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 Financial West Group

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
Bart Steven Kaplow	Financial West Group other	Ibn Financial Services, Inc other	Other	Oct 13, 2017	Oct 16, 2017
Ron Freund	Financial West Group other	The Social Equity Group, Inc. other	Other	Aug 21, 2017	Jun 15, 2000
Douglas Martin Fair	Financial West Group other	Your Money Coach Financial Services state registered	Other	Aug 21, 2017	May 12, 2004
Sandy Rita Mesa	Financial West Group other	Mesa Wealth Management state registered	Other	Aug 21, 2017	Jan 6, 2017
Ute Scott-Smith	Financial West Group other	The Social Equity Group, Inc. other	Other	Aug 21, 2017	Jun 23, 2004
Peter Martin Garelick	Financial West Group other	Global Financial Advisory Services, Inc. independent RIA	Other	Aug 21, 2017	Feb 23, 2015
Steven George Collins	Financial West Group other	Kingswood Wealth Advisors, LLC no RAUM	Other	Aug 15, 2017	Aug 31, 2017
Thomas Francis Ray	Financial West Group other	Vanderbilt Advisory Services other	Other	Aug 11, 2017	Aug 11, 2017
Scott Lawrence Olson	Financial West Group other	Independent Financial Group, LLC other	Other	Aug 11, 2017	Aug 15, 2017
Jason Roberts Coles	Financial West Group other	Centaurus Financial, Inc. other	Other	Aug 9, 2017	Aug 9, 2017
Jeffrey Rushworth Hill	Financial West Group other	American Portfolios Advisors, Inc other	Other	Jul 31, 2017	Aug 1, 2017
Mehul Mahendra Thakker	Financial West Group other	Vanderbilt Advisory Services other	Other	Jul 27, 2017	Jul 27, 2017
Stuart Taylor Valentine	Financial West Group other	Vanderbilt Advisory Services other	Other	Jul 6, 2017	Jul 6, 2017
Hunter Davidson Brownlie	Financial West Group other	Vanderbilt Advisory Services other	Other	Jul 6, 2017	Jul 26, 2017
Todd Manning Walker	Financial West Group other	Vanderbilt Advisory Services other	Other	Jul 6, 2017	Jul 10, 2017
Jina Amelia Rachel Penn-Tracy	Financial West Group other	Vanderbilt Advisory Services other	Other	Jul 6, 2017	Jul 10, 2017
Theresa Timmerman	Financial West Group other	Vanderbilt Advisory Services other	Other	Jul 6, 2017	Jul 5, 2017
Michael Swift Smith	Financial West Group other	Vanderbilt Advisory Services other	Other	Jul 6, 2017	Jul 5, 2017
Evelyn Kay Duka	Financial West Group other	Securities America Advisors, Inc. other	Other	Jun 1, 2017	May 31, 2017
Ronald Takao Sera	Financial West Group other	Cetera Advisor Networks LLC other	Other	May 4, 2017	May 10, 2017
Michael K De Luz	Financial West Group other	Kingswood Wealth Advisors, LLC no RAUM	Other	May 4, 2017	Nov 2, 2017 (182 d)
Martin John Scalzo	Financial West Group other	Centaurus Financial, Inc. other	Other	Mar 2, 2017	Feb 28, 2017
Jill Ann Henderson	Financial West Group other	Mutual Advisors, LLC other	Other	Feb 17, 2017	Feb 22, 2017
Joanna Dawn Mccomsey	Financial West Group other	Centaurus Financial, Inc. other	Other	Feb 17, 2017	Feb 21, 2017
Susan Carol Agiert	Financial West Group other	Mutual Advisors, LLC BD affiliated	Other	Jan 24, 2017	May 9, 2023 (2296 d)
Ilan Meir Fersht	Financial West Group other	Western International Securities other	Other	Nov 17, 2016	Oct 13, 2017 (330 d)
Odalis Mercedes Lopez	Financial West Group other	G. A. Repple & Company other	Other	May 27, 2016	Jul 13, 2016 (47 d)
Peter George Pecci	Financial West Group other	Allstate Financial Advisors, LLC no RAUM	Other	May 6, 2016	Jun 30, 2016 (55 d)
Joseph Webb	Financial West Group other	G. A. Repple & Company other	Other	Apr 25, 2016	Jun 6, 2016 (42 d)
Thomas Krueger	Financial West Group other	Vfg Advisors, Inc. other	Other	Mar 11, 2016	Jan 17, 2017 (312 d)
Mark Stephen Sauer	Financial West Group other	Butorac Wealth Management Inc no RAUM	Other	Dec 31, 2015	Jan 4, 2016
