors LLC state registered	Other	Jan 23, 2004	May 25, 2021 (6332 d)
Victor Maneel Aponte-Echevarria	Walnut Street Securities, Inc. other	MML Investors Services, LLC BD affiliated	Other	Dec 31, 2003	Jun 16, 2020 (6012 d)
Troy K Blodgett	Walnut Street Securities, Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Dec 4, 2003	Mar 3, 2006 (820 d)
Robert Angus Macarthur	Walnut Street Securities, Inc. other	Northwestern Mutual Investment Services,LLC other	Other	Nov 18, 2003	May 8, 2009 (1998 d)
Eric Kent Carrara	Walnut Street Securities, Inc. other	Npa Asset Management, LLC other	Other	Sep 19, 2003	Aug 11, 2004 (327 d)
Richard Alan Cutler	Walnut Street Securities, Inc. other	LPL Financial LLC other	Other	Sep 9, 2003	Aug 26, 2003
Thomas James Brown	Walnut Street Securities, Inc. other	Brown Financial Management Group, LLC independent RIA	Other	Sep 5, 2003	Apr 4, 2021 (6421 d)

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319 moves match.