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 Riwm, 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.

AdvisorFromToTypeLeftRegistered
Arturo Jesus Rodriguez DiazRiwm, LLC state registeredCapital Guardian Wealth Management, LLC otherOtherDec 31, 2024Dec 2, 2013
Jose Eduardo Torres MartinezRiwm, LLC state registeredAegis Capital Corp. BD affiliatedOtherDec 31, 2024Jan 1, 2025
Arturo Gabriel RodriguezRiwm, LLC state registeredAegis Capital Corp. otherOtherDec 31, 2024Jul 13, 2015
Pedro Juan Rodriguez RiveraRiwm, LLC state registeredAegis Capital Corp. otherOtherJul 29, 2019Nov 6, 2015
Luiz David AzambujaRiwm, LLC state registeredCapital Guardian Wealth Management, LLC otherOtherJun 28, 2017Dec 5, 2014
Luiz David Xavier AzambujaRiwm, LLC state registeredCapital Guardian Wealth Management, LLC otherOtherJun 28, 2017Aug 4, 2017 (37 d)
Antonio Salvador BauzaRiwm, LLC state registeredAegis Capital Corp. otherOtherMay 3, 2017Jul 31, 2015
Michael Thomas EdwardsRiwm, LLC state registeredCapital Guardian Wealth Management, LLC otherOtherJan 11, 2016May 10, 2017 (485 d)
Ricardo RamirezRiwm, LLC state registeredHsbc Securities (USA) Inc. otherOtherOct 31, 2012Oct 8, 2012
Page 1 of 1
9 moves match.