Michael K De Luz	Financial West Group other	Cl Wealth Management LLC other	Other	Dec 16, 2015	Jan 26, 2016 (41 d)
Alexander Joseph Corriere	Financial West Group other	Legend Advisory, LLC other	Other	Dec 15, 2015	Mar 21, 2016 (97 d)
Timothy James Rich	Financial West Group other	Securities America Advisors, Inc. other	Other	Oct 30, 2015	Oct 26, 2015
David Benjamin Zwick	Financial West Group other	Securities America Advisors, Inc. other	Other	Oct 30, 2015	Nov 9, 2015
Bryan Edgar Brumley	Financial West Group other	Securities America Advisors, Inc. other	Other	Oct 29, 2015	Oct 30, 2015
Kelly Louise Davis	Financial West Group other	Farmers Financial Solutions, LLC no RAUM	Other	Sep 18, 2015	Aug 29, 2016 (346 d)
Hal Philip Masover	Financial West Group other	Cambridge Investment Research Advisors, Inc. other	Other	Jul 8, 2015	Jul 8, 2015
Russell Alan Rybicki	Financial West Group other	Cambridge Investment Research Advisors, Inc. other	Other	Jun 2, 2015	Jun 1, 2015
William Naylor Stant	Financial West Group other	Cambridge Investment Research Advisors, Inc. other	Other	Jun 1, 2015	Jun 9, 2015
Jeremy A Pearce	Financial West Group other	Cambridge Investment Research Advisors, Inc. BD affiliated	Other	May 28, 2015	Jan 2, 2026 (3872 d)
Richard Warren Torgerson	Financial West Group other	First Affirmative Financial Network LLC other	Other	May 11, 2015	Feb 28, 2003
Jason Eric Luhan	Financial West Group other	Freedom Investment Management, Inc. other	Other	Apr 21, 2015	Oct 21, 2015 (183 d)
Barton James Brewer	Financial West Group other	Global Financial Advisory Services, Inc. independent RIA	Other	Jan 2, 2015	Feb 7, 2018 (1132 d)
David Scott Garelick	Financial West Group other	Global Financial Advisory Services, Inc. independent RIA	Other	Dec 31, 2014	Apr 26, 2017 (847 d)
Robert B Wellendorf	Financial West Group other	Cambridge Investment Research Advisors, Inc. other	Other	Dec 12, 2014	Dec 15, 2014
Sheri A Strain	Financial West Group other	National Planning Corporation ("Npc Of America" In Fl & Ny) other	Other	Oct 17, 2014	Jun 22, 2016 (614 d)
Manfred Dieter Wunderlich	Financial West Group other	Capital Synergy Partners independent RIA	Other	Sep 15, 2014	Sep 16, 2014
Cory James Christiansen	Financial West Group other	Capital Synergy Partners independent RIA	Other	Jul 28, 2014	Jul 23, 2014
Steven Everett Hoppel	Financial West Group other	American Financial Network Advisory Services, LLC other	Other	Jun 26, 2014	Sep 26, 2014 (92 d)
Agustin Jay Molina	Financial West Group other	Capital Synergy Partners independent RIA	Other	Apr 25, 2014	Apr 28, 2014
Jingbo Pan	Financial West Group other	International Assets Investment Management, LLC other	Other	Apr 15, 2014	Apr 22, 2014
Steven Lowell Smith	Financial West Group other	Interactive Financial Advisors other	Other	Dec 31, 2013	Nov 21, 2016 (1056 d)
Daniel Francis Casey	Financial West Group other	Westlake Financial Advisors LLC other	Other	Nov 18, 2013	Jun 14, 2012
Stephen Thomas Minihan	Financial West Group other	United Planners' Financial Services Of America A Limited Partner other	Other	Nov 18, 2013	Nov 15, 2013
Scott Michael Ozer	Financial West Group other	Sandlapper Wealth Management, LLC other	Other	Nov 6, 2013	Nov 7, 2013
Howard Davis	Financial West Group other	Sandlapper Wealth Management, LLC other	Other	Jul 26, 2013	Aug 23, 2013
Frederick Dowell Kienel	Financial West Group other	Truist Advisory Services, Inc. other	Other	Jul 1, 2013	Aug 9, 2017 (1500 d)
Derick Hohin Wong	Financial West Group other	Transamerica Financial Advisors, LLC other	Other	Jun 10, 2013	Aug 8, 2017 (1520 d)
Todd Evan Melillo	Financial West Group other	Ladenburg Thalmann Asset Management Inc other	Other	Nov 14, 2012	Oct 26, 2012

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155 moves match